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••••• F•••••••• A•••••••• I•••
Latest filing Jul 24, 2026
First filing on the tape Jul 3, 2014 · 24 filings
SEC status approved since Jul 15, 2014
RAUM
$475M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$446M individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$36.6M
derived; firm RAUM over IAPD count
Employees
18
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$475M as of Jul 24, 2026
Mar 25, 2015$116M then
HNW client RAUM$260M as of Jul 24, 2026
Mar 29, 2018$80.0M then
State-registered IARs (5.B.3)13 as of Jul 24, 2026
Mar 25, 201511 then
Employees (5.A)18 as of Jul 24, 2026
Mar 25, 201511 then
Private funds: no history
RAUM +21% over the last fiscal year+15% a year over threeIARs 10 to 13
Practice profile
derived from the filing of Jul 24, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $36.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $185,836derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $475M, 1,101 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
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$260M55%
- Individuals$186M39%
- Corporations and businesses$22.1M4.7%
- Charitable organizations$7.2M1.5%
- Individual clients
- 963reported
- HNW clients
- 99reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,557reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $475M for 1,101 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• C••••••••• M••••• | Orlando, Fl | Jun 11, 2003 | 26 y | 0 |
| P••• R••••• | Orlando, Fl | May 1, 2007 | 30 y | 3 |
| K•••••• M••••••• H••• | Orlando, Fl | May 4, 2009 | 21 y | 0 |
| A•• N•••• F••••••••Certified Financial Planner | Orlando, Fl | Jan 13, 2011 | 27 y | 2 |
| K•••• P• B•••• | Orlando, Fl | Jun 20, 2018 | 18 y | 0 |
| P••• A••••• M•••• | Orlando, Fl | Dec 9, 2020 | 19 y | 0 |
| A••• J••• O•••• | Orlando, Fl | Jan 1, 2025 | 10 y | 0 |
| R••••• J• C••••• | Orlando, Fl | Jan 7, 2025 | 17 y | 3 |
| A••••• B•••• P••••••• | Orlando, Fl | Apr 4, 2025 | 12 y | 0 |
| E••••• J•••• W••••• R••••••• | Orlando, Fl | Jul 10, 2025 | 12 y | 1 |
| G••••• A••••• M•••• | Orlando, Fl | Aug 6, 2025 | 11 y | 0 |
| C•••• P•••• S••••••• | Orlando, Fl | Mar 12, 2026 | 22 y | 1 |
| S•••• B••••••• | Orlando, Fl | Jul 15, 2026 | 11 y | 0 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 15% of current headcount4 left over 36 months
Left, latest
- C•••••••• A•• S•••••• to A•••• F•••••••• P•••••••• L••Mar 3, 2026 · RIA to RIA
- E•••• T•••• C••• to L•• F•••••••• L••Dec 11, 2025 · RIA to affiliated broker-dealer or bank
- R••• L•••• S••••• to H•••••••• A•••••••• L••Feb 24, 2025 · RIA to affiliated broker-dealer or bank
- Y•••••• C••••••• to C••••• I••••••••• A••••••• L••Oct 18, 2023 · RIA to affiliated broker-dealer or bank
- E•••• A•••••• S•••••• to A•••• • A••••••• G••••• P•••••••Feb 2, 2023 · RIA to RIA
- J••• C•••••• D••••• to P••••••••Dec 1, 2022 · RIA to RIA
- T••••• E•••••• T••••• to S•••••• F•••••••• G••••Sep 3, 2020 · RIA to RIA
- C•••••••• A•• S•••••• to C•••••• S••••• • C••• I•••Mar 21, 2019 · RIA to affiliated broker-dealer or bank
- M••••••• R•••••• C••••••• to R•••••• J•••• • A••••••••• I•••Oct 27, 2015 · Other
- C••••••••• T••••• C••••••• to C•••••• W••••• M•••••••••May 22, 2013 · Other
- Z••••• S••••••••• U•••••• to C•••••• W••••• M•••••••••Dec 31, 2012 · Other
Joined, latest
- C•••• P•••• S••••••• from R•••• F••• M••••••••• L••Mar 12, 2026 · RIA to RIA
- E••••• J•••• W••••• R••••••• from T••••••• I••••••••• M••••••••• I•••Jul 10, 2025 · Affiliated broker-dealer or bank to independent RIA
- R••••• J• C••••• from C••• F•••••••• S•••••••• L•••Jan 7, 2025 · Other
- C•••••••• A•• S•••••• from A•••••• P••••••• W••••• M•••••••••Apr 14, 2023 · RIA to RIA
- Y•••••• C••••••• from R•••••• J•••• • A••••••••• I•••Jun 10, 2021 · Affiliated broker-dealer or bank to independent RIA
- J••• C•••••• D••••• from S••••••••• A••••••• G••••• L••Jul 17, 2020 · RIA to RIA
- M••••••• R•••••• C••••••• from I••••••••• A••••• I••••••••• M••••••••• L••Sep 18, 2014 · Other
- A•• N•••• F•••••••• from H••••••• F•••••••• S•••••••• L••Jan 13, 2011 · Other
- P••• R••••• from H••••••• F•••••••• S•••••••• L••May 1, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• J••••• C••••••••• · Senior Partner & Chief Investment Officercontrolsince 03/2003 · owns 50% to 75%
- R•••••• P••• · Chief Executive Officer & Chief Compliance Officercontrolsince 04/2007 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Orlando, Fl · principal | 13 | 2 | 2 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 12 to 13Mar 10, 2026 to Jul 24, 2026
- Employees · 17 to 18Mar 10, 2026 to Jul 24, 2026
- State-registered IARs · 12 to 13Mar 10, 2026 to Jul 24, 2026
- Accounts · 2,319 to 2,557Aug 7, 2025 to Mar 10, 2026
- Advisory employees · 10 to 12Aug 7, 2025 to Mar 10, 2026
- Corporate clients · 23 to 35Aug 7, 2025 to Mar 10, 2026
- HNW clients · 82 to 99Aug 7, 2025 to Mar 10, 2026
- Individual clients · 899 to 963Aug 7, 2025 to Mar 10, 2026
- Assets in custody · unset to 475182812.0Aug 7, 2025 to Mar 10, 2026
- Custody of client assets · false to trueAug 7, 2025 to Mar 10, 2026
- Employees · 15 to 17Aug 7, 2025 to Mar 10, 2026
- State-registered IARs · 10 to 12Aug 7, 2025 to Mar 10, 2026
- Discretionary RAUM · $393M to $475MAug 7, 2025 to Mar 10, 2026
- HNW RAUM · $212M to $260MAug 7, 2025 to Mar 10, 2026
- Individual RAUM · $155M to $186MAug 7, 2025 to Mar 10, 2026
- RAUM · $393M to $475MAug 7, 2025 to Mar 10, 2026
- Accounts · 2,312 to 2,319Mar 27, 2024 to Mar 27, 2025
- Advisory employees · 11 to 10Mar 27, 2024 to Mar 27, 2025
- Corporate clients · 17 to 23Mar 27, 2024 to Mar 27, 2025
- HNW clients · 83 to 82Mar 27, 2024 to Mar 27, 2025
- Individual clients · 895 to 899Mar 27, 2024 to Mar 27, 2025
- Employees · 17 to 15Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · More than 500 to More than 500Mar 27, 2024 to Mar 27, 2025
- State-registered IARs · 11 to 10Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $352M to $393MMar 27, 2024 to Mar 27, 2025
- HNW RAUM · $197M to $212MMar 27, 2024 to Mar 27, 2025
- Individual RAUM · $130M to $155MMar 27, 2024 to Mar 27, 2025
- RAUM · $352M to $393MMar 27, 2024 to Mar 27, 2025
- Accounts · 2,336 to 2,312Mar 18, 2023 to Mar 27, 2024
- Charity clients · 5.0 to unsetMar 18, 2023 to Mar 27, 2024
- HNW clients · 75 to 83Mar 18, 2023 to Mar 27, 2024
- Individual clients · 894 to 895Mar 18, 2023 to Mar 27, 2024
- Employees · 16 to 17Mar 18, 2023 to Mar 27, 2024
- Discretionary RAUM · $310M to $352MMar 18, 2023 to Mar 27, 2024
- HNW RAUM · $128M to $197MMar 18, 2023 to Mar 27, 2024
- Individual RAUM · $171M to $130MMar 18, 2023 to Mar 27, 2024
- RAUM · $310M to $352MMar 18, 2023 to Mar 27, 2024
- Accounts · 2,255 to 2,336Sep 12, 2022 to Mar 18, 2023
- Advisory employees · 12 to 11Sep 12, 2022 to Mar 18, 2023
- Charity clients · unset to 5.0Sep 12, 2022 to Mar 18, 2023
Signals
7 dated events
- C•••••••• A•• S•••••• left A••••• F•••••••• A•••••••• I••• for A•••• F•••••••• P•••••••• L•• (registered 2026-03-25)Mar 3, 2026 · Advisor changed firm · fact
- E•••• T•••• C••• left A••••• F•••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2026-06-19)Dec 11, 2025 · Advisor changed firm · fact
- R••• L•••• S••••• left A••••• F•••••••• A•••••••• I••• for H•••••••• A•••••••• L•• (registered 2025-08-14)Feb 24, 2025 · Advisor changed firm · fact
- Y•••••• C••••••• left A••••• F•••••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-02-03)Oct 18, 2023 · Advisor changed firm · fact
- E•••• A•••••• S•••••• left A••••• F•••••••• A•••••••• I••• for A•••• • A••••••• G••••• P••••••• (registered 2023-01-24)Feb 2, 2023 · Advisor changed firm · fact
- J••• C•••••• D••••• left A••••• F•••••••• A•••••••• I••• for Pathstone (registered 2023-01-06)Dec 1, 2022 · Advisor changed firm · fact
- A••••• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Jul 3, 2014 · 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
- a•••••••@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 407-210-3887reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 407-210-3888reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/allgenfinancialreportedpublic record, Form ADV, Sep 19, 2026
- Website
- A•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 407-210-3888reportedpublic record, Form ADV, Jul 24, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $36.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026