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
N•••••••• I•••
Legal name N••••••• R••••••••• P••• S•••••••• I•••
Latest filing Jul 7, 2026
First filing on the tape Mar 20, 2012 · 29 filings
SEC status approved since Feb 10, 2005
RAUM
$911M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
13%
$116M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$82.8M
derived; firm RAUM over IAPD count
Employees
29
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$911M as of Jul 7, 2026
Mar 20, 2012$141M then
HNW client RAUM$95.9M as of Jul 7, 2026
Mar 29, 2018$21.8M then
State-registered IARs (5.B.3)9 as of Jul 7, 2026
Mar 20, 20120 then
Employees (5.A)29 as of Jul 7, 2026
Mar 27, 201310 then
Private funds: no history
RAUM +26% over the last fiscal year+39% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Jul 7, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $82.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 87%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%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, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $116MreportedItem 5.I
- Custody
- $795M, 443 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
- Pension and profit-sharing plans$795M87%
- High-net-worth individuals$95.9M11%
- Individuals$20.2M2.2%
- Individual clients
- 135reported
- HNW clients
- 38reported
- Pension plan clients
- 443reported
- Charitable clients
- n/areported
- Accounts
- 759reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $795M for 443 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.13 fund_share=0.0 institutional_share=0.87 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I•••• A•••••• | Jacksonville, Fl | Apr 3, 2008 | 19 y | 0 |
| J•••• R••••• B•• | Treasure Island, Fl | Jan 20, 2021 | 12 y | 0 |
| L•••• A•••• M•••••Certified Financial Planner, Chartered Financial Consultant | Tampa, Fl | May 16, 2024 | 13 y | 1 |
| K•••• J••• C••••Chartered Financial Analyst | Soutlake, Tx | Jan 1, 2025 | 25 y | 3 |
| A•••••••• B•••••• J•••••• | Jacksonville, Fl | Jan 1, 2025 | 15 y | 0 |
| B•••• A•••••• M•••••• | Jacksonville, Fl | Mar 17, 2025 | 15 y | 0 |
| K•••• B••••• C•••••• | Jacksonville, Fl | Nov 17, 2025 | 22 y | 0 |
| N••••••• A•••• Q•••• | Jacksonville, Fl | Nov 17, 2025 | 11 y | 0 |
| A••••• I•••• H••••••• | Jacksonville, Fl | Jan 1, 2026 | 21 y | 0 |
| S•••••• J•••• Q•••• | Jacksonville, Fl | Mar 24, 2026 | 10 y | 0 |
| E•••• P••••••••• | Jacksonville, Fl | Jun 9, 2026 | 15 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- V••••••• A•••• to P•••• S••••••••• L••Apr 12, 2019 · Other
- J••• W•••••• S••••••• to C••••••• • C••• I•••May 25, 2017 · Other
Joined, latest
- E•••• P••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 9, 2026 · Other
- K•••• J••• C•••• from T•• C•••• A••••••• I•••Jan 1, 2025 · Other
- L•••• A•••• M••••• from L•• F•••••••• L••May 16, 2024 · Other
- J••• W•••••• S••••••• from D••••••• F••••• I••••••••• M••••••••• L••Oct 18, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• K••••• B••••• · Chief Compliance Officer And Presidentcontrolsince 08/2018 · owns 25% to 50%
- J••••••• A••••••••• B•••••• · Chief Revenue Officercontrolsince 01/2024 · owns 25% to 50%
- M••••••• B••••• A•••••• · Chief Financial Officercontrolsince 11/2016 · 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 |
|---|---|---|---|---|---|
| Jacksonville, Fl · principal | 10 | 5 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 608 to 759Mar 25, 2025 to Feb 27, 2026
- Advisory employees · 8 to 9Mar 25, 2025 to Feb 27, 2026
- HNW clients · 36 to 38Mar 25, 2025 to Feb 27, 2026
- Individual clients · 118 to 135Mar 25, 2025 to Feb 27, 2026
- Pension plan clients · 356 to 443Mar 25, 2025 to Feb 27, 2026
- Assets in custody · $4.8M to $795MMar 25, 2025 to Feb 27, 2026
- Employees · 23 to 29Mar 25, 2025 to Feb 27, 2026
- Financial planning clients · 11-25 to 26-50Mar 25, 2025 to Feb 27, 2026
- State-registered IARs · 8 to 9Mar 25, 2025 to Feb 27, 2026
- Discretionary RAUM · $661M to $823MMar 25, 2025 to Feb 27, 2026
- HNW RAUM · $59.3M to $95.9MMar 25, 2025 to Feb 27, 2026
- Individual RAUM · $24.6M to $20.2MMar 25, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $63.3M to $88.4MMar 25, 2025 to Feb 27, 2026
- Pension RAUM · $641M to $795MMar 25, 2025 to Feb 27, 2026
- RAUM · $725M to $911MMar 25, 2025 to Feb 27, 2026
- Accounts · 441 to 608Jun 7, 2024 to Mar 25, 2025
- Advisory employees · 7 to 8Jun 7, 2024 to Mar 25, 2025
- Advisory activities · 3 to 4Jun 7, 2024 to Mar 25, 2025
- HNW clients · 30 to 36Jun 7, 2024 to Mar 25, 2025
- Individual clients · 173 to 118Jun 7, 2024 to Mar 25, 2025
- Pension plan clients · 237 to 356Jun 7, 2024 to Mar 25, 2025
- Assets in custody · unset to 4845290.0Jun 7, 2024 to Mar 25, 2025
- Custody of client assets · false to trueJun 7, 2024 to Mar 25, 2025
- Employees · 18 to 23Jun 7, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 11-25Jun 7, 2024 to Mar 25, 2025
- State-registered IARs · 7 to 8Jun 7, 2024 to Mar 25, 2025
- Discretionary RAUM · $434M to $661MJun 7, 2024 to Mar 25, 2025
- HNW RAUM · $39.2M to $59.3MJun 7, 2024 to Mar 25, 2025
- Individual RAUM · $9.3M to $24.6MJun 7, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $50.7M to $63.3MJun 7, 2024 to Mar 25, 2025
- Pension RAUM · $436M to $641MJun 7, 2024 to Mar 25, 2025
- RAUM · $484M to $725MJun 7, 2024 to Mar 25, 2025
- Wrap assets (manager) · unset to 0.0Jun 7, 2024 to Mar 25, 2025
- Wrap assets (sponsor) · unset to 0.0Jun 7, 2024 to Mar 25, 2025
- Accounts · 400 to 441Dec 1, 2023 to Mar 29, 2024
- HNW clients · 35 to 30Dec 1, 2023 to Mar 29, 2024
- Individual clients · 168 to 173Dec 1, 2023 to Mar 29, 2024
- Pension plan clients · 197 to 237Dec 1, 2023 to Mar 29, 2024
- Employees · 17 to 18Dec 1, 2023 to Mar 29, 2024
- Discretionary RAUM · $294M to $434MDec 1, 2023 to Mar 29, 2024
Signals
8 dated events
- N•••••••• I••• reported RAUM $911.3M, up 26% from $724.7M (2025-03-25 to 2026-02-27)Feb 27, 2026 · RAUM change · derived
- N•••••••• I••• reported RAUM $724.7M, up 50% from $484.2M (2024-06-07 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- N•••••••• I••• reported RAUM $484.2M, up 42% from $339.9M (2023-12-01 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- B•••••• A•••••••• J•••••• (Chief Revenue Officer) appeared on Schedule A of N•••••••• I•••Mar 29, 2024 · Control person joined · fact
- N•••••••• I••• reported RAUM $378.5M, up 37% from $276.7M (2021-03-26 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Farnsworth R••••• Slimmon (Vice President) no longer on Schedule A of N•••••••• I••• (listed 2021-03-26, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Sarah Gronvold (Vp, Client Relationships) no longer on Schedule A of N•••••••• I••• (listed 2021-03-26, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Cromwell Constance Slimmon (Shareholder) no longer on Schedule A of N•••••••• I••• (listed 2019-03-29, absent 2019-03-31)Mar 31, 2019 · Control person left · inference
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
- rrplanning.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 904-348-3131reportedpublic record, Form ADV, Jul 7, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $82.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026