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
S••••• W••••• P•••••••• L••
Latest filing Mar 29, 2016
First filing on the tape Mar 21, 2012 · 18 filings
RAUM
$378M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
26
15 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$378M as of Mar 18, 2016
Mar 21, 2012$176M then
HNW client RAUM: no history
State-registered IARs (5.B.3)16 as of Mar 18, 2016
Mar 21, 20120 then
Employees (5.A)26 as of Mar 18, 2016
Mar 27, 201312 then
Private funds: no history
RAUM +8.3% over the last fiscal year+13% a year over threeIARs 6 to 16
Practice profile
derived from the filing of Mar 29, 2016; every figure names its basis
- RAUM per advisor
- $23.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $370,588derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +167%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,020reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- J••••• R•••••• D•••• to R•••• I••••••••• A••••••• L••Jun 1, 2016 · Other
- P•••• L••• C••••••••• to B•• M••••••••• L••Nov 30, 2011 · Other
Joined, latest
- J•••••• D••• B•••• from S•• A••••••• N••••••• L••Feb 22, 2016 · Other
- C••• D••••• L••••••••• from S•• A••••••• N••••••• L••Jan 6, 2016 · Other
- S•••••• V•••••• S•••••• from S•• A••••••• N••••••• L••Jan 5, 2016 · Other
- A••••• T••••• H••••• from G••••• F•••••••• P•••••• C••••••• I•••Nov 23, 2015 · Other
- J••• M•••••• from S•• A••••••• N••••••• L••Oct 26, 2015 · Other
- K•••• J••••• C••••• from S•• A••••••• N••••••• L••Oct 26, 2015 · Other
- J••••• R•••••• D•••• from S•• A••••••• N••••••• L••Oct 24, 2015 · Other
- J•••••• E••• J••••• from F•••••••• A••••••• C•••••••••Aug 22, 2014 · Other
- A••••• M•••••• D•••••• from S••••••• I••••••••• I•••Feb 4, 2014 · Other
- B•••••• D•••• T•••• from G•••••• W••••• A•••••••• L••Jan 10, 2013 · Other
- J•••• P•••••• P•••• from S••••• W••••• M•••••••••Nov 16, 2011 · Other
- P•••• L••• C••••••••• from S••••• W••••• M••••••••• I••Sep 9, 2011 · Other
- C••• A•••• W•••••• from S••••• W••••• M••••••••• I••Jul 29, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 12 left for S••••• W••••• P•••••••• L••Aug 19, 2016 · Orlando, Fl · Firm absorbed
- 2 joined from S•• A••••••• N••••••• L••Mar 26, 2016 · Plantation, Fl
- 4 joined from S•• A••••••• N••••••• L••Mar 26, 2016 · Boardman, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• M•••••••• L•• · Ceo And Managing Directorcontrolsince 10/2012 · owns less than 5%
- P••••• J••••• P•••••• · Senior Wealth Advisor & Portfolio Managercontrolsince 10/2012 · owns less than 5%
- W••••••• C•••• A•••• · Senior Wealth Advisor & Ciocontrolsince 10/2012 · owns less than 5%
- L••••• M•••••••• L•• · Managing Membercontrolsince 10/2012 · owns 75% or more of I•••••••• A••••••• L••
- P••••• J••••• P•••••• · Membercontrolsince 10/2012 · owns 25% to 50% of I•••••••• A••••••• L••
- W••••••• C•••• A•••• · Membercontrolsince 12/2012 · owns 25% to 50% of I•••••••• A••••••• L••
- C••••••• D••••• P••• · Chief Compliance Officersince 12/2015 · owns less than 5%
- K•••••• W••••••• P•••••• M•••••• · General Counselsince 10/2012 · owns less than 5%
Entity owners
- F•••••••• P••••••••• L•• · Ownerdirect · owns 75% or more
- I•••••••• A••••••• L•• · Holding Companyindirect · owns 75% or more of F•••••••• P••••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- J•••Sonville Beach, FL
- Naples, FL
What changed
consecutive filings, newest first
- Advisory activities · 6 to 7Mar 21, 2016 to Mar 24, 2016
- Business name · S••••• W••••• P•••••••• I••• to S••••• W••••• P•••••••• L••Mar 21, 2016 to Mar 24, 2016
- Legal name · S••••• WEALTH PARTNERS, INC to S••••• W••••• P•••••••• L••Mar 18, 2016 to Mar 21, 2016
- Succession · true to falseMar 18, 2016 to Mar 21, 2016
- Accounts · 1,041 to 1,020Dec 9, 2015 to Mar 18, 2016
- Advisory employees · 7 to 15Dec 9, 2015 to Mar 18, 2016
- Advisory activities · 5 to 6Dec 9, 2015 to Mar 18, 2016
- Employees · 15 to 26Dec 9, 2015 to Mar 18, 2016
- State-registered IARs · 6 to 16Dec 9, 2015 to Mar 18, 2016
- Organization form · Corporation to Limited Liability CompanyDec 9, 2015 to Mar 18, 2016
- Discretionary RAUM · $309M to $338MDec 9, 2015 to Mar 18, 2016
- RAUM · $349M to $378MDec 9, 2015 to Mar 18, 2016
- Related insurance company · false to trueDec 9, 2015 to Mar 18, 2016
- Succession · false to trueDec 9, 2015 to Mar 18, 2016
- Accounts · 936 to 1,041Nov 18, 2014 to Mar 17, 2015
- State-registered IARs · 4 to 6Nov 18, 2014 to Mar 17, 2015
- Discretionary RAUM · $255M to $309MNov 18, 2014 to Mar 17, 2015
- Non-discretionary RAUM · $19.6M to $40.0MNov 18, 2014 to Mar 17, 2015
- RAUM · $274M to $349MNov 18, 2014 to Mar 17, 2015
- Advisory employees · 6 to 7Mar 10, 2014 to Nov 18, 2014
- Employees · 11 to 15Mar 10, 2014 to Nov 18, 2014
- Accounts · 400 to 936Dec 2, 2013 to Mar 10, 2014
- Advisory activities · 4 to 5Dec 2, 2013 to Mar 10, 2014
- Employees · 12 to 11Dec 2, 2013 to Mar 10, 2014
- Discretionary RAUM · $240M to $255MDec 2, 2013 to Mar 10, 2014
- Non-discretionary RAUM · $23.0M to $19.6MDec 2, 2013 to Mar 10, 2014
- RAUM · $263M to $274MDec 2, 2013 to Mar 10, 2014
- Organization form · Sole Proprietorship to CorporationApr 12, 2013 to Jul 30, 2013
- Employees · 14 to 12Jan 15, 2013 to Mar 27, 2013
- Organization form · Corporation to Sole ProprietorshipJan 15, 2013 to Mar 27, 2013
- Discretionary RAUM · $235M to $240MJan 15, 2013 to Mar 27, 2013
- Non-discretionary RAUM · $15.0M to $23.0MJan 15, 2013 to Mar 27, 2013
- RAUM · $250M to $263MJan 15, 2013 to Mar 27, 2013
- Advisory employees · unset to 6.0Oct 22, 2012 to Jan 15, 2013
- Employees · unset to 14.0Oct 22, 2012 to Jan 15, 2013
- State-registered IARs · 0 to 4Oct 22, 2012 to Jan 15, 2013
- Business name · S••••• W••••• M••••••••• I•• to S••••• W••••• P•••••••• I•••Oct 1, 2012 to Oct 17, 2012
- Accounts · 1,800 to 400Mar 27, 2012 to Oct 1, 2012
- Advisory activities · 3 to 4Mar 27, 2012 to Oct 1, 2012
- Insurance-licensed employees · 4 to 0Mar 27, 2012 to Oct 1, 2012
Signals
1 dated events
- S••••• W••••• P•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 18, 2016 · Succession (Item 4) · 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