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
H•••••• I••••••••• A•••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Apr 29, 2021 · 13 filings
SEC status approved since Jun 2, 2021
RAUM
$200M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$199M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$200M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$200M as of Mar 16, 2026
Mar 19, 2022$148M then
HNW client RAUM$173M as of Mar 16, 2026
Mar 19, 2022$119M then
State-registered IARs (5.B.3)1 as of Mar 16, 2026
Mar 19, 20221 then
Employees (5.A)2 as of Mar 16, 2026
Mar 19, 20222 then
Private funds: no history
RAUM +23% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $200MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 122derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $715,305derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $200M, 125 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$173M86%
- Individuals$26.0M13%
- Charitable organizations$1.3M0.6%
- Individual clients
- 79reported
- HNW clients
- 43reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 280reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $200M for 125 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| M•••••• D•••• R••••••Chartered Financial Analyst | Tallahassee, Fl | Feb 29, 2024 | 26 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
- M•••••• D•••• R•••••• from N••••••• T•••• I••••••••• I•••••••••May 18, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• M••••••• D•••• · Principal And Chief Compliance Officercontrolsince 05/2004 · owns 75% or more
- R••••••• K••••••• S•••••••• · Non-Managing Membersince 01/2007 · 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 · 276 to 280Feb 10, 2026 to Mar 16, 2026
- HNW clients · 37 to 43Feb 10, 2026 to Mar 16, 2026
- Individual clients · 73 to 79Feb 10, 2026 to Mar 16, 2026
- Pension plan clients · 3 to 0Feb 10, 2026 to Mar 16, 2026
- Assets in custody · $163M to $200MFeb 10, 2026 to Mar 16, 2026
- Discretionary RAUM · $160M to $198MFeb 10, 2026 to Mar 16, 2026
- HNW RAUM · $130M to $173MFeb 10, 2026 to Mar 16, 2026
- Individual RAUM · $28.4M to $26.0MFeb 10, 2026 to Mar 16, 2026
- Non-discretionary RAUM · $2.7M to $2.1MFeb 10, 2026 to Mar 16, 2026
- Pension RAUM · $3.0M to $0Feb 10, 2026 to Mar 16, 2026
- RAUM · $163M to $200MFeb 10, 2026 to Mar 16, 2026
- Advisory activities · 2 to 1Mar 11, 2025 to Feb 10, 2026
- Accounts · 258 to 276Mar 20, 2024 to Mar 11, 2025
- Charity clients · 2 to 3Mar 20, 2024 to Mar 11, 2025
- HNW clients · 26 to 37Mar 20, 2024 to Mar 11, 2025
- Individual clients · 81 to 73Mar 20, 2024 to Mar 11, 2025
- Assets in custody · $143M to $163MMar 20, 2024 to Mar 11, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 11, 2025
- HQ city · unset to Mar 20, 2024 to Mar 11, 2025
- HQ state · unset to Mar 20, 2024 to Mar 11, 2025
- Discretionary RAUM · $140M to $160MMar 20, 2024 to Mar 11, 2025
- HNW RAUM · $99.4M to $130MMar 20, 2024 to Mar 11, 2025
- Individual RAUM · $39.8M to $28.4MMar 20, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $3.4M to $2.7MMar 20, 2024 to Mar 11, 2025
- Pension RAUM · $2.6M to $3.0MMar 20, 2024 to Mar 11, 2025
- RAUM · $143M to $163MMar 20, 2024 to Mar 11, 2025
- Discretionary RAUM · $136M to $140MMar 15, 2024 to Mar 20, 2024
- Non-discretionary RAUM · $7.0M to $3.4MMar 15, 2024 to Mar 20, 2024
- Accounts · 264 to 258Feb 13, 2024 to Mar 15, 2024
- HNW clients · 31 to 26Feb 13, 2024 to Mar 15, 2024
- Individual clients · 74 to 81Feb 13, 2024 to Mar 15, 2024
- Pension plan clients · 2 to 3Feb 13, 2024 to Mar 15, 2024
- Assets in custody · $123M to $143MFeb 13, 2024 to Mar 15, 2024
- Discretionary RAUM · $123M to $136MFeb 13, 2024 to Mar 15, 2024
- HNW RAUM · $95.3M to $99.4MFeb 13, 2024 to Mar 15, 2024
- Individual RAUM · $24.6M to $39.8MFeb 13, 2024 to Mar 15, 2024
- Non-discretionary RAUM · $509,600 to $7.0MFeb 13, 2024 to Mar 15, 2024
- Pension RAUM · $3.0M to $2.6MFeb 13, 2024 to Mar 15, 2024
- RAUM · $124M to $143MFeb 13, 2024 to Mar 15, 2024
- Accounts · 256 to 264Mar 19, 2022 to Mar 22, 2023
Signals
1 dated events
- H•••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 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
- Business phone
- 850-893-4412reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 850-893-4414reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 8508934414reportedpublic record, Form ADV, Mar 16, 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
- $200Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026