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.
SEC-registered adviser
Provenance Wealth Advisors
Legal name Provenance Wealth Advisors, LLC
Latest filing Sep 11, 2026
First filing on the tape May 26, 2018 · 32 filings
SEC status approved since Jun 25, 2018
RAUM
$3.6B
reported, Item 5.F
Discretionary
50%
of RAUM
Private clients
58%
$2.1B individuals and HNW
Advisors
18
registered through the firm on IAPD
RAUM per advisor
$202M
derived; firm RAUM over IAPD count
Employees
52
20 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$4.4B as of Aug 4, 2026
Mar 25, 2019$421M then
HNW client RAUM$2.7B as of Aug 4, 2026
Mar 25, 2019$0 then
State-registered IARs (5.B.3)15 as of Aug 4, 2026
Mar 25, 201917 then
Employees (5.A)52 as of Aug 4, 2026
Mar 25, 201941 then
Private funds: no history
RAUM +2.9% over the last fiscal year+80% a year over threeIARs 16 to 15offices 6 to 5
Practice profile
derived from the filing of Sep 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $202MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 159derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $949,523derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 50%derivedof RAUM
- Institutional
- 33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.9derivedItem 5.A over advisors
- Advisors per office
- 3.0derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- -6.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%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
- $149MreportedItem 5.I
- 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 a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.9B53%
- Pension and profit-sharing plans$1.2B32%
- Corporations and businesses$330M9.1%
- Individuals$205M5.7%
- Charitable organizations$10.3M0.3%
- Individual clients
- 2,340reported
- HNW clients
- 524reported
- Pension plan clients
- 119reported
- Charitable clients
- 6reported
- Accounts
- 3,820reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.58 fund_share=0.0 institutional_share=0.33 related_bd=true related_bank=false bd_reps=20.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Scott Richard MontgomeryChartered Financial Consultant | Fort Lauderdale, Fl | May 6, 2003 | 38 y | 4 |
| Lee Frederick Hediger | Fort Lauderdale, Fl | May 6, 2003 | 29 y | 3 |
| Eric Paul Zeitlin | Fort Lauderdale, Fl | May 6, 2003 | 33 y | 3 |
| Todd Anthony MollCertified Financial Planner | Fort Lauderdale, Fl | May 6, 2003 | 26 y | 3 |
| Brendan Thomas Hayes | Fort Lauderdale, Fl | Mar 9, 2005 | 29 y | 3 |
| Sean Thomas Deviney | Fort Lauderdale, Fl | Nov 7, 2005 | 23 y | 2 |
| Martha SwainCertified Financial Planner | Fort Lauderdale, Fl | Apr 28, 2011 | 15 y | 1 |
| Joseph Karl | Fort Lauderdale, Fl | Oct 31, 2012 | 18 y | 4 |
| William Gerard MckennaChartered Financial Consultant | Fort Lauderdale, Fl | Apr 8, 2013 | 44 y | 4 |
| Kathleen Graham Marteney | Fort Lauderdale, Fl | Mar 28, 2014 | 31 y | 4 |
| Shane David Phillips | Fort Lauderdale, Fl | Mar 30, 2015 | 16 y | 3 |
| Thomas Joseph Scanlan | Fort Lauderdale, Fl | Jul 5, 2018 | 26 y | 3 |
| Ryan T. Whiteman | Miami, Fl | Apr 29, 2022 | 15 y | 3 |
| Donna Sue Santangelo | Fort Lauderdale, Fl | Sep 1, 2023 | 39 y | 2 |
| Evan Dunayer | Fort Lauderdale, Fl | Sep 12, 2023 | 13 y | 1 |
| Augusto Jose De Luna | Fort Lauderdale, Fl | Oct 28, 2024 | 16 y | 0 |
| William Charles DahmCertified Financial Planner | Fort Lauderdale, Fl | Nov 19, 2024 | 11 y | 2 |
| Kevin David Hurley | Fort Lauderdale, Fl | Jul 27, 2026 | 11 y | 1 |
Advisor movement
4 left, 1 joined in 12 months
net -3 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 22% of current headcount8 left over 36 months
Left, latest
- Oscar Jesus Castellanos to Raymond James Financial Services Advisors, IncMar 30, 2026 · RIA to affiliated broker-dealer or bank
- Melvin Ovet Perez to Raymond James Financial Services Advisors, IncMar 30, 2026 · RIA to affiliated broker-dealer or bank
- Pedro Ernesto Harth-Silva to Raymond James Financial Services Advisors, IncMar 30, 2026 · RIA to affiliated broker-dealer or bank
- Lauren Chaffee to Wells Fargo AdvisorsDec 19, 2025 · RIA to wirehouse
- Robert Mark Weiss to Summit Financial, LLCDec 2, 2024 · RIA to affiliated broker-dealer or bank
- Melissa Mcgrath to Ameriprise Financial Services, LLCMay 29, 2024 · RIA to affiliated broker-dealer or bank
- Justin Pullaro to Core PlanningMay 29, 2024 · RIA to RIA
- Carlos Fernando Meneses to Efg Private Wealth Management (Americas) Corp.Mar 14, 2024 · RIA to RIA
- Jamel Gordon to Rose Capital Advisors, LLCApr 12, 2022 · Other
- Douglas Adam Gerrard to Tlg Advisors, Inc.Dec 17, 2018 · Other
- Paul Wolfson Carman to Osaic Fa, Inc.Jun 17, 2016 · Other
- Raquel Nalo to Morgan StanleyNov 22, 2011 · Other
- Ericka King to Morgan StanleyAug 30, 2011 · Other
- Christopher Lemoine Silversmith to Alpha Capital Management Group LLCSep 13, 2010 · Other
- Jeffrey Thomas Young to Walnut Street Securities, Inc.Jan 2, 2008 · Other
Joined, latest
- Kevin David Hurley from Slavic Mutual Funds Management Corp.Jul 27, 2026 · Other
- William Charles Dahm from Citizens Securities, Inc.Nov 19, 2024 · Affiliated broker-dealer or bank to independent RIA
- Justin Pullaro from Columbia Advisory Partners, LLCOct 17, 2023 · RIA to RIA
- Evan Dunayer from Raymond James Financial Services Advisors, IncSep 12, 2023 · Other
- Carlos Fernando Meneses from Raymond James Financial Services Advisors, IncSep 5, 2023 · Other
- Donna Sue Santangelo from Raymond James Financial Services Advisors, IncSep 1, 2023 · Other
- Melissa Mcgrath from Raymond James Financial Services Advisors, IncAug 25, 2023 · Other
- Pedro Ernesto Harth-Silva from Raymond James Financial Services Advisors, IncAug 25, 2023 · Other
- Ryan T. Whiteman from Raymond James Financial Services Advisors, IncApr 29, 2022 · Other
- Robert Mark Weiss from Raymond James Financial Services Advisors, IncJan 29, 2019 · Other
- Oscar Jesus Castellanos from Raymond James Financial Services Advisors, IncJul 6, 2018 · Other
- Melvin Ovet Perez from Raymond James Financial Services Advisors, IncJul 6, 2018 · Other
- Douglas Adam Gerrard from Raymond James Financial Services Advisors, IncJul 5, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- Thomas Joseph Scanlan from Raymond James Financial Services Advisors, IncJul 5, 2018 · Other
- Jamel Gordon from Raymond James Financial Services Advisors, IncJun 26, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Raymond James Financial Services Advisors, IncMar 30, 2026 · Fort Lauderdale, Fl
- 10 joined from Raymond James Financial Services Advisors, IncAug 25, 2023 · Miami, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas Sean Deviney · Directorcontrolsince 10/2017 · owns less than 5%
- Frederick Lee Hediger · Directorcontrolsince 02/2000 · owns less than 5%
- Anthony Todd Moll · Directorcontrolsince 12/2000 · owns less than 5%
- Richard Scott Montgomery · Directorcontrolsince 01/2010 · owns less than 5%
- Scott Peter Mottek · Chief Executive Officercontrolsince 02/2025 · owns less than 5%
- Joseph Thomas Scanlan · Chief Operating Officercontrolsince 05/2015 · owns less than 5%
- Paul Eric Zeitlin · Chairman Of Boardcontrolsince 02/2000 · owns less than 5%
- Alan Richard Berkowitz · Managing Membercontrolsince 01/2000 · owns 25% to 50% of Paradigm Financial Group LLC
- Michael Barry Brant · Membercontrolsince 01/2000 · owns 25% to 50% of Paradigm Financial Group LLC
- Frederick Lee Hediger · Membercontrolsince 01/2000 · owns 25% to 50% of Zyh Holding Company LLC
- Paul Eric Zeitlin · Membercontrolsince 01/2000 · owns 50% to 75% of Zyh Holding Company LLC
- Steven Alan Kravec · Chief Compliance Officersince 01/2026 · owns less than 5%
Entity owners
- Pwa Holdings, LLC · Memberdirect · owns 75% or more
- Paradigm Financial Group LLC · Memberindirect · owns 50% to 75% of Pwa Holdings, LLC
- Zyh Holding Company LLC · Memberindirect · owns 50% to 75% of Pwa Holdings, LLC
Related persons
Schedule D 7.A
- Berkowitz Pollack Brant Advisors And Accountantsinsurancen
- Provenance Insurance Services LLCreal estatey
- Pwa Securities, LLCbroker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Lauderdale, Fl · principal | 18 | 1 | 3 | 1 | |
| Marco Island, Fl | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Miami, FL9 employees
- Boca Raton, FL2 employees
- Mason, OH1 employees
- Miami, FL1 employees
- West Palm Beach, FL1 employees
- New York, NY
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 11, 2026MOTTEK, PETER, SCOTT (CHIEF EXECUTIVE OFFICER) appeared on Schedule A between the filings of 2022-07-06 and 2026-09-11peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Sep 11, 2026HEDIGER, LEE, FREDERICK (MEMBER) left Schedule A between the filings of 2022-07-06 and 2026-09-11peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Sep 11, 2026BERKOWITZ, RICHARD, ALAN (MANAGING MEMBER) left Schedule A between the filings of 2022-07-06 and 2026-09-11peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Sep 11, 2026BRANT, BARRY, MICHAEL (MEMBER) left Schedule A between the filings of 2022-07-06 and 2026-09-11peers: independent wealth managers, $1B to $5B (1,360)
- HNW share shiftChange between filings · filing Jan 9, 2026HNW share of RAUM moved from 45.0% to 61.0% between the annual amendments of 2025-03-26 and 2026-01-09peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 4,358 to 3,820Aug 4, 2026 to Sep 11, 2026
- Corporate clients · 131 to 122Aug 4, 2026 to Sep 11, 2026
- HNW clients · 547 to 524Aug 4, 2026 to Sep 11, 2026
- Individual clients · 2,538 to 2,340Aug 4, 2026 to Sep 11, 2026
- Pension plan clients · 120 to 119Aug 4, 2026 to Sep 11, 2026
- Financial planning clients · 101-250 to 101-250Aug 4, 2026 to Sep 11, 2026
- Other offices · 6 to 5Aug 4, 2026 to Sep 11, 2026
- Discretionary RAUM · $2.1B to $1.8BAug 4, 2026 to Sep 11, 2026
- HNW RAUM · $2.7B to $1.9BAug 4, 2026 to Sep 11, 2026
- Individual RAUM · $235M to $205MAug 4, 2026 to Sep 11, 2026
- Non-discretionary RAUM · $2.3B to $1.8BAug 4, 2026 to Sep 11, 2026
- Pension RAUM · $1.1B to $1.2BAug 4, 2026 to Sep 11, 2026
- RAUM · $4.4B to $3.6BAug 4, 2026 to Sep 11, 2026
- Succession · false to unsetAug 4, 2026 to Sep 11, 2026
- Accounts · 4,221 to 4,358Oct 3, 2025 to Jan 9, 2026
- Advisory employees · 21 to 20Oct 3, 2025 to Jan 9, 2026
- BD registered reps · 21 to 20Oct 3, 2025 to Jan 9, 2026
- Corporate clients · 139 to 131Oct 3, 2025 to Jan 9, 2026
- HNW clients · 571 to 547Oct 3, 2025 to Jan 9, 2026
- Individual clients · 2,415 to 2,538Oct 3, 2025 to Jan 9, 2026
- Pension plan clients · 95 to 120Oct 3, 2025 to Jan 9, 2026
- Employees · 49 to 52Oct 3, 2025 to Jan 9, 2026
- State-registered IARs · 16 to 15Oct 3, 2025 to Jan 9, 2026
- Discretionary RAUM · $2.1B to $2.1BOct 3, 2025 to Jan 9, 2026
- HNW RAUM · $1.6B to $2.7BOct 3, 2025 to Jan 9, 2026
- Individual RAUM · $692M to $235MOct 3, 2025 to Jan 9, 2026
- Non-discretionary RAUM · $1.4B to $2.3BOct 3, 2025 to Jan 9, 2026
- Pension RAUM · $894M to $1.1BOct 3, 2025 to Jan 9, 2026
- RAUM · $3.5B to $4.4BOct 3, 2025 to Jan 9, 2026
- Wrap assets (manager) · unset to 0.0Jul 29, 2025 to Oct 3, 2025
- Wrap assets (sponsor) · unset to 0.0Jul 29, 2025 to Oct 3, 2025
- Financial planning clients · 101-250 to 101-250Jun 26, 2025 to Jul 29, 2025
- Accounts · 2,046 to 4,221Dec 20, 2024 to Mar 26, 2025
- Advisory employees · 23 to 21Dec 20, 2024 to Mar 26, 2025
- BD registered reps · 35 to 21Dec 20, 2024 to Mar 26, 2025
- Corporate clients · 165 to 139Dec 20, 2024 to Mar 26, 2025
- HNW clients · 348 to 571Dec 20, 2024 to Mar 26, 2025
- Individual clients · 1,392 to 2,415Dec 20, 2024 to Mar 26, 2025
- Pension plan clients · 135 to 95Dec 20, 2024 to Mar 26, 2025
- Employees · 50 to 49Dec 20, 2024 to Mar 26, 2025
Signals
19 dated events
- Melvin Ovet Perez left Provenance Wealth Advisors for Raymond James Financial Services Advisors, Inc (registered 2026-04-01)Mar 30, 2026 · Advisor changed firm · fact
- Oscar Jesus Castellanos left Provenance Wealth Advisors for Raymond James Financial Services Advisors, Inc (registered 2026-04-01)Mar 30, 2026 · Advisor changed firm · fact
- Pedro Ernesto Harth-Silva left Provenance Wealth Advisors for Raymond James Financial Services Advisors, Inc (registered 2026-03-31)Mar 30, 2026 · Advisor changed firm · fact
- 3 advisors left Provenance Wealth Advisors (Fort Lauderdale, FL) for Raymond James Financial Services Advisors, Inc on the same dayMar 30, 2026 · Team lift-out · derived
- Provenance Wealth Advisors reported RAUM $4.4B, up 26% from $3.5B (2025-10-03 to 2026-01-09)Jan 9, 2026 · RAUM change · derived
- Lauren Chaffee left Provenance Wealth Advisors for Wells Fargo Advisors (registered 2026-01-08)Dec 19, 2025 · Advisor changed firm · fact
- Provenance Wealth Advisors reported RAUM $3.5B, up 35% from $2.6B (2024-12-20 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- Robert Mark Weiss left Provenance Wealth Advisors for Summit Financial, Llc (registered 2024-12-04)Dec 2, 2024 · Advisor changed firm · fact
- Melissa Mcgrath left Provenance Wealth Advisors for Ameriprise Financial Services, Llc (registered 2024-06-19)May 29, 2024 · Advisor changed firm · fact
- Justin Pullaro left Provenance Wealth Advisors for Core Planning (registered 2024-08-02)May 29, 2024 · Advisor changed firm · fact
- Carlos Fernando Meneses left Provenance Wealth Advisors for Efg Private Wealth Management (Americas) Corp. (registered 2024-05-06)Mar 14, 2024 · Advisor changed firm · fact
- Provenance Wealth Advisors reported RAUM $2.6B, up 324% from $623.2M (2023-08-25 to 2023-09-25)Sep 25, 2023 · RAUM change · derived
- 10 advisors left Raymond James Financial Services Advisors, Inc (Miami, FL) for Provenance Wealth Advisors on the same dayAug 25, 2023 · Team lift-out · derived
- Alan Richard Berkowitz (Managing Member) appeared on Schedule A of Provenance Wealth AdvisorsJul 6, 2022 · Control person joined · fact
- Michael Barry Brant (Member) appeared on Schedule A of Provenance Wealth AdvisorsJul 6, 2022 · Control person joined · fact
- Allen Richard Pollack (Managing Member) no longer on Schedule A of Provenance Wealth Advisors (listed 2022-03-31, absent 2022-07-06)Jul 6, 2022 · Control person left · inference
- Jamel Gordon left Provenance Wealth Advisors for Rose Capital Advisors, Llc (registered 2022-04-04)Apr 12, 2022 · Advisor changed firm · fact
- Provenance Wealth Advisors reported RAUM $794.5M, up 45% from $549.2M (2021-03-16 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Provenance Wealth Advisors filed its initial SEC registration (Form ADV)May 26, 2018 · First SEC registration · fact
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 email
- info@provwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- wakmentins@provwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- svarrelman@provwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 305-960-1273reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 305-379-8888reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 513-898-3975reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/PROVENANCE-WEALTH- ADVISORSreportedpublic record, Form ADV, Sep 17, 2026
- Website
- PROVWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 954-712-8888reportedpublic record, Form ADV, Sep 11, 2026
- Contact form
- provwealth.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- provwealth.com/leadership-teamreportedpublished by the firm, firm site, Sep 15, 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
- $202Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026