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.

Former SEC-registered adviser

Holloway Wealth Management, LLC

Former SEC-registered adviserGainesville, FloridaCRD 138146SEC 801-65430IAPD
Latest filing Feb 15, 2022
First filing on the tape Mar 20, 2012 · 18 filings
RAUM
$375M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$375M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$375M as of Feb 15, 2022
Mar 20, 2012$122M then
HNW client RAUM$321M as of Feb 15, 2022
Feb 23, 2018$159M then
State-registered IARs (5.B.3)4 as of Feb 15, 2022
Mar 20, 20120 then
Employees (5.A)6 as of Feb 15, 2022
Mar 12, 20135 then
Private funds: no history
RAUM +18% over the last fiscal year+21% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 15, 2022; every figure names its basis
RAUM per advisor
$93.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
104derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$461,866derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$59.0M, 58 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$321M85%
  • Individuals$54.0M14%
  • Charitable organizations$432,4840.1%
  • Corporations and businesses$339,4600.1%
Individual clients
207reported
HNW clients
210reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
813reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$59.0M for 58 clientsreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Jennings Caroline Holloway · Chief Compliance Officercontrol
      since 10/2005 · owns less than 5%
    • Norris Samuel Holloway · Presidentcontrol
      since 10/2005 · owns 75% or more
    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 · 742 to 813
      Mar 11, 2021 to Feb 15, 2022
    • Charity clients · 0 to 1
      Mar 11, 2021 to Feb 15, 2022
    • HNW clients · 198 to 210
      Mar 11, 2021 to Feb 15, 2022
    • Individual clients · 203 to 207
      Mar 11, 2021 to Feb 15, 2022
    • Assets in custody · $23.8M to $59.0M
      Mar 11, 2021 to Feb 15, 2022
    • Employees · 5 to 6
      Mar 11, 2021 to Feb 15, 2022
    • Discretionary RAUM · $317M to $375M
      Mar 11, 2021 to Feb 15, 2022
    • HNW RAUM · $266M to $321M
      Mar 11, 2021 to Feb 15, 2022
    • Individual RAUM · $50.7M to $54.0M
      Mar 11, 2021 to Feb 15, 2022
    • RAUM · $317M to $375M
      Mar 11, 2021 to Feb 15, 2022
    • Accounts · 703 to 742
      Nov 5, 2020 to Mar 11, 2021
    • Advisory employees · 3 to 4
      Nov 5, 2020 to Mar 11, 2021
    • Corporate clients · 0 to 1
      Nov 5, 2020 to Mar 11, 2021
    • HNW clients · 89 to 198
      Nov 5, 2020 to Mar 11, 2021
    • Individual clients · 133 to 203
      Nov 5, 2020 to Mar 11, 2021
    • Assets in custody · $50.4M to $23.8M
      Nov 5, 2020 to Mar 11, 2021
    • Custody of client assets · false to true
      Nov 5, 2020 to Mar 11, 2021
    • Employees · 3 to 5
      Nov 5, 2020 to Mar 11, 2021
    • Financial planning clients · unset to 251-500
      Nov 5, 2020 to Mar 11, 2021
    • State-registered IARs · 3 to 4
      Nov 5, 2020 to Mar 11, 2021
    • Discretionary RAUM · $241M to $317M
      Nov 5, 2020 to Mar 11, 2021
    • HNW RAUM · $160M to $266M
      Nov 5, 2020 to Mar 11, 2021
    • Individual RAUM · $81.9M to $50.7M
      Nov 5, 2020 to Mar 11, 2021
    • RAUM · $241M to $317M
      Nov 5, 2020 to Mar 11, 2021
    • Accounts · 654 to 703
      Nov 8, 2019 to Mar 19, 2020
    • HNW clients · 169 to 89
      Nov 8, 2019 to Mar 19, 2020
    • Individual clients · 239 to 133
      Nov 8, 2019 to Mar 19, 2020
    • Assets in custody · unset to 50369540.0
      Nov 8, 2019 to Mar 19, 2020
    • Employees · 5 to 3
      Nov 8, 2019 to Mar 19, 2020
    • Discretionary RAUM · $213M to $241M
      Nov 8, 2019 to Mar 19, 2020
    • HNW RAUM · $159M to $160M
      Nov 8, 2019 to Mar 19, 2020
    • Individual RAUM · $54.2M to $81.9M
      Nov 8, 2019 to Mar 19, 2020
    • RAUM · $213M to $241M
      Nov 8, 2019 to Mar 19, 2020
    • Wrap assets (manager) · 0.0 to unset
      Nov 8, 2019 to Mar 19, 2020
    • Wrap assets (sponsor) · 0.0 to unset
      Nov 8, 2019 to Mar 19, 2020
    • Accounts · 618 to 654
      Feb 23, 2018 to Feb 6, 2019
    • Advisory employees · 4 to 3
      Feb 23, 2018 to Feb 6, 2019
    • HNW clients · 113 to 169
      Feb 23, 2018 to Feb 6, 2019
    • Individual clients · 160 to 239
      Feb 23, 2018 to Feb 6, 2019
    • Insurance-licensed employees · 3 to 0
      Feb 23, 2018 to Feb 6, 2019
    Signals
    5 dated events
    • Jessica Michelle Marshall left Holloway Wealth Management, Llc for Ars Wealth Advisors (registered 2022-06-14)
      May 11, 2022 · Advisor changed firm · fact
    • Jonathon Edward Visscher left Holloway Wealth Management, Llc for Ars Wealth Advisors (registered 2022-05-20)
      May 11, 2022 · Advisor changed firm · fact
    • Samuel Norris Holloway left Holloway Wealth Management, Llc for Ars Wealth Advisors (registered 2022-05-16)
      May 11, 2022 · Advisor changed firm · fact
    • Caroline Jennings Holloway left Holloway Wealth Management, Llc for Ars Wealth Advisors (registered 2022-05-24)
      May 11, 2022 · Advisor changed firm · fact
    • Holloway Wealth Management, LLC's advisors moved to Ars Wealth Advisors (Gainesville, FL): 4 of 4 registered, on the same day
      May 11, 2022 · Firm absorbed (people side) · derived
    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