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
S•••• A•••• M••••••••• C••• L••
Latest filing May 5, 2026
First filing on the tape Mar 16, 2015 · 20 filings
SEC status approved since Mar 31, 2015
RAUM
$281M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$278M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$93.7M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$281M as of May 5, 2026
Feb 4, 2016$117M then
HNW client RAUM$83.4M as of May 5, 2026
Feb 8, 2018$46.4M then
State-registered IARs (5.B.3)2 as of May 5, 2026
Feb 4, 20161 then
Employees (5.A)7 as of May 5, 2026
Feb 4, 20162 then
Private funds: no history
RAUM +7.6% over the last fiscal year+7.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $93.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 255derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $220,905derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -21%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $138M, 523 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$194M69%
- High-net-worth individuals$83.4M30%
- Corporations and businesses$2.4M0.9%
- Charitable organizations$980,1410.3%
- State and municipal entities$88,5640.0%
- Individual clients
- 726reported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 1,273reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $138M for 523 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• S•••••• S•••• | Casselberry, Fl | Mar 29, 2005 | 23 y | 0 |
| B••••••• C•••• S•••• | Chiefland, Fl | Aug 27, 2021 | 11 y | 0 |
| S•••••• J••••• S•••• | Chiefland, Fl | Apr 21, 2026 | 10 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• B•••••••• L•••• · Owner/Vice-Presidentcontrolsince 08/2004 · owns 50% to 75%
- S••••• B•••••••• S•••••• · President/Managing Member/Chief Compliance Officercontrolsince 08/2004 · owns 50% to 75%
Related persons
Schedule D 7.A
- B••••••• S•••••• S••••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chiefland, Fl · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing May 5, 2026private clients per advisor of 255.0 against a peer median of 57.3 (3076 comparable advisers, 98.0th percentile, 5.6 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 98% percentile
- clients down average size upCombination · filing Mar 4, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $261,428,147 to $281,212,631, advisors 2 to 2, private clients 972 to 765, offices 0 to 0 (2025-04-08 to 2026-03-04)peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 1,180 to 1,273Apr 8, 2025 to Mar 4, 2026
- Corporate clients · 7 to 8Apr 8, 2025 to Mar 4, 2026
- HNW clients · 34 to 39Apr 8, 2025 to Mar 4, 2026
- Individual clients · 938 to 726Apr 8, 2025 to Mar 4, 2026
- Assets in custody · $135M to $138MApr 8, 2025 to Mar 4, 2026
- Discretionary RAUM · $261M to $281MApr 8, 2025 to Mar 4, 2026
- HNW RAUM · $79.0M to $83.4MApr 8, 2025 to Mar 4, 2026
- Individual RAUM · $180M to $194MApr 8, 2025 to Mar 4, 2026
- RAUM · $261M to $281MApr 8, 2025 to Mar 4, 2026
- Financial planning clients · unset to Feb 28, 2025 to Apr 8, 2025
- Accounts · 1,143 to 1,180Jul 8, 2024 to Feb 28, 2025
- Charity clients · 6 to 2Jul 8, 2024 to Feb 28, 2025
- Corporate clients · unset to 7.0Jul 8, 2024 to Feb 28, 2025
- HNW clients · 19 to 34Jul 8, 2024 to Feb 28, 2025
- Individual clients · 936 to 938Jul 8, 2024 to Feb 28, 2025
- Assets in custody · unset to 135419718.0Jul 8, 2024 to Feb 28, 2025
- Custody of client assets · false to trueJul 8, 2024 to Feb 28, 2025
- Employees · 4 to 7Jul 8, 2024 to Feb 28, 2025
- Discretionary RAUM · $234M to $261MJul 8, 2024 to Feb 28, 2025
- HNW RAUM · $53.0M to $79.0MJul 8, 2024 to Feb 28, 2025
- Individual RAUM · $179M to $180MJul 8, 2024 to Feb 28, 2025
- RAUM · $234M to $261MJul 8, 2024 to Feb 28, 2025
- Accounts · 827 to 1,143Mar 2, 2023 to Mar 8, 2024
- Advisory employees · 2 to 4Mar 2, 2023 to Mar 8, 2024
- Charity clients · 4 to 6Mar 2, 2023 to Mar 8, 2024
- HNW clients · 30 to 19Mar 2, 2023 to Mar 8, 2024
- Individual clients · 797 to 936Mar 2, 2023 to Mar 8, 2024
- Assets in custody · 1520654.0 to unsetMar 2, 2023 to Mar 8, 2024
- Custody of client assets · true to falseMar 2, 2023 to Mar 8, 2024
- Employees · 2 to 4Mar 2, 2023 to Mar 8, 2024
- Discretionary RAUM · $229M to $234MMar 2, 2023 to Mar 8, 2024
- HNW RAUM · $70.1M to $53.0MMar 2, 2023 to Mar 8, 2024
- Individual RAUM · $158M to $179MMar 2, 2023 to Mar 8, 2024
- RAUM · $229M to $234MMar 2, 2023 to Mar 8, 2024
- Accounts · 1,097 to 827Oct 20, 2022 to Mar 2, 2023
- Advisory employees · 1 to 2Oct 20, 2022 to Mar 2, 2023
- Individual clients · 804 to 797Oct 20, 2022 to Mar 2, 2023
- Employees · 1 to 2Oct 20, 2022 to Mar 2, 2023
- State-registered IARs · 1 to 2Oct 20, 2022 to Mar 2, 2023
- Discretionary RAUM · $225M to $229MOct 20, 2022 to Mar 2, 2023
Signals
1 dated events
- S•••• A•••• M••••••••• C••• L•• filed its initial SEC registration (Form ADV)Mar 16, 2015 · 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 phone
- 352-493-7700reportedpublished by the firm, firm site, Sep 16, 2026
- f••• website
- s••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 352-493-7700reportedpublic record, Form ADV, May 5, 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
- $93.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026