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
R•••••• W••••• M••••••••• • T•••• S•••••••
Legal name R•••••• • C••••••• P•••
Latest filing Mar 6, 2026
First filing on the tape Mar 24, 2022 · 5 filings
SEC status approved since Apr 25, 2022
RAUM
$129M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
89%
$115M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$43.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$129M as of Mar 6, 2026
Mar 15, 2023$93.7M then
HNW client RAUM$96.8M as of Mar 6, 2026
Mar 15, 2023$55.7M then
State-registered IARs (5.B.3)3 as of Mar 6, 2026
Mar 15, 20232 then
Employees (5.A)3 as of Mar 6, 2026
Mar 15, 20234 then
Private funds: no history
RAUM +16% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 6, 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
- 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
- $43.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $509,771derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $118M, 102 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)
- 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$96.8M78%
- Individuals$18.3M15%
- Pension and profit-sharing plans$6.6M5.3%
- Corporations and businesses$2.5M2.0%
- Individual clients
- 68reported
- HNW clients
- 30reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 253reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $118M for 102 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A••••• R•••••• | Stuart, Fl | Aug 25, 2006 | 28 y | 2 |
| D•••• A•••••••• R•••••• | Stuart, Fl | Oct 29, 2010 | 19 y | 0 |
| N••••••• C••••••••• | Stuart, Fl | Mar 5, 2024 | 10 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D•••• A••••• R•••••• from R•• W••••• M••••••••• L••Aug 25, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• D••••• A••••• · President And Chief Compliance Officercontrolsince 11/1994 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Stuart, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 260 to 253Mar 6, 2025 to Mar 6, 2026
- Corporate clients · 2 to 4Mar 6, 2025 to Mar 6, 2026
- HNW clients · 23 to 30Mar 6, 2025 to Mar 6, 2026
- Individual clients · 67 to 68Mar 6, 2025 to Mar 6, 2026
- Pension plan clients · 3 to 4Mar 6, 2025 to Mar 6, 2026
- Assets in custody · $107M to $118MMar 6, 2025 to Mar 6, 2026
- Employees · 4 to 3Mar 6, 2025 to Mar 6, 2026
- Discretionary RAUM · $107M to $122MMar 6, 2025 to Mar 6, 2026
- HNW RAUM · $74.2M to $96.8MMar 6, 2025 to Mar 6, 2026
- Individual RAUM · $26.6M to $18.3MMar 6, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $5.0M to $6.6MMar 6, 2025 to Mar 6, 2026
- Pension RAUM · $5.0M to $6.6MMar 6, 2025 to Mar 6, 2026
- RAUM · $112M to $129MMar 6, 2025 to Mar 6, 2026
- Accounts · 258 to 260Mar 5, 2024 to Mar 6, 2025
- Corporate clients · unset to 2.0Mar 5, 2024 to Mar 6, 2025
- HNW clients · 20 to 23Mar 5, 2024 to Mar 6, 2025
- Individual clients · 77 to 67Mar 5, 2024 to Mar 6, 2025
- Assets in custody · $102M to $107MMar 5, 2024 to Mar 6, 2025
- Financial planning clients · 0 to 1-10Mar 5, 2024 to Mar 6, 2025
- Discretionary RAUM · $102M to $107MMar 5, 2024 to Mar 6, 2025
- HNW RAUM · $64.1M to $74.2MMar 5, 2024 to Mar 6, 2025
- Individual RAUM · $21.9M to $26.6MMar 5, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $5.6M to $5.0MMar 5, 2024 to Mar 6, 2025
- Pension RAUM · $5.6M to $5.0MMar 5, 2024 to Mar 6, 2025
- RAUM · $108M to $112MMar 5, 2024 to Mar 6, 2025
- Accounts · 240 to 258Mar 15, 2023 to Mar 5, 2024
- HNW clients · 18 to 20Mar 15, 2023 to Mar 5, 2024
- Individual clients · 70 to 77Mar 15, 2023 to Mar 5, 2024
- Pension plan clients · 5 to 3Mar 15, 2023 to Mar 5, 2024
- Assets in custody · $16.1M to $102MMar 15, 2023 to Mar 5, 2024
- State-registered IARs · 2 to 3Mar 15, 2023 to Mar 5, 2024
- Discretionary RAUM · $88.5M to $102MMar 15, 2023 to Mar 5, 2024
- HNW RAUM · $55.7M to $64.1MMar 15, 2023 to Mar 5, 2024
- Individual RAUM · $22.9M to $21.9MMar 15, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $5.1M to $5.6MMar 15, 2023 to Mar 5, 2024
- Pension RAUM · $5.1M to $5.6MMar 15, 2023 to Mar 5, 2024
- RAUM · $93.7M to $108MMar 15, 2023 to Mar 5, 2024
- Accounts · 285 to 240Mar 24, 2022 to Mar 15, 2023
- HNW clients · 16 to 18Mar 24, 2022 to Mar 15, 2023
- Individual clients · 68 to 70Mar 24, 2022 to Mar 15, 2023
Signals
1 dated events
- R•••••• W••••• M••••••••• • T•••• S••••••• filed its initial SEC registration (Form ADV)Mar 24, 2022 · 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 email
- david@ralickiwm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- alex@ralickiwm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 772-221-4508reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/R••••••-WEALTH-MANAGEMENT-&-TRUST-SERVIreportedpublic record, Form ADV, Sep 19, 2026
- Website
- R••••••WM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 772-221-4508reportedpublic record, Form ADV, Mar 6, 2026
- Contact form
- RALICKIWM.COM/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- RALICKIWM.COM/team-memberreportedpublished 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
- $43.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026