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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S•• N••••••• P•••••• A•••• M••••••••• I•••
Latest filing Jun 25, 2026
First filing on the tape Feb 29, 2012 · 12 filings
SEC status approved since Apr 29, 2021
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$151M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$151M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$151M as of Jun 25, 2026
Feb 29, 2012$60.3M then
HNW client RAUM$151M as of Jun 25, 2026
Mar 17, 2022$124M then
State-registered IARs (5.B.3)1 as of Jun 25, 2026
Feb 29, 20120 then
Employees (5.A)3 as of Jun 25, 2026
Mar 17, 20223 then
Private funds: no history
RAUM -0.7% over the last fiscal year+14% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Jun 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $151MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $967,949derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$151M100%
- Individual clients
- n/areported
- HNW clients
- 92reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 156reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• A• M••••• | Jacksonville, Fl | Nov 20, 2023 | 11 y | 2 |
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
- J•••• A• M••••• from W•••• F•••• A•••••••Nov 20, 2023 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• T••• D• · President/Chief Compliance Officercontrolsince 06/2004 · owns 50% to 75%
- W•••••• A••••• T••••• · Principal/Ownercontrolsince 08/2004 · owns 10% to 25%
- C••••••• R•••• · Compliance/Tech Managersince 04/2021 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 150 to 156Jan 16, 2025 to Mar 31, 2026
- Advisory employees · 2 to 1Jan 16, 2025 to Mar 31, 2026
- HNW clients · 94 to 92Jan 16, 2025 to Mar 31, 2026
- Employees · 4 to 3Jan 16, 2025 to Mar 31, 2026
- State-registered IARs · 2 to 1Jan 16, 2025 to Mar 31, 2026
- Discretionary RAUM · $152M to $151MJan 16, 2025 to Mar 31, 2026
- HNW RAUM · $152M to $151MJan 16, 2025 to Mar 31, 2026
- RAUM · $152M to $151MJan 16, 2025 to Mar 31, 2026
- Accounts · 131 to 150Mar 13, 2024 to Jan 16, 2025
- HNW clients · 90 to 94Mar 13, 2024 to Jan 16, 2025
- Financial planning clients · unset to Mar 13, 2024 to Jan 16, 2025
- Discretionary RAUM · $130M to $152MMar 13, 2024 to Jan 16, 2025
- HNW RAUM · $130M to $152MMar 13, 2024 to Jan 16, 2025
- RAUM · $130M to $152MMar 13, 2024 to Jan 16, 2025
- Accounts · 120 to 131Nov 1, 2023 to Mar 13, 2024
- Advisory employees · 1 to 2Nov 1, 2023 to Mar 13, 2024
- HNW clients · 86 to 90Nov 1, 2023 to Mar 13, 2024
- Employees · 3 to 4Nov 1, 2023 to Mar 13, 2024
- State-registered IARs · 1 to 2Nov 1, 2023 to Mar 13, 2024
- Discretionary RAUM · $102M to $130MNov 1, 2023 to Mar 13, 2024
- HNW RAUM · $102M to $130MNov 1, 2023 to Mar 13, 2024
- RAUM · $102M to $130MNov 1, 2023 to Mar 13, 2024
- Accounts · 117 to 120Oct 31, 2022 to Mar 13, 2023
- HNW clients · 83 to 86Oct 31, 2022 to Mar 13, 2023
- Discretionary RAUM · $124M to $102MOct 31, 2022 to Mar 13, 2023
- HNW RAUM · $124M to $102MOct 31, 2022 to Mar 13, 2023
- RAUM · $124M to $102MOct 31, 2022 to Mar 13, 2023
- Accounts · 116 to 117Mar 29, 2021 to Mar 17, 2022
- HNW clients · 85 to 83Mar 29, 2021 to Mar 17, 2022
- Employees · 2 to 3Mar 29, 2021 to Mar 17, 2022
- Discretionary RAUM · $106M to $124MMar 29, 2021 to Mar 17, 2022
- HNW RAUM · $106M to $124MMar 29, 2021 to Mar 17, 2022
- RAUM · $106M to $124MMar 29, 2021 to Mar 17, 2022
- Accounts · 112 to 116Feb 29, 2012 to Mar 29, 2021
- Advisory employees · unset to 1.0Feb 29, 2012 to Mar 29, 2021
- HNW clients · unset to 85.0Feb 29, 2012 to Mar 29, 2021
- Employees · unset to 2.0Feb 29, 2012 to Mar 29, 2021
- State-registered IARs · 0 to 1Feb 29, 2012 to Mar 29, 2021
- Other offices · unset to 0.0Feb 29, 2012 to Mar 29, 2021
- Discretionary RAUM · $60.3M to $106MFeb 29, 2012 to Mar 29, 2021
Signals
1 dated events
- S•• N••••••• P•••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Mar 29, 2021 · 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
- Principal office phone
- 904-470-0102reportedpublic record, Form ADV, Jun 25, 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
- $151Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026