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
D••••• F•••••••• M••••••••• P•••
Latest filing Feb 25, 2026
First filing on the tape Dec 13, 2011 · 44 filings
SEC status approved since Jul 6, 2006
RAUM
$161M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$157M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$80.3M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$161M as of Feb 25, 2026
Jan 24, 2012$91.9M then
HNW client RAUM$101M as of Feb 25, 2026
Mar 16, 2018$71.2M then
State-registered IARs (5.B.3)2 as of Feb 25, 2026
Jan 24, 20120 then
Employees (5.A)2 as of Feb 25, 2026
Feb 13, 20137 then
Private funds: no history
RAUM +8.6% over the last fiscal year+3.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 25, 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
- $80.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $211,848derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $60.5M, 129 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$101M63%
- Individuals$55.9M35%
- Pension and profit-sharing plans$3.8M2.4%
- Individual clients
- 204reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 758reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $60.5M for 129 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• B••••• D•••••Certified Financial Planner, Personal Financial Specialist | Maitland, Fl | Jan 30, 2003 | 29 y | 1 |
| C•••••• E••• A•• | Maitland, Fl | Sep 25, 2020 | 11 y | 1 |
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
- L••• M•••• M••••••••• to F••••••••• F•••••••• G••••Mar 6, 2023 · RIA to RIA
Joined, latest
- C•••••• E••• A•• from O•• S••••• A•••••••Sep 25, 2020 · Other
- J•••• B••••• D••••• from F•• S••••••••• C•••••••••Jan 30, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• J••••• B••••• · President/Ccocontrolsince 01/2002 · owns 75% or more
Related persons
Schedule D 7.A
- J•••• B• D•••••• J••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Maitland, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 752 to 758Mar 3, 2025 to Feb 25, 2026
- HNW clients · 59 to 58Mar 3, 2025 to Feb 25, 2026
- Individual clients · 202 to 204Mar 3, 2025 to Feb 25, 2026
- Assets in custody · $54.7M to $60.5MMar 3, 2025 to Feb 25, 2026
- Employees · 5 to 2Mar 3, 2025 to Feb 25, 2026
- Discretionary RAUM · $146M to $158MMar 3, 2025 to Feb 25, 2026
- HNW RAUM · $94.1M to $101MMar 3, 2025 to Feb 25, 2026
- Individual RAUM · $50.5M to $55.9MMar 3, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $1.7M to $2.2MMar 3, 2025 to Feb 25, 2026
- Pension RAUM · $3.2M to $3.8MMar 3, 2025 to Feb 25, 2026
- RAUM · $148M to $161MMar 3, 2025 to Feb 25, 2026
- Accounts · 787 to 752Apr 15, 2024 to Mar 3, 2025
- HNW clients · 53 to 59Apr 15, 2024 to Mar 3, 2025
- Individual clients · 254 to 202Apr 15, 2024 to Mar 3, 2025
- Pension plan clients · 8.0 to unsetApr 15, 2024 to Mar 3, 2025
- Assets in custody · $31.5M to $54.7MApr 15, 2024 to Mar 3, 2025
- Employees · 6 to 5Apr 15, 2024 to Mar 3, 2025
- Financial planning clients · 251-500 to 251-500Apr 15, 2024 to Mar 3, 2025
- Discretionary RAUM · $144M to $146MApr 15, 2024 to Mar 3, 2025
- HNW RAUM · $82.7M to $94.1MApr 15, 2024 to Mar 3, 2025
- Individual RAUM · $59.7M to $50.5MApr 15, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $1.4M to $1.7MApr 15, 2024 to Mar 3, 2025
- Pension RAUM · $2.7M to $3.2MApr 15, 2024 to Mar 3, 2025
- RAUM · $145M to $148MApr 15, 2024 to Mar 3, 2025
- Accounts · 799 to 787Oct 12, 2023 to Mar 14, 2024
- HNW clients · 49 to 53Oct 12, 2023 to Mar 14, 2024
- Individual clients · 258 to 254Oct 12, 2023 to Mar 14, 2024
- Assets in custody · $14.4M to $31.5MOct 12, 2023 to Mar 14, 2024
- Employees · 5 to 6Oct 12, 2023 to Mar 14, 2024
- Discretionary RAUM · $142M to $144MOct 12, 2023 to Mar 14, 2024
- HNW RAUM · $76.4M to $82.7MOct 12, 2023 to Mar 14, 2024
- Individual RAUM · $63.3M to $59.7MOct 12, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $997,487 to $1.4MOct 12, 2023 to Mar 14, 2024
- Pension RAUM · $3.5M to $2.7MOct 12, 2023 to Mar 14, 2024
- RAUM · $143M to $145MOct 12, 2023 to Mar 14, 2024
- Advisory employees · 3 to 2Mar 29, 2023 to Oct 12, 2023
- State-registered IARs · 3 to 2Mar 29, 2023 to Oct 12, 2023
- Accounts · 833 to 799Mar 9, 2022 to Feb 25, 2023
- HNW clients · 61 to 49Mar 9, 2022 to Feb 25, 2023
- Individual clients · 248 to 258Mar 9, 2022 to Feb 25, 2023
Signals
1 dated events
- L••• M•••• M••••••••• left D••••• F•••••••• M••••••••• P••• for F••••••••• F•••••••• G•••• (registered 2023-03-31)Mar 6, 2023 · Advisor changed firm · 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
- 407-774-6815reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- D•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 407-774-6815reportedpublic record, Form ADV, Feb 25, 2026
- Team page
- DORMANFINANCIAL.COM/Team.htmreportedpublished by the firm, firm site, Sep 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
- $80.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026