DFX Intelligence
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A••••• H••• I••••••••• A•••••••• I•••
Independent wealth manager, based in Naples, Florida, reporting $231M of regulatory assets across 4 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $231M
- Advisors
- 4
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +4.1%
- Private clients
- 92% of RAUM, $212M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 7
Every filed figure, and the identifiersCRD 141590 · SEC 801-121563 · 18 filingsShowHide
CRD 141590SEC 801-121563First filing on the tape May 21, 2021, latest Jul 29, 2026SEC status approved since Jun 17, 2021IAPD
RAUM
$231M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$212M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$57.8M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$231M as of Jul 29, 2026
Mar 18, 2022$153M then
HNW client RAUM$156M as of Jul 29, 2026
Mar 18, 2022$66.0M then
State-registered IARs (5.B.3)4 as of Jul 29, 2026
Mar 18, 20222 then
Employees (5.A)4 as of Jul 29, 2026
Mar 18, 20223 then
Private funds: no history
RAUM +4.1% over the last fiscal year+17% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Jul 29, 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
- RAUM per advisor
- $57.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $472,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $231M, 253 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)
- 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$156M68%
- Individuals$56.3M25%
- Corporations and businesses$9.5M4.1%
- Pension and profit-sharing plans$3.7M1.6%
- Insurance companies$3.0M1.3%
- Charitable organizations$1.0M0.4%
- Individual clients
- 180reported
- HNW clients
- 60reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 490reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $231M for 253 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• D••• H•••Chartered Financial Analyst | Naples, Fl | Jun 2, 2009 | 20 y | 0 |
| J••••••• R••• F•••••••• | Naples, Fl | Sep 16, 2013 | 16 y | 0 |
| C••••••••• T••••• V••••• | Naples, Fl | Jul 19, 2016 | 18 y | 0 |
| S••• J••••• O•••••• | Naples, Fl | Apr 24, 2025 | 19 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
- F••••••••• J•••••••• R••• · Chief Compliance Officercontrolsince 01/2009 · owns 25% to 50%
- H•••• A•••••• D••• · Presidentcontrolsince 06/2006 · owns 50% to 75%
Related persons
Schedule D 7.A
- V••••• L••••••••• G••••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Naples, Fl · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 487 to 490Sep 18, 2025 to Feb 10, 2026
- Advisory employees · 2 to 3Sep 18, 2025 to Feb 10, 2026
- Corporate clients · 7 to 8Sep 18, 2025 to Feb 10, 2026
- HNW clients · 53 to 60Sep 18, 2025 to Feb 10, 2026
- Individual clients · 164 to 180Sep 18, 2025 to Feb 10, 2026
- Pension plan clients · 2 to 1Sep 18, 2025 to Feb 10, 2026
- Assets in custody · $222M to $231MSep 18, 2025 to Feb 10, 2026
- State-registered IARs · 2 to 4Sep 18, 2025 to Feb 10, 2026
- Discretionary RAUM · $222M to $231MSep 18, 2025 to Feb 10, 2026
- HNW RAUM · $150M to $156MSep 18, 2025 to Feb 10, 2026
- Individual RAUM · $42.6M to $56.3MSep 18, 2025 to Feb 10, 2026
- Pension RAUM · $3.5M to $3.7MSep 18, 2025 to Feb 10, 2026
- RAUM · $222M to $231MSep 18, 2025 to Feb 10, 2026
- Financial planning clients · 0 to 0Aug 28, 2025 to Sep 18, 2025
- Other offices · 0 to 1Feb 18, 2025 to Apr 24, 2025
- Accounts · 395 to 487Jul 31, 2024 to Feb 18, 2025
- Corporate clients · 6 to 7Jul 31, 2024 to Feb 18, 2025
- HNW clients · 41 to 53Jul 31, 2024 to Feb 18, 2025
- Individual clients · 124 to 164Jul 31, 2024 to Feb 18, 2025
- Pension plan clients · 7 to 2Jul 31, 2024 to Feb 18, 2025
- Assets in custody · $173M to $222MJul 31, 2024 to Feb 18, 2025
- Discretionary RAUM · $173M to $222MJul 31, 2024 to Feb 18, 2025
- HNW RAUM · $133M to $150MJul 31, 2024 to Feb 18, 2025
- Individual RAUM · $17.1M to $42.6MJul 31, 2024 to Feb 18, 2025
- Pension RAUM · $5.4M to $3.5MJul 31, 2024 to Feb 18, 2025
- RAUM · $173M to $222MJul 31, 2024 to Feb 18, 2025
- Accounts · 367 to 395Feb 17, 2023 to Mar 8, 2024
- Corporate clients · 4 to 6Feb 17, 2023 to Mar 8, 2024
- HNW clients · 33 to 41Feb 17, 2023 to Mar 8, 2024
- Individual clients · 198 to 124Feb 17, 2023 to Mar 8, 2024
- Pension plan clients · 8 to 7Feb 17, 2023 to Mar 8, 2024
- Assets in custody · $145M to $173MFeb 17, 2023 to Mar 8, 2024
- Discretionary RAUM · $145M to $173MFeb 17, 2023 to Mar 8, 2024
- HNW RAUM · $75.9M to $133MFeb 17, 2023 to Mar 8, 2024
- Individual RAUM · $42.2M to $17.1MFeb 17, 2023 to Mar 8, 2024
- Pension RAUM · $5.3M to $5.4MFeb 17, 2023 to Mar 8, 2024
- RAUM · $145M to $173MFeb 17, 2023 to Mar 8, 2024
- Accounts · 350 to 367Apr 7, 2022 to Feb 17, 2023
- Advisory employees · 1 to 2Apr 7, 2022 to Feb 17, 2023
- Corporate clients · 7 to 4Apr 7, 2022 to Feb 17, 2023
Signals
1 dated events
- ••• LockedMay 21, 2021 · 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
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Jul 29, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jul 29, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- ••• Lockedreportedpublished 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
- $57.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026