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.
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SEC-registered adviser
A•••• P••••••• C•••••••••
Latest filing Feb 4, 2026
First filing on the tape Jan 19, 2012 · 35 filings
SEC status approved since Sep 2, 2004
RAUM
$104M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$100.0M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$52.2M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$104M as of Feb 4, 2026
Apr 12, 2012$116M then
HNW client RAUM$66.7M as of Feb 4, 2026
Mar 22, 2018$77.1M then
State-registered IARs (5.B.3)2 as of Feb 4, 2026
Apr 12, 20120 then
Employees (5.A)5 as of Feb 4, 2026
Feb 5, 20137 then
Private funds: no history
RAUM +15% over the last fiscal year+1.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 4, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $52.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $431,316derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Wrap fee program
- $104MreportedItem 5.I
- Custody
- $78.0M, 102 clientsreportedItem 9.A
- 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
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$66.7M64%
- Individuals$33.3M32%
- Pension and profit-sharing plans$3.6M3.5%
- Charitable organizations$814,7910.8%
- Individual clients
- 101reported
- HNW clients
- 31reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 242reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $78.0M for 102 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••••• E••• R•••Chartered Financial Consultant | W. Palm Beach, Fl | Mar 2, 2020 | 12 y | 0 |
| R•••• S•••••• P•••Certified Financial Planner | West Palm Beach, Fl | Jan 1, 2025 | 27 y | 0 |
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
- W•••••• L•••• P••• to D••••• J•••• A•••• M••••••••• I•••Feb 7, 2008 · Other
Joined, latest
- W•••••• L•••• P••• from M••••• S•••••• C•••••••••Apr 4, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••• R••••• S•••••• · President/Chief Compliance Officercontrolsince 01/2011 · owns less than 5%
- M••••••••• L••••• J•••• · Foundercontrolsince 06/2019 · owns 25% to 50% of F•••••••• P••••••• I••••••••• G••••• I•••
- P•••• R••••• S•••••• · Presidentcontrolsince 06/2019 · owns 50% to 75% of F•••••••• P••••••• I••••••••• G••••• I•••
Entity owners
- F•••••••• P••••••• I••••••••• G••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 246 to 242Feb 4, 2025 to Feb 4, 2026
- HNW clients · 28 to 31Feb 4, 2025 to Feb 4, 2026
- Individual clients · 104 to 101Feb 4, 2025 to Feb 4, 2026
- Pension plan clients · 4 to 2Feb 4, 2025 to Feb 4, 2026
- Assets in custody · $58.6M to $78.0MFeb 4, 2025 to Feb 4, 2026
- Discretionary RAUM · $90.6M to $104MFeb 4, 2025 to Feb 4, 2026
- HNW RAUM · $56.6M to $66.7MFeb 4, 2025 to Feb 4, 2026
- Individual RAUM · $30.0M to $33.3MFeb 4, 2025 to Feb 4, 2026
- Pension RAUM · $3.1M to $3.6MFeb 4, 2025 to Feb 4, 2026
- RAUM · $90.6M to $104MFeb 4, 2025 to Feb 4, 2026
- Accounts · 287 to 246Oct 22, 2024 to Feb 4, 2025
- BD registered reps · 4 to 3Oct 22, 2024 to Feb 4, 2025
- Charity clients · unset to 2.0Oct 22, 2024 to Feb 4, 2025
- Corporate clients · 2.0 to unsetOct 22, 2024 to Feb 4, 2025
- HNW clients · 30 to 28Oct 22, 2024 to Feb 4, 2025
- Individual clients · 125 to 104Oct 22, 2024 to Feb 4, 2025
- Assets in custody · $86.0M to $58.6MOct 22, 2024 to Feb 4, 2025
- Employees · 7 to 5Oct 22, 2024 to Feb 4, 2025
- Financial planning clients · 1-10 to 1-10Oct 22, 2024 to Feb 4, 2025
- State-registered IARs · 3 to 2Oct 22, 2024 to Feb 4, 2025
- Discretionary RAUM · $90.3M to $90.6MOct 22, 2024 to Feb 4, 2025
- HNW RAUM · $55.7M to $56.6MOct 22, 2024 to Feb 4, 2025
- Individual RAUM · $31.9M to $30.0MOct 22, 2024 to Feb 4, 2025
- Pension RAUM · $1.6M to $3.1MOct 22, 2024 to Feb 4, 2025
- RAUM · $90.3M to $90.6MOct 22, 2024 to Feb 4, 2025
- Accounts · 348 to 287Dec 19, 2023 to Mar 12, 2024
- Advisory employees · 3 to 2Dec 19, 2023 to Mar 12, 2024
- BD registered reps · 5 to 4Dec 19, 2023 to Mar 12, 2024
- HNW clients · 34 to 30Dec 19, 2023 to Mar 12, 2024
- Individual clients · 156 to 125Dec 19, 2023 to Mar 12, 2024
- Pension plan clients · 6 to 4Dec 19, 2023 to Mar 12, 2024
- Assets in custody · $51.0M to $86.0MDec 19, 2023 to Mar 12, 2024
- Employees · 9 to 7Dec 19, 2023 to Mar 12, 2024
- Insurance-licensed employees · 1 to 0Dec 19, 2023 to Mar 12, 2024
- Financial planning clients · 0 to 1-10Dec 19, 2023 to Mar 12, 2024
- Discretionary RAUM · $100M to $90.3MDec 19, 2023 to Mar 12, 2024
- HNW RAUM · $56.5M to $55.7MDec 19, 2023 to Mar 12, 2024
- Individual RAUM · $42.1M to $31.9MDec 19, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $58,755 to $0Dec 19, 2023 to Mar 12, 2024
- Pension RAUM · $1.5M to $1.6MDec 19, 2023 to Mar 12, 2024
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
- Business phone
- 561-689-5724reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 561-689-8558reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 561-689-5724reportedpublic record, Form ADV, Feb 4, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $52.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026