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

C••• D••••• I•••

Former SEC-registered adviserWest Palm Beach, FloridaCRD 131528SEC 801-63409IAPD
Latest filing Aug 27, 2019
First filing on the tape Feb 27, 2012 · 26 filings
RAUM
$73.6M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$72.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$36.8M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$73.6M as of Mar 11, 2019
Feb 27, 2012$190M then
HNW client RAUM$16.4M as of Mar 11, 2019
Mar 7, 2018$68.4M then
State-registered IARs (5.B.3)2 as of Mar 11, 2019
Jan 28, 20139 then
Employees (5.A)3 as of Mar 11, 2019
Jan 28, 201312 then
Private funds: no history
RAUM -19% over the last fiscal year-22% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 27, 2019; every figure names its basis
RAUM per advisor
$36.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
57derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$16.4MderivedHNW RAUM over HNW clients
Average account
$623,946derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-19%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-15%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$13.4M, 45 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Individuals$56.3M76%
  • High-net-worth individuals$16.4M22%
  • Charitable organizations$539,6950.7%
  • Pension and profit-sharing plans$336,6570.5%
Individual clients
113reported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
118reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$13.4M for 45 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••• J••••• D•••••West Palm Beach, FlJul 3, 200632 y1
M•••• D•••••West Palm Beach, FlJan 1, 202613 y0
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D•••••• C•••• J••••• · President/Chief Compliance Officercontrol
    since 08/2004 · 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
OfficeAdvisorsJoinedLeftTeams outForming
West Palm Beach, Fl · principal210
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 137 to 118
    Jul 12, 2018 to Mar 11, 2019
  • HNW clients · 17 to 1
    Jul 12, 2018 to Mar 11, 2019
  • Individual clients · 117 to 113
    Jul 12, 2018 to Mar 11, 2019
  • Assets in custody · $12.4M to $13.4M
    Jul 12, 2018 to Mar 11, 2019
  • Employees · 2 to 3
    Jul 12, 2018 to Mar 11, 2019
  • Discretionary RAUM · $90.2M to $73.2M
    Jul 12, 2018 to Mar 11, 2019
  • HNW RAUM · $68.4M to $16.4M
    Jul 12, 2018 to Mar 11, 2019
  • Individual RAUM · $20.6M to $56.3M
    Jul 12, 2018 to Mar 11, 2019
  • Non-discretionary RAUM · $453,625 to $467,085
    Jul 12, 2018 to Mar 11, 2019
  • Pension RAUM · $746,060 to $336,657
    Jul 12, 2018 to Mar 11, 2019
  • RAUM · $90.6M to $73.6M
    Jul 12, 2018 to Mar 11, 2019
  • Assets in custody · unset to 12355148.0
    Mar 7, 2018 to Jun 18, 2018
  • Custody of client assets · false to true
    Mar 7, 2018 to Jun 18, 2018
  • Accounts · 154 to 137
    Aug 18, 2017 to Mar 7, 2018
  • HNW clients · unset to 17.0
    Aug 18, 2017 to Mar 7, 2018
  • Individual clients · unset to 117.0
    Aug 18, 2017 to Mar 7, 2018
  • Employees · 7 to 2
    Aug 18, 2017 to Mar 7, 2018
  • Financial planning clients · 1-10 to 0
    Aug 18, 2017 to Mar 7, 2018
  • Other offices · unset to 0.0
    Aug 18, 2017 to Mar 7, 2018
  • Discretionary RAUM · $98.7M to $90.2M
    Aug 18, 2017 to Mar 7, 2018
  • HNW RAUM · unset to 68398899.0
    Aug 18, 2017 to Mar 7, 2018
  • Individual RAUM · unset to 20596143.0
    Aug 18, 2017 to Mar 7, 2018
  • Non-discretionary RAUM · $386,611 to $453,625
    Aug 18, 2017 to Mar 7, 2018
  • Pension RAUM · unset to 746060.0
    Aug 18, 2017 to Mar 7, 2018
  • RAUM · $99.1M to $90.6M
    Aug 18, 2017 to Mar 7, 2018
  • Accounts · 186 to 154
    Mar 21, 2017 to Aug 18, 2017
  • Discretionary RAUM · $115M to $98.7M
    Mar 21, 2017 to Aug 18, 2017
  • Non-discretionary RAUM · $1.3M to $386,611
    Mar 21, 2017 to Aug 18, 2017
  • RAUM · $116M to $99.1M
    Mar 21, 2017 to Aug 18, 2017
  • Accounts · 278 to 186
    Nov 2, 2016 to Mar 21, 2017
  • Advisory employees · 3 to 2
    Nov 2, 2016 to Mar 21, 2017
  • Employees · 4 to 7
    Nov 2, 2016 to Mar 21, 2017
  • State-registered IARs · 3 to 2
    Nov 2, 2016 to Mar 21, 2017
  • Discretionary RAUM · $154M to $115M
    Nov 2, 2016 to Mar 21, 2017
  • Non-discretionary RAUM · $132,607 to $1.3M
    Nov 2, 2016 to Mar 21, 2017
  • RAUM · $154M to $116M
    Nov 2, 2016 to Mar 21, 2017
  • Advisory employees · 7 to 3
    Jul 12, 2016 to Oct 4, 2016
  • Employees · 8 to 4
    Jul 12, 2016 to Oct 4, 2016
  • State-registered IARs · 7 to 3
    Jul 12, 2016 to Oct 4, 2016
  • Related insurance company · true to false
    Jul 12, 2016 to Oct 4, 2016
Signals
No event on the tape.
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
Website
C•••D•••••.COMreportedpublic record, Form ADV, Sep 18, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$36.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026