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

R•••• C•••••• A•••••••• L•

Former SEC-registered adviserJacksonville, FloridaCRD 133706SEC 801-64178IAPD

Latest filing Apr 30, 2024

First filing on the tape Mar 29, 2012 · 34 filings

RAUM

$294M

reported, Item 5.F

Discretionary

87%

of RAUM

Private clients

79%

$233M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

34 filings and snapshots on the tape

RAUM$294M as of Mar 29, 2024

Mar 29, 2012$113M then

HNW client RAUM$164M as of Mar 29, 2024

Mar 2, 2018$127M then

State-registered IARs (5.B.3)5 as of Mar 29, 2024

Mar 29, 20120 then

Employees (5.A)7 as of Mar 29, 2024

Mar 22, 20133 then

Private funds: no history

RAUM +16% over the last fiscal year+8.4% a year over threeIARs 4 to 2

Practice profile

derived from the filing of Apr 30, 2024; every figure names its basis

RAUM per advisor: $147MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 135derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.0MderivedHNW RAUM over HNW clients
Average account: $440,860derivedRAUM over accounts (5.F.2.f)
Discretionary: 87%derivedof RAUM
Institutional: 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +16%derivedbetween the last two annual amendments
Advisor growth, one year: +25%derivedItem 5.B.3 between annual amendments
Client growth, one year: +13%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody: $76.9M, 136 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$164M56%
Individuals$68.5M23%
Charitable organizations$30.2M10%
Corporations and businesses$25.8M8.8%
Pension and profit-sharing plans$4.7M1.6%

Individual clients: 188reported
HNW clients: 82reported
Pension plan clients: 6reported
Charitable clients: n/areported
Accounts: 666reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: $76.9M for 136 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

Left, latest

W••••• P••••••• M••••• to W•••••• A•••••••• L••
Nov 21, 2024 · RIA to RIA
R••••• M•••••• S•••• to W•••••• A•••••••• L••
Nov 21, 2024 · RIA to RIA
S•••••• D•••• K••• to P•••••• W••••• A•••••••
Feb 1, 2024 · RIA to RIA
B•••••• T••••• M••••• to T•••••••• F•••••••• A•••••••• L••
Jun 22, 2022 · RIA to RIA

Joined, latest

W••••• P••••••• M••••• from F••••••• P••••••• A•• W•••••••• A•••••••
Jun 11, 2024 · Affiliated broker-dealer or bank to independent RIA
R••••• M•••••• S•••• from W••••• I••••••••• C••••••• L•••••
Oct 14, 2011 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for W•••••• A•••••••• L••
Nov 21, 2024 · Jacksonville, Fl

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••• R•••••• M•••••• · Managing Member/President/Chief Compliance Officercontrol
since 01/2023 · owns less than 5%
G•••••• L••• · Partnercontrol
since 01/2024 · owns F of S•••• D•••• • N••••• L••
K•••••• L•••••••• S••••• · Partnercontrol
since 07/2020 · owns F of S•••• D•••• • N••••• L••
L•••••••• R•••••• T••••• · Partnercontrol
since 02/1998 · owns F of S•••• D•••• • N••••• L••

Entity owners

S•••• D•••• • N••••• L•• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

S••••• D•••• • N••••• L••
insurancey

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Jacksonville, Fl · principal	0	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 6 to 5
Mar 29, 2024 to Apr 30, 2024
Employees · 7 to 6
Mar 29, 2024 to Apr 30, 2024
State-registered IARs · 5 to 2
Mar 29, 2024 to Apr 30, 2024
Accounts · 603 to 666
Jan 17, 2024 to Mar 29, 2024
Charity clients · 2.0 to unset
Jan 17, 2024 to Mar 29, 2024
Corporate clients · 4 to 5
Jan 17, 2024 to Mar 29, 2024
HNW clients · 70 to 82
Jan 17, 2024 to Mar 29, 2024
Individual clients · 170 to 188
Jan 17, 2024 to Mar 29, 2024
Assets in custody · $86.9M to $76.9M
Jan 17, 2024 to Mar 29, 2024
State-registered IARs · 4 to 5
Jan 17, 2024 to Mar 29, 2024
Discretionary RAUM · $222M to $256M
Jan 17, 2024 to Mar 29, 2024
HNW RAUM · $136M to $164M
Jan 17, 2024 to Mar 29, 2024
Individual RAUM · $65.6M to $68.5M
Jan 17, 2024 to Mar 29, 2024
Non-discretionary RAUM · $32.3M to $37.2M
Jan 17, 2024 to Mar 29, 2024
Pension RAUM · $3.5M to $4.7M
Jan 17, 2024 to Mar 29, 2024
RAUM · $254M to $294M
Jan 17, 2024 to Mar 29, 2024
Accounts · 528 to 603
Jan 30, 2023 to Feb 8, 2023
Advisory employees · 4 to 6
Jan 30, 2023 to Feb 8, 2023
Advisory activities · 3 to 4
Jan 30, 2023 to Feb 8, 2023
HNW clients · 66 to 70
Jan 30, 2023 to Feb 8, 2023
Individual clients · 148 to 170
Jan 30, 2023 to Feb 8, 2023
Pension plan clients · 3 to 6
Jan 30, 2023 to Feb 8, 2023
Assets in custody · $74.7M to $86.9M
Jan 30, 2023 to Feb 8, 2023
Employees · 6 to 7
Jan 30, 2023 to Feb 8, 2023
Discretionary RAUM · $218M to $222M
Jan 30, 2023 to Feb 8, 2023
HNW RAUM · $144M to $136M
Jan 30, 2023 to Feb 8, 2023
Individual RAUM · $61.2M to $65.6M
Jan 30, 2023 to Feb 8, 2023
Non-discretionary RAUM · $49.1M to $32.3M
Jan 30, 2023 to Feb 8, 2023
Pension RAUM · $1.6M to $3.5M
Jan 30, 2023 to Feb 8, 2023
RAUM · $267M to $254M
Jan 30, 2023 to Feb 8, 2023
Accounts · 491 to 528
Apr 15, 2021 to Mar 25, 2022
Corporate clients · 3 to 4
Apr 15, 2021 to Mar 25, 2022
HNW clients · 69 to 66
Apr 15, 2021 to Mar 25, 2022
Individual clients · 128 to 148
Apr 15, 2021 to Mar 25, 2022
Assets in custody · $60.8M to $74.7M
Apr 15, 2021 to Mar 25, 2022
Discretionary RAUM · $175M to $218M
Apr 15, 2021 to Mar 25, 2022
HNW RAUM · $134M to $144M
Apr 15, 2021 to Mar 25, 2022
Individual RAUM · $43.5M to $61.2M
Apr 15, 2021 to Mar 25, 2022
Non-discretionary RAUM · $55.1M to $49.1M
Apr 15, 2021 to Mar 25, 2022
Pension RAUM · $1.1M to $1.6M
Apr 15, 2021 to Mar 25, 2022

Signals

16 dated events

W••••• P••••••• M••••• left R•••• C•••••• A•••••••• L• for W•••••• A•••••••• L•• (registered 2024-08-19)
Nov 21, 2024 · Advisor changed firm · fact
R••••• M•••••• S•••• left R•••• C•••••• A•••••••• L• for W•••••• A•••••••• L•• (registered 2024-08-06)
Nov 21, 2024 · Advisor changed firm · fact
2 advisors left R•••• C•••••• A•••••••• L• (Jacksonville, FL) for W•••••• A•••••••• L•• on the same day
Nov 21, 2024 · Team lift-out · derived
L••• G••••• (Partner) appeared on Schedule A of R•••• C•••••• A•••••••• L•
Mar 29, 2024 · Control person joined · fact
Paul Edward Schmitzer (Founder) no longer on Schedule A of R•••• C•••••• A•••••••• L• (listed 2024-01-17, absent 2024-03-29)
Mar 29, 2024 · Control person left · inference
D. Robert Rosario (Partner) no longer on Schedule A of R•••• C•••••• A•••••••• L• (listed 2024-01-17, absent 2024-03-29)
Mar 29, 2024 · Control person left · inference
S•••••• D•••• K••• left R•••• C•••••• A•••••••• L• for P•••••• W••••• A••••••• (registered 2024-02-06)
Feb 1, 2024 · Advisor changed firm · fact
David Stephen Kyle (Chief Compliance Officer) no longer on Schedule A of R•••• C•••••• A•••••••• L• (listed 2023-08-14, absent 2024-01-05)
Jan 5, 2024 · Control person left · inference
David Stephen Kyle (Chief Compliance Officer) appeared on Schedule A of R•••• C•••••• A•••••••• L•
Jan 30, 2023 · Control person joined · fact
Maurice Robert Simon (Managing Member/President) appeared on Schedule A of R•••• C•••••• A•••••••• L•
Jan 30, 2023 · Control person joined · fact
B•••••• T••••• M••••• left R•••• C•••••• A•••••••• L• for T•••••••• F•••••••• A•••••••• L•• (registered 2022-07-06)
Jun 22, 2022 · Advisor changed firm · fact
W. John Giehrl (Partner) no longer on Schedule A of R•••• C•••••• A•••••••• L• (listed 2020-10-15, absent 2021-03-19)
Mar 19, 2021 · Control person left · inference
Steven Lawrence Kaplan (Partner) appeared on Schedule A of R•••• C•••••• A•••••••• L•
Mar 19, 2021 · Control person joined · fact
King Calvin Stephens (Partner) no longer on Schedule A of R•••• C•••••• A•••••••• L• (listed 2018-09-11, absent 2019-03-07)
Mar 7, 2019 · Control person left · inference
Lawrence Jeffrey Shelton (Partner) no longer on Schedule A of R•••• C•••••• A•••••••• L• (listed 2018-09-11, absent 2019-03-07)
Mar 7, 2019 · Control person left · inference
D. Robert Rosario (Partner) appeared on Schedule A of R•••• C•••••• A•••••••• L•
Mar 7, 2019 · Control person joined · 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