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••••••• F•••••••• C••••
Latest filing Apr 24, 2026
First filing on the tape Mar 29, 2012 · 28 filings
SEC status approved since Apr 21, 2014
RAUM
$397M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$397M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$397M as of Apr 24, 2026
Mar 29, 2012$81.5M then
HNW client RAUM$121M as of Apr 24, 2026
Feb 22, 2018$86.6M then
State-registered IARs (5.B.3)3 as of Apr 24, 2026
Mar 29, 20120 then
Employees (5.A)5 as of Apr 24, 2026
Mar 30, 20154 then
Private funds: no history
RAUM +25% over the last fiscal year+23% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 24, 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
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 108derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.0MderivedHNW RAUM over HNW clients
- Average account
- $429,393derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $156M, 196 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$275M69%
- High-net-worth individuals$121M31%
- Individual clients
- 313reported
- HNW clients
- 11reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 924reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $156M for 196 clientsreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• M•••••• H•••Certified Financial Planner | Sarasota, Fl | Jul 30, 2020 | 25 y | 3 |
| J•••• M•••••• H••• | Sarasota, Fl | Jan 2, 2025 | 43 y | 2 |
| J•••• C••••••••• M••••Certified Financial Planner | Sarasota, Fl | Oct 6, 2025 | 14 y | 3 |
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
- D•••• M•••••• B•••••••• to E••••• J••••Jun 15, 2018 · RIA to affiliated broker-dealer or bank
- E••••• K•••••• to R•••••• J•••• • A••••••••• I•••Jun 1, 2009 · Other
Joined, latest
- J•••• C••••••••• M•••• from F••••••• P••••••• A•• W•••••••• A•••••••Mar 1, 2019 · Affiliated broker-dealer or bank to independent RIA
- D•••• M•••••• B•••••••• from C•••••• S••••• • C••• I•••Feb 9, 2018 · Other
- B••••••• M•••••• H••• from E•••• I•••Mar 5, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• B•••••••• M•••••• · Presidentcontrolsince 02/2020 · owns 75% or more
- H•••• J••••• M•••••• · Vice Presidentcontrolsince 02/2020 · owns 10% to 25%
- H•••••• M•••• T•••••• · Ccosince 01/2019 · owns less than 5%
- M••••• J••••• C••••••••• · Officersince 03/2019 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Sarasota, Fl · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 848 to 924Apr 25, 2025 to Mar 4, 2026
- Advisory activities · 1 to 2Apr 25, 2025 to Mar 4, 2026
- HNW clients · 10 to 11Apr 25, 2025 to Mar 4, 2026
- Individual clients · 289 to 313Apr 25, 2025 to Mar 4, 2026
- Assets in custody · $138M to $156MApr 25, 2025 to Mar 4, 2026
- Financial planning clients · 0 to 11-25Apr 25, 2025 to Mar 4, 2026
- Discretionary RAUM · $318M to $397MApr 25, 2025 to Mar 4, 2026
- HNW RAUM · $102M to $121MApr 25, 2025 to Mar 4, 2026
- Individual RAUM · $216M to $275MApr 25, 2025 to Mar 4, 2026
- RAUM · $318M to $397MApr 25, 2025 to Mar 4, 2026
- Financial planning clients · 0 to 0Jan 28, 2025 to Apr 25, 2025
- Accounts · 828 to 848Mar 5, 2024 to Jan 28, 2025
- HNW clients · 7 to 10Mar 5, 2024 to Jan 28, 2025
- Individual clients · 272 to 289Mar 5, 2024 to Jan 28, 2025
- Assets in custody · $93.6M to $138MMar 5, 2024 to Jan 28, 2025
- Discretionary RAUM · $252M to $318MMar 5, 2024 to Jan 28, 2025
- HNW RAUM · $73.5M to $102MMar 5, 2024 to Jan 28, 2025
- Individual RAUM · $178M to $216MMar 5, 2024 to Jan 28, 2025
- RAUM · $252M to $318MMar 5, 2024 to Jan 28, 2025
- Accounts · 823 to 828Feb 3, 2023 to Mar 5, 2024
- HNW clients · 5 to 7Feb 3, 2023 to Mar 5, 2024
- Individual clients · 249 to 272Feb 3, 2023 to Mar 5, 2024
- Assets in custody · $83.8M to $93.6MFeb 3, 2023 to Mar 5, 2024
- Discretionary RAUM · $213M to $252MFeb 3, 2023 to Mar 5, 2024
- HNW RAUM · $62.7M to $73.5MFeb 3, 2023 to Mar 5, 2024
- Individual RAUM · $151M to $178MFeb 3, 2023 to Mar 5, 2024
- RAUM · $213M to $252MFeb 3, 2023 to Mar 5, 2024
- Accounts · 773 to 823Nov 9, 2022 to Feb 3, 2023
- HNW clients · 9 to 5Nov 9, 2022 to Feb 3, 2023
- Individual clients · 308 to 249Nov 9, 2022 to Feb 3, 2023
- Assets in custody · $149M to $83.8MNov 9, 2022 to Feb 3, 2023
- Discretionary RAUM · $378M to $213MNov 9, 2022 to Feb 3, 2023
- HNW RAUM · $148M to $62.7MNov 9, 2022 to Feb 3, 2023
- Individual RAUM · $231M to $151MNov 9, 2022 to Feb 3, 2023
- RAUM · $378M to $213MNov 9, 2022 to Feb 3, 2023
- Accounts · 704 to 773Apr 30, 2021 to Feb 25, 2022
- HNW clients · 44 to 9Apr 30, 2021 to Feb 25, 2022
- Individual clients · 243 to 308Apr 30, 2021 to Feb 25, 2022
- Assets in custody · $102M to $149MApr 30, 2021 to Feb 25, 2022
- Discretionary RAUM · $257M to $378MApr 30, 2021 to Feb 25, 2022
Signals
3 dated events
- S••••••• F•••••••• C•••• reported RAUM $213.2M, down 44% from $378.4M (2022-11-09 to 2023-02-03)Feb 3, 2023 · RAUM change · derived
- S••••••• F•••••••• C•••• reported RAUM $378.4M, up 48% from $256.5M (2021-04-30 to 2022-02-25)Feb 25, 2022 · RAUM change · derived
- S••••••• F•••••••• C•••• filed its initial SEC registration (Form ADV)Mar 28, 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.
How to reach
public business contact points only, each with its source
- Website
- S•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 941-371-8027reportedpublic record, Form ADV, Apr 24, 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
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026