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
P••••• A•••• M••••••••• I•••
Latest filing Mar 20, 2026
First filing on the tape May 6, 2024 · 6 filings
SEC status approved since Jun 5, 2024
RAUM
$138M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$134M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$45.9M
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
6 filings and snapshots on the tape
RAUM$138M as of Mar 20, 2026
Mar 29, 2025$123M then
HNW client RAUM: $96.1M
State-registered IARs (5.B.3)3 as of Mar 20, 2026
Mar 29, 20252 then
Employees (5.A)3 as of Mar 20, 2026
Mar 29, 20252 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 20, 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
- $45.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $508,107derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $70.1M, 74 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)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$96.1M70%
- Individuals$38.2M28%
- Corporations and businesses$3.3M2.4%
- Pension and profit-sharing plans$138,0000.1%
- Individual clients
- 99reported
- HNW clients
- 35reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 271reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $70.1M for 74 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| R•••••• M•••••• C••••••• | Sarasota, Fl | Mar 18, 1998 | 36 y | 0 |
| M•••••• M• S••••• | Sarasota, Fl | Dec 2, 2021 | 14 y | 0 |
| K•••• M•••• H••• | Sarasota, Fl | Jan 26, 2026 | 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• R••••••• M•••••• · President & Chief Compliance Officercontrolsince 03/1998 · 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 |
|---|---|---|---|---|---|
| Sarasota, Fl · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 198 to 271Feb 7, 2026 to Mar 20, 2026
- Advisory employees · 2 to 3Feb 7, 2026 to Mar 20, 2026
- Corporate clients · unset to 2.0Feb 7, 2026 to Mar 20, 2026
- HNW clients · unset to 35.0Feb 7, 2026 to Mar 20, 2026
- Individual clients · 132 to 99Feb 7, 2026 to Mar 20, 2026
- Pension plan clients · unset to 2.0Feb 7, 2026 to Mar 20, 2026
- Assets in custody · $34.5M to $70.1MFeb 7, 2026 to Mar 20, 2026
- Employees · 2 to 3Feb 7, 2026 to Mar 20, 2026
- State-registered IARs · 2 to 3Feb 7, 2026 to Mar 20, 2026
- Discretionary RAUM · $123M to $138MFeb 7, 2026 to Mar 20, 2026
- HNW RAUM · unset to 96120000.0Feb 7, 2026 to Mar 20, 2026
- Individual RAUM · $123M to $38.2MFeb 7, 2026 to Mar 20, 2026
- Pension RAUM · unset to 138000.0Feb 7, 2026 to Mar 20, 2026
- RAUM · $123M to $138MFeb 7, 2026 to Mar 20, 2026
- Accounts · 291 to 198Jun 18, 2024 to Mar 29, 2025
- Individual clients · 124 to 132Jun 18, 2024 to Mar 29, 2025
- Assets in custody · $32.1M to $34.5MJun 18, 2024 to Mar 29, 2025
- Financial planning clients · 0 to 0Jun 18, 2024 to Mar 29, 2025
- Discretionary RAUM · $112M to $123MJun 18, 2024 to Mar 29, 2025
- Individual RAUM · $112M to $123MJun 18, 2024 to Mar 29, 2025
- RAUM · $112M to $123MJun 18, 2024 to Mar 29, 2025
Signals
1 dated events
- P••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)May 6, 2024 · 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 phone
- 941-363-9090reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P•••••ASSETMANAGEMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 941-363-9090reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- p•••••••••.comreportedpublished 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
- $45.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026