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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Former SEC-registered adviser
N•••••••• F•••••••• P•••••••• I•••
Latest filing Feb 27, 2026
First filing on the tape Mar 8, 2012 · 32 filings
SEC status approved since Apr 25, 2014
RAUM
$312M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$305M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$312M as of Feb 27, 2026
Mar 8, 2012$72.6M then
HNW client RAUM$214M as of Feb 27, 2026
Feb 7, 2018$65.9M then
State-registered IARs (5.B.3)5 as of Feb 27, 2026
Feb 25, 20154 then
Employees (5.A)8 as of Feb 27, 2026
Feb 25, 20154 then
Private funds: no history
RAUM +14% over the last fiscal year+15% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
- RAUM per advisor
- $62.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $295,665derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $103M, 179 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$214M69%
- Individuals$91.8M29%
- Charitable organizations$4.4M1.4%
- Pension and profit-sharing plans$1.8M0.6%
- Individual clients
- 264reported
- HNW clients
- 94reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,054reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $103M for 179 clientsreported
- 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
4 left, 0 joined in 12 months
net -4 in 12 months3 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- A•••• P••• G•••• to M••••• W••••• M••••••••• L••Jul 10, 2026 · RIA to RIA
- J••••• G•••• V•••••• to M••••• W••••• M••••••••• L••Jul 10, 2026 · RIA to RIA
- G••• C••••••••• G••••••• to M••••• W••••• M••••••••• L••Jul 10, 2026 · RIA to RIA
- C•••••• C•••••••• T••••• to F••••••Jun 12, 2026 · RIA to RIA
- F••••• M•••• to A••••••• C•••••• M••••••••• L••May 10, 2023 · RIA to RIA
- M••••• K••••• to I•• W••••• M••••••••• L••Jun 29, 2018 · RIA to RIA
Joined, latest
- J••••• G•••• V•••••• from M•••••••Jan 10, 2025 · RIA to RIA
- F••••• M•••• from C•••••• S••••• • C••• I•••Nov 9, 2021 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for M••••• W••••• M••••••••• L••Jul 10, 2026 · Plantation, Fl · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• A••••• P••• · President/Ceo/Ccocontrolsince 05/2000 · owns 50% to 75%
- T•••••• S••••• L•• · Chief Operations Officercontrolsince 11/2007 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Plantation, Fl · principal | 0 | 0 | 4 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 966 to 1,054Sep 8, 2025 to Feb 27, 2026
- Advisory employees · 5 to 4Sep 8, 2025 to Feb 27, 2026
- HNW clients · 80 to 94Sep 8, 2025 to Feb 27, 2026
- Individual clients · 241 to 264Sep 8, 2025 to Feb 27, 2026
- Assets in custody · $81.4M to $103MSep 8, 2025 to Feb 27, 2026
- Employees · 9 to 8Sep 8, 2025 to Feb 27, 2026
- State-registered IARs · 6 to 5Sep 8, 2025 to Feb 27, 2026
- Discretionary RAUM · $273M to $312MSep 8, 2025 to Feb 27, 2026
- HNW RAUM · $169M to $214MSep 8, 2025 to Feb 27, 2026
- Individual RAUM · $90.8M to $91.8MSep 8, 2025 to Feb 27, 2026
- Pension RAUM · $8.3M to $1.8MSep 8, 2025 to Feb 27, 2026
- RAUM · $273M to $312MSep 8, 2025 to Feb 27, 2026
- Accounts · 905 to 966Jan 7, 2025 to Mar 6, 2025
- Charity clients · 3.0 to unsetJan 7, 2025 to Mar 6, 2025
- HNW clients · 74 to 80Jan 7, 2025 to Mar 6, 2025
- Individual clients · 245 to 241Jan 7, 2025 to Mar 6, 2025
- Pension plan clients · 4.0 to unsetJan 7, 2025 to Mar 6, 2025
- Assets in custody · $157M to $81.4MJan 7, 2025 to Mar 6, 2025
- Insurance-licensed employees · 0 to 1Jan 7, 2025 to Mar 6, 2025
- Financial planning clients · 251-500 to 251-500Jan 7, 2025 to Mar 6, 2025
- State-registered IARs · 5 to 6Jan 7, 2025 to Mar 6, 2025
- Discretionary RAUM · $250M to $273MJan 7, 2025 to Mar 6, 2025
- HNW RAUM · $144M to $169MJan 7, 2025 to Mar 6, 2025
- Individual RAUM · $95.9M to $90.8MJan 7, 2025 to Mar 6, 2025
- Pension RAUM · $4.8M to $8.3MJan 7, 2025 to Mar 6, 2025
- RAUM · $250M to $273MJan 7, 2025 to Mar 6, 2025
- Employees · 8 to 9Nov 8, 2024 to Jan 7, 2025
- Accounts · 825 to 905Sep 6, 2023 to Mar 15, 2024
- Advisory employees · 6 to 5Sep 6, 2023 to Mar 15, 2024
- Advisory activities · 2 to 4Sep 6, 2023 to Mar 15, 2024
- Charity clients · 2 to 3Sep 6, 2023 to Mar 15, 2024
- HNW clients · 65 to 74Sep 6, 2023 to Mar 15, 2024
- Individual clients · 264 to 245Sep 6, 2023 to Mar 15, 2024
- Pension plan clients · 3 to 4Sep 6, 2023 to Mar 15, 2024
- Assets in custody · $48.0M to $157MSep 6, 2023 to Mar 15, 2024
- Employees · 6 to 8Sep 6, 2023 to Mar 15, 2024
- State-registered IARs · 6 to 5Sep 6, 2023 to Mar 15, 2024
- Discretionary RAUM · $207M to $250MSep 6, 2023 to Mar 15, 2024
- HNW RAUM · $116M to $144MSep 6, 2023 to Mar 15, 2024
- Individual RAUM · $84.3M to $95.9MSep 6, 2023 to Mar 15, 2024
Signals
8 dated events
- N•••••••• F•••••••• P•••••••• I••• no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $311.6M)Aug 3, 2026 · Left the SEC roster · derived
- A•••• P••• G•••• left N•••••••• F•••••••• P•••••••• I••• for M••••• W••••• M••••••••• L•• (registered 2026-06-16)Jul 10, 2026 · Advisor changed firm · fact
- J••••• G•••• V•••••• left N•••••••• F•••••••• P•••••••• I••• for M••••• W••••• M••••••••• L•• (registered 2026-07-13)Jul 10, 2026 · Advisor changed firm · fact
- G••• C••••••••• G••••••• left N•••••••• F•••••••• P•••••••• I••• for M••••• W••••• M••••••••• L•• (registered 2026-07-09)Jul 10, 2026 · Advisor changed firm · fact
- N•••••••• F•••••••• P•••••••• I•••'s advisors moved to M••••• W••••• M••••••••• L•• (Plantation, FL): 3 of 3 registered, on the same dayJul 10, 2026 · Firm absorbed (people side) · derived
- C•••••• C•••••••• T••••• left N•••••••• F•••••••• P•••••••• I••• for Farther (registered 2026-06-30)Jun 12, 2026 · Advisor changed firm · fact
- F••••• M•••• left N•••••••• F•••••••• P•••••••• I••• for A••••••• C•••••• M••••••••• L•• (registered 2023-05-23)May 10, 2023 · Advisor changed firm · fact
- N•••••••• F•••••••• P•••••••• I••• filed its initial SEC registration (Form ADV)Apr 7, 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.
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