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.
SEC-registered adviser
Collaborative Wealth
Legal name Collaborative Wealth Management, Inc.
Latest filing Mar 18, 2026
First filing on the tape Jul 14, 2014 · 34 filings
SEC status approved since Aug 6, 2014
RAUM
$653M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
89%
$581M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$46.7M
derived; firm RAUM over IAPD count
Employees
13
9 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$653M as of Mar 18, 2026
Feb 12, 2016$80.0M then
HNW client RAUM$337M as of Mar 18, 2026
Mar 5, 2018$38.4M then
State-registered IARs (5.B.3)13 as of Mar 18, 2026
Jun 29, 20152 then
Employees (5.A)13 as of Mar 18, 2026
Jun 29, 20154 then
Private funds: no history
RAUM +16% over the last fiscal year+19% a year over threeIARs 13 to 13
Practice profile
derived from the filing of Mar 18, 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
- RAUM per advisor
- $46.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $335,361derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 9.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 3.5derived4 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
- +5.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$337M52%
- Individuals$244M37%
- Pension and profit-sharing plans$58.1M8.9%
- Corporations and businesses$13.2M2.0%
- Charitable organizations$1.2M0.2%
- Individual clients
- 740reported
- HNW clients
- 175reported
- Pension plan clients
- 11reported
- Charitable clients
- 3reported
- Accounts
- 1,948reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Chad Richmond Justice | Lake Mary, Fl | May 29, 2015 | 21 y | 2 |
| Brenton ThaiCertified Financial Planner | Lake Mary, Fl | Aug 1, 2016 | 15 y | 1 |
| Thomas Parker Pratt | Lake Mary, Fl | Mar 23, 2017 | 22 y | 1 |
| Stephen MagallanesCertified Financial Planner | Stuart, Fl | Sep 4, 2018 | 18 y | 2 |
| Larry Resczenski | Gainesville, Fl | Sep 19, 2018 | 22 y | 3 |
| Donald Francis WhiteChartered Financial Consultant | Stuart, Fl | Nov 7, 2018 | 38 y | 4 |
| Shawn Matthew Smith | Sanford, Fl | Feb 19, 2020 | 11 y | 1 |
| Darla Jean Greer | Gainesville, Fl | Jun 4, 2020 | 45 y | 2 |
| Benjamin Graham Sullivan | Lake Mary, Fl | Jul 22, 2022 | 14 y | 0 |
| Sandra Ann StickneyCertified Financial Planner | Lake Mary, Fl | Jan 12, 2023 | 23 y | 1 |
| Jaren Nicole Holmes | Lake Mary, Fl | Feb 5, 2024 | 12 y | 0 |
| Douglas Hendricks Jones | Lake Mary, Fl | Oct 24, 2025 | 11 y | 1 |
| Randall Howard Reed | Stuart, Fl | Jan 1, 2026 | 34 y | 2 |
| Graham Franklin Albright | Stuart, Fl | Jul 1, 2026 | 12 y | 0 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 7.1% of current headcount1 left over 36 months
Left, latest
- Matthew Gregory Giles to Structure Wealth Partners LLCJan 9, 2026 · RIA to a newly registered adviser
- John Allen Davis to DynamicFeb 8, 2022 · RIA to RIA
- Tryssa Pedrosa Pacciulli to Inspire Advisors, LLCFeb 12, 2021 · RIA to RIA
- John Anthony Melo to Ameriprise Financial Services, LLCJul 1, 2020 · RIA to affiliated broker-dealer or bank
- Christopher Michael Squires to Ameriprise Financial Services, LLCJul 1, 2020 · RIA to affiliated broker-dealer or bank
- Michael Patrick Henderson to Independent Advisor Alliance, LLCAug 8, 2019 · RIA to RIA
- Joseph Michael Koury to Great Valley Advisor Group, LLCMay 9, 2018 · RIA to RIA
- Robert Michael Georgiou to Great Valley Advisor Group, LLCMay 9, 2018 · RIA to RIA
- Barry Nelson Roderick to Equitable Advisors, LLCJan 27, 2017 · Other
- Joshua William Strittmatter to Swmg, LLCNov 6, 2013 · Other
- Rance Lee Swinford to LPL Financial LLCDec 23, 2008 · Other
Joined, latest
- Randall Howard Reed from Invest Financial CorporationJan 1, 2026 · Other
- Douglas Hendricks Jones from Bankers Life Advisory Services, Inc.Oct 24, 2025 · Affiliated broker-dealer or bank to independent RIA
- Sandra Ann Stickney from Cuso Financial Services, L.P.Jan 12, 2023 · Other
- Shawn Matthew Smith from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 19, 2020 · Wirehouse to independent RIA
- Matthew Gregory Giles from Raymond James & Associates, Inc.Feb 8, 2019 · Affiliated broker-dealer or bank to independent RIA
- Donald Francis White from LPL Financial LLCNov 7, 2018 · RIA to RIA
- Tryssa Pedrosa Pacciulli from Markey Wealth ManagementOct 17, 2018 · Other
- Larry Resczenski from Markey Wealth ManagementSep 19, 2018 · Other
- Stephen Magallanes from Invest Financial CorporationSep 4, 2018 · Other
- John Anthony Melo from Wells Fargo AdvisorsAug 14, 2018 · Wirehouse to independent RIA
- Thomas Parker Pratt from Securian Financial Services, Inc.Mar 23, 2017 · Other
- Christopher Michael Squires from Equitable Advisors, LLCDec 22, 2016 · Other
- Darla Jean Greer from Cetera Advisors LLCDec 2, 2016 · Other
- Barry Nelson Roderick from Securian Financial Services, Inc.Aug 15, 2016 · Other
- Brenton Thai from Securian Financial Services, Inc.Aug 1, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Ameriprise Financial Services, LLCJul 1, 2020 · Melbourne, Fl
- 2 left for Great Valley Advisor Group, LLCMay 9, 2018 · Lake Mary, Fl
- 2 joined from Markey Wealth ManagementSep 27, 2018 · Gainesville, Fl
- 2 joined from Invest Financial CorporationFeb 15, 2018 · Appleton, Wi
- 2 joined from Securian Financial Services, Inc.Nov 19, 2015 · Boca Raton, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Richmond Chad Justice · Ceocontrolsince 09/2006 · owns 75% or more
- Ann Sandra Stickney · Chief Compliance Officercontrolsince 07/2020 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Lake Mary, Fl · principal | 8 | 1 | 1 | ||
| Stuart, Fl | 4 | 2 | 0 | ||
| Gainesville, Fl | 2 | 0 | 0 | ||
| Orlando, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Gainesville, FL4 employees
- Stuart, FL2 employees
- Orlando, FL2 employees
What changed
consecutive filings, newest first
- Accounts · 1,810 to 1,948Jan 29, 2025 to Mar 18, 2026
- HNW clients · 173 to 175Jan 29, 2025 to Mar 18, 2026
- Individual clients · 698 to 740Jan 29, 2025 to Mar 18, 2026
- Discretionary RAUM · $518M to $594MJan 29, 2025 to Mar 18, 2026
- HNW RAUM · $299M to $337MJan 29, 2025 to Mar 18, 2026
- Individual RAUM · $205M to $244MJan 29, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $46.4M to $59.3MJan 29, 2025 to Mar 18, 2026
- Pension RAUM · $47.8M to $58.1MJan 29, 2025 to Mar 18, 2026
- RAUM · $564M to $653MJan 29, 2025 to Mar 18, 2026
- Accounts · 1,638 to 1,810Mar 5, 2024 to Jan 29, 2025
- Corporate clients · 6 to 8Mar 5, 2024 to Jan 29, 2025
- HNW clients · 160 to 173Mar 5, 2024 to Jan 29, 2025
- Individual clients · 6,167 to 698Mar 5, 2024 to Jan 29, 2025
- Employees · 12 to 13Mar 5, 2024 to Jan 29, 2025
- Financial planning clients · 1-10 to 1-10Mar 5, 2024 to Jan 29, 2025
- State-registered IARs · 12 to 13Mar 5, 2024 to Jan 29, 2025
- Discretionary RAUM · $428M to $518MMar 5, 2024 to Jan 29, 2025
- HNW RAUM · $249M to $299MMar 5, 2024 to Jan 29, 2025
- Individual RAUM · $169M to $205MMar 5, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $35.6M to $46.4MMar 5, 2024 to Jan 29, 2025
- Pension RAUM · $37.7M to $47.8MMar 5, 2024 to Jan 29, 2025
- RAUM · $464M to $564MMar 5, 2024 to Jan 29, 2025
- Accounts · 1,497 to 1,638Feb 7, 2023 to Mar 5, 2024
- BD registered reps · 9 to 8Feb 7, 2023 to Mar 5, 2024
- Corporate clients · 2 to 6Feb 7, 2023 to Mar 5, 2024
- HNW clients · 161 to 160Feb 7, 2023 to Mar 5, 2024
- Individual clients · 619 to 6,167Feb 7, 2023 to Mar 5, 2024
- Pension plan clients · 7 to 11Feb 7, 2023 to Mar 5, 2024
- Discretionary RAUM · $365M to $428MFeb 7, 2023 to Mar 5, 2024
- HNW RAUM · $223M to $249MFeb 7, 2023 to Mar 5, 2024
- Individual RAUM · $135M to $169MFeb 7, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $24.9M to $35.6MFeb 7, 2023 to Mar 5, 2024
- Pension RAUM · $29.3M to $37.7MFeb 7, 2023 to Mar 5, 2024
- RAUM · $390M to $464MFeb 7, 2023 to Mar 5, 2024
- Accounts · 1,500 to 1,497Feb 3, 2022 to Feb 7, 2023
- Advisory employees · 8 to 9Feb 3, 2022 to Feb 7, 2023
- BD registered reps · 11 to 9Feb 3, 2022 to Feb 7, 2023
- Corporate clients · unset to 2.0Feb 3, 2022 to Feb 7, 2023
- HNW clients · 144 to 161Feb 3, 2022 to Feb 7, 2023
- Individual clients · 650 to 619Feb 3, 2022 to Feb 7, 2023
Signals
4 dated events
- Matthew Gregory Giles left Collaborative Wealth for Structure Wealth Partners Llc (registered 2026-01-08)Jan 9, 2026 · Advisor changed firm · fact
- John Allen Davis left Collaborative Wealth for Dynamic (registered 2025-01-01)Feb 8, 2022 · Advisor changed firm · fact
- Ann Sandra Stickney (Chief Compliance Officer) appeared on Schedule A of Collaborative WealthJul 10, 2020 · Control person joined · fact
- Collaborative Wealth filed its initial SEC registration (Form ADV)Jul 14, 2014 · 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
- 321-766-6049reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 352-375-7977reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 407-792-3336reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/collaborativewealthreportedpublic record, Form ADV, Sep 17, 2026
- Website
- collaborativewealth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 407-792-3336reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- collaborativewealth.com/contact-usreportedpublished 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
- $46.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026