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Wealth manager with institutional or fund businessSEC-registered· Palm City, Floridawebsite

Wealth manager with institutional or fund business, based in Palm City, Florida, reporting $130M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$130M
Form ADV
Advisors
0
IAPD
Private clients
39% of RAUM, $50.8M
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 139618 · SEC 801-135275 · 1 filingsShow
CRD 139618SEC 801-135275Legal name P•••••• T•••••First filing on the tape Feb 10, 2026, latest Feb 10, 2026SEC status approved since Feb 11, 2026IAPD
RAUM
$130M
reported, Item 5.F
Discretionary
39%
of RAUM
Private clients
39%
$50.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $130M
HNW client RAUM: $36.7M
State-registered IARs (5.B.3): 0
Employees (5.A): 3
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 10, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShow
  • Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$2.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
39%derivedof RAUM
Institutional
61%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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
  • 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
  • Pension and profit-sharing plans$78.9M61%
  • High-net-worth individuals$36.7M28%
  • Individuals$14.1M11%
Individual clients
30reported
HNW clients
15reported
Pension plan clients
8reported
Charitable clients
n/areported
Accounts
53reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.39 fund_share=0.0 institutional_share=0.61 related_bd=false related_bank=false bd_reps=0.0derived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the 10 longest tenured
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      No Schedule A on the extract for this adviser.
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • high institutional concentrationStatic outlier · filing Feb 10, 2026
        institutional share of RAUM of 61% against a peer median of 0% (5682 comparable advisers, 99.0th percentile, 20.4 robust deviations)
        peers: independent wealth managers, $100M to $500M (5,682) · 99% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      No event on the tape.
      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
      Website
      ••• Lockedreportedpublic record, Form ADV, Feb 10, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Feb 10, 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
      Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months, RAUM change, last fiscal year.