DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Sarasota Capital Strategies,Inc.

Former SEC-registered adviserOsprey, FloridaCRD 125951SEC 801-68409IAPD
Latest filing Mar 19, 2013
First filing on the tape Mar 14, 2012 · 4 filings
RAUM
$32.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$16.0M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$32.4M as of Mar 5, 2013
Mar 14, 2012$32.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 4
Employees (5.A): 4
Private funds: no history
RAUM +0.0% over the last fiscal year
Practice profile
derived from the filing of Mar 19, 2013; every figure names its basis
RAUM per advisor
$16.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$209,150derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.3%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
153reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
John HelmsCertified Financial Planner, Chartered Financial ConsultantOsprey, Fl Jul 3, 202533 y5
Anthony Warren WelchCertified Financial Planner, Chartered Financial ConsultantOsprey, FlJan 1, 202627 y2
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Warren Anthony Welch · President, Chief Compliance Officercontrol
    since 07/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Osprey, Fl · principal210
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 148 to 153
    Mar 5, 2013 to Mar 19, 2013
  • State-registered IARs · 4 to 1
    Mar 5, 2013 to Mar 19, 2013
  • Discretionary RAUM · $32.4M to $32.0M
    Mar 5, 2013 to Mar 19, 2013
  • RAUM · $32.4M to $32.0M
    Mar 5, 2013 to Mar 19, 2013
  • Accounts · 96 to 148
    Jul 17, 2012 to Mar 5, 2013
  • Advisory employees · unset to 4.0
    Jul 17, 2012 to Mar 5, 2013
  • BD registered reps · unset to 0.0
    Jul 17, 2012 to Mar 5, 2013
  • Employees · unset to 4.0
    Jul 17, 2012 to Mar 5, 2013
  • Insurance-licensed employees · 1 to 0
    Jul 17, 2012 to Mar 5, 2013
  • State-registered IARs · unset to 4.0
    Jul 17, 2012 to Mar 5, 2013
  • Discretionary RAUM · $30.0M to $32.4M
    Jul 17, 2012 to Mar 5, 2013
  • RAUM · $30.0M to $32.4M
    Jul 17, 2012 to Mar 5, 2013
  • Related adviser · true to false
    Jul 17, 2012 to Mar 5, 2013
  • Accounts · 116 to 96
    Mar 14, 2012 to Jul 17, 2012
  • Discretionary RAUM · $32.0M to $30.0M
    Mar 14, 2012 to Jul 17, 2012
  • RAUM · $32.0M to $30.0M
    Mar 14, 2012 to Jul 17, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Website
ETFPROS.COMreportedpublic record, Form ADV, Sep 17, 2026
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$16.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026