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
A••• F•••••• A•• C••••••• I•••
Latest filing May 15, 2026
First filing on the tape Mar 30, 2012 · 23 filings
SEC status approved since Sep 29, 2005
RAUM
$259M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$259M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$129M
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
23 filings and snapshots on the tape
RAUM$259M as of May 15, 2026
Mar 30, 2012$551M then
HNW client RAUM$247M as of May 15, 2026
Mar 16, 2018$144M then
State-registered IARs (5.B.3)1 as of May 15, 2026
Mar 30, 20120 then
Employees (5.A)2 as of May 15, 2026
Mar 22, 20133 then
Private funds: no history
RAUM +11% over the last fiscal year+20% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.2MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- High-net-worth individuals$247M96%
- Individuals$11.6M4.5%
- Individual clients
- 31reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 176reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| L•••• N••••• A••Chartered Financial Analyst | Valrico, Fl | Nov 30, 2005 | 37 y | 1 |
| C•••••• T••••••• S•••• | Jupiter, Fl | Jul 26, 2011 | 33 y | 0 |
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 headcount1 left over 36 months
Left, latest
- J••••• D•••• F•••••• to A••• F•••••• • S••••• L••Apr 24, 2025 · Other
Joined, latest
- J••••• D•••• F•••••• from H••••• C•••••• M••••••••• I••Nov 30, 2005 · Other
- L•••• N••••• A•• from H••••• C•••••• M••••••••• I••Nov 30, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••• L••••• N••••• · President/Chief Compliance Officercontrolsince 09/2005 · owns 75% or more
Related persons
Schedule D 7.A
- A••• F•••••• • S••••• L••investment advisernRAUM $368M
Advisers that list A••• F•••••• A•• C••••••• I••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Jupiter, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 179 to 176Mar 31, 2025 to Mar 31, 2026
- HNW clients · 43 to 40Mar 31, 2025 to Mar 31, 2026
- Individual clients · 28 to 31Mar 31, 2025 to Mar 31, 2026
- Employees · 1 to 2Mar 31, 2025 to Mar 31, 2026
- HQ city · WEST PALM BEACH to JUPITERMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $233M to $259MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $222M to $247MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $11.0M to $11.6MMar 31, 2025 to Mar 31, 2026
- RAUM · $233M to $259MMar 31, 2025 to Mar 31, 2026
- Accounts · 194 to 179Oct 21, 2024 to Mar 31, 2025
- HNW clients · 65 to 43Oct 21, 2024 to Mar 31, 2025
- Individual clients · 30 to 28Oct 21, 2024 to Mar 31, 2025
- Assets in custody · 37305077.0 to unsetOct 21, 2024 to Mar 31, 2025
- Custody of client assets · true to falseOct 21, 2024 to Mar 31, 2025
- Financial planning clients · unset to Oct 21, 2024 to Mar 31, 2025
- Discretionary RAUM · $185M to $233MOct 21, 2024 to Mar 31, 2025
- HNW RAUM · $176M to $222MOct 21, 2024 to Mar 31, 2025
- Individual RAUM · $9.0M to $11.0MOct 21, 2024 to Mar 31, 2025
- RAUM · $185M to $233MOct 21, 2024 to Mar 31, 2025
- Advisory employees · 2 to 1Mar 20, 2024 to Sep 10, 2024
- Employees · 2 to 1Mar 20, 2024 to Sep 10, 2024
- Insurance-licensed employees · 2 to 1Mar 20, 2024 to Sep 10, 2024
- State-registered IARs · 0 to 1Mar 20, 2024 to Sep 10, 2024
- Accounts · 186 to 194Mar 16, 2023 to Mar 20, 2024
- HNW clients · 77 to 65Mar 16, 2023 to Mar 20, 2024
- Individual clients · 26 to 30Mar 16, 2023 to Mar 20, 2024
- Assets in custody · $56.2M to $37.3MMar 16, 2023 to Mar 20, 2024
- Discretionary RAUM · $148M to $185MMar 16, 2023 to Mar 20, 2024
- HNW RAUM · $143M to $176MMar 16, 2023 to Mar 20, 2024
- Individual RAUM · $4.5M to $9.0MMar 16, 2023 to Mar 20, 2024
- RAUM · $148M to $185MMar 16, 2023 to Mar 20, 2024
- Accounts · 195 to 186Mar 24, 2022 to Mar 16, 2023
- HNW clients · 68 to 77Mar 24, 2022 to Mar 16, 2023
- Individual clients · 36 to 26Mar 24, 2022 to Mar 16, 2023
- Assets in custody · $79.7M to $56.2MMar 24, 2022 to Mar 16, 2023
- Discretionary RAUM · $222M to $148MMar 24, 2022 to Mar 16, 2023
- HNW RAUM · $212M to $143MMar 24, 2022 to Mar 16, 2023
- Individual RAUM · $9.4M to $4.5MMar 24, 2022 to Mar 16, 2023
- RAUM · $222M to $148MMar 24, 2022 to Mar 16, 2023
- Accounts · 187 to 195Mar 26, 2021 to Mar 24, 2022
Signals
2 dated events
- J••••• D•••• F•••••• left A••• F•••••• A•• C••••••• I••• for A••• F•••••• • S••••• L•• (registered 2012-08-10)Apr 24, 2025 · Advisor changed firm · fact
- David Joseph Forsyth (Vice President/Chief Compliance Officer) no longer on Schedule A of A••• F•••••• A•• C••••••• I••• (listed 2024-03-20, absent 2024-09-10)Sep 10, 2024 · 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
- Principal office phone
- 561-296-6680reportedpublic record, Form ADV, May 15, 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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026