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

Southern Trust Financial Planning

Former SEC-registered adviserSarasota, FloridaCRD 131377SEC 801-70791IAPD
Legal name Southern Trust Financial Planning, Inc.
Latest filing Mar 31, 2021
First filing on the tape Mar 20, 2012 · 17 filings
RAUM
$189M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$189M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$189M as of Mar 31, 2021
Mar 20, 2012$92.0M then
HNW client RAUM$120M as of Mar 31, 2021
Mar 28, 2018$47.1M then
State-registered IARs (5.B.3)4 as of Mar 31, 2021
Mar 20, 20120 then
Employees (5.A)7 as of Mar 31, 2021
Mar 26, 20134 then
Private funds: no history
RAUM +29% over the last fiscal year+18% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
RAUM per advisor
$47.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
88derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$272,177derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+29%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+11%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$120M63%
  • Individuals$69.0M37%
Individual clients
283reported
HNW clients
68reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
693reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Steven Marc Wolff · President/Chief Compliance Officercontrol
      since 06/2004 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Bonita Springs, FL1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 621 to 693
      Jun 30, 2020 to Mar 31, 2021
    • HNW clients · 44 to 68
      Jun 30, 2020 to Mar 31, 2021
    • Individual clients · 271 to 283
      Jun 30, 2020 to Mar 31, 2021
    • Discretionary RAUM · $146M to $189M
      Jun 30, 2020 to Mar 31, 2021
    • HNW RAUM · $82.6M to $120M
      Jun 30, 2020 to Mar 31, 2021
    • Individual RAUM · $62.6M to $69.0M
      Jun 30, 2020 to Mar 31, 2021
    • Pension RAUM · 490374.0 to unset
      Jun 30, 2020 to Mar 31, 2021
    • RAUM · $146M to $189M
      Jun 30, 2020 to Mar 31, 2021
    • Accounts · 637 to 621
      Mar 22, 2019 to Mar 30, 2020
    • HNW clients · 22 to 44
      Mar 22, 2019 to Mar 30, 2020
    • Individual clients · 297 to 271
      Mar 22, 2019 to Mar 30, 2020
    • Discretionary RAUM · $110M to $146M
      Mar 22, 2019 to Mar 30, 2020
    • HNW RAUM · $39.9M to $82.6M
      Mar 22, 2019 to Mar 30, 2020
    • Individual RAUM · $69.7M to $62.6M
      Mar 22, 2019 to Mar 30, 2020
    • Pension RAUM · $303,638 to $490,374
      Mar 22, 2019 to Mar 30, 2020
    • RAUM · $110M to $146M
      Mar 22, 2019 to Mar 30, 2020
    • Accounts · 602 to 637
      Jul 26, 2018 to Mar 22, 2019
    • BD registered reps · 5 to 4
      Jul 26, 2018 to Mar 22, 2019
    • HNW clients · 49 to 22
      Jul 26, 2018 to Mar 22, 2019
    • Individual clients · 270 to 297
      Jul 26, 2018 to Mar 22, 2019
    • Employees · 9 to 7
      Jul 26, 2018 to Mar 22, 2019
    • Discretionary RAUM · $115M to $110M
      Jul 26, 2018 to Mar 22, 2019
    • HNW RAUM · $47.1M to $39.9M
      Jul 26, 2018 to Mar 22, 2019
    • Individual RAUM · $67.0M to $69.7M
      Jul 26, 2018 to Mar 22, 2019
    • Pension RAUM · $156,560 to $303,638
      Jul 26, 2018 to Mar 22, 2019
    • RAUM · $115M to $110M
      Jul 26, 2018 to Mar 22, 2019
    • Wrap assets (manager) · 0.0 to unset
      Jul 26, 2018 to Mar 22, 2019
    • Wrap assets (sponsor) · 0.0 to unset
      Jul 26, 2018 to Mar 22, 2019
    • Accounts · 613 to 602
      Mar 31, 2017 to Mar 28, 2018
    • HNW clients · unset to 49.0
      Mar 31, 2017 to Mar 28, 2018
    • Individual clients · unset to 270.0
      Mar 31, 2017 to Mar 28, 2018
    • Employees · 5 to 9
      Mar 31, 2017 to Mar 28, 2018
    • Other offices · unset to 1.0
      Mar 31, 2017 to Mar 28, 2018
    • Discretionary RAUM · $95.8M to $115M
      Mar 31, 2017 to Mar 28, 2018
    • HNW RAUM · unset to 47108232.0
      Mar 31, 2017 to Mar 28, 2018
    • Individual RAUM · unset to 67023477.0
      Mar 31, 2017 to Mar 28, 2018
    • Pension RAUM · unset to 156560.0
      Mar 31, 2017 to Mar 28, 2018
    • RAUM · $95.8M to $115M
      Mar 31, 2017 to Mar 28, 2018
    • Wrap assets (manager) · unset to 0.0
      Mar 31, 2017 to Mar 28, 2018
    • Wrap assets (sponsor) · unset to 0.0
      Mar 31, 2017 to Mar 28, 2018
    Signals
    6 dated events
    • Marc Steven Wolff left Southern Trust Financial Planning for Moors & Cabot, Inc (registered 2007-10-17)
      Mar 3, 2022 · Advisor changed firm · fact
    • James Paul Cooper left Southern Trust Financial Planning for Moors & Cabot, Inc (registered 2007-10-17)
      Mar 1, 2022 · Advisor changed firm · fact
    • Mark Demosthenes Generales left Southern Trust Financial Planning for Beacon Pointe Advisors, Llc (registered 2022-03-10)
      Mar 1, 2022 · Advisor changed firm · fact
    • Gregory Len Gionfriddo left Southern Trust Financial Planning for Beacon Pointe Advisors, Llc (registered 2022-01-13)
      Mar 1, 2022 · Advisor changed firm · fact
    • 2 advisors left Southern Trust Financial Planning (Sarasota, FL) for Beacon Pointe Advisors, LLC on the same day
      Mar 1, 2022 · Team lift-out · derived
    • 2 advisors left Southern Trust Financial Planning (Sarasota, FL) for Moors & Cabot, Inc within 2 days
      Mar 1, 2022 · Team lift-out · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026