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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Former SEC-registered adviser

Z•••••• W••••• M••••••••• L••

Former SEC-registered adviserSt. Cloud, FloridaCRD 142197SEC 801-122159IAPD
Latest filing Jan 31, 2023
First filing on the tape Jul 26, 2021 · 7 filings
RAUM
$116M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$116M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$116M as of Jan 31, 2023
Jan 12, 2022$129M then
HNW client RAUM$20.7M as of Jan 31, 2023
Jan 12, 2022$25.8M then
State-registered IARs (5.B.3)2 as of Jan 31, 2023
Jan 12, 20222 then
Employees (5.A)3 as of Jan 31, 2023
Jan 12, 20223 then
Private funds: no history
RAUM -10% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 31, 2023; every figure names its basis
RAUM per advisor
$58.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
66derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$861,757derivedHNW RAUM over HNW clients
Average account
$143,682derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-10%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.2%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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$95.3M82%
  • High-net-worth individuals$20.7M18%
Individual clients
108reported
HNW clients
24reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
807reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Z••••••• C••••••••• P••• · Owner, Managing Member, President, Chief Compliance Officercontrol
      since 01/2003 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 775 to 807
      Jan 12, 2022 to Jan 31, 2023
    • HNW clients · 23 to 24
      Jan 12, 2022 to Jan 31, 2023
    • Individual clients · 112 to 108
      Jan 12, 2022 to Jan 31, 2023
    • HNW RAUM · $25.8M to $20.7M
      Jan 12, 2022 to Jan 31, 2023
    • Individual RAUM · $103M to $95.3M
      Jan 12, 2022 to Jan 31, 2023
    • Non-discretionary RAUM · $129M to $116M
      Jan 12, 2022 to Jan 31, 2023
    • RAUM · $129M to $116M
      Jan 12, 2022 to Jan 31, 2023
    • Accounts · 757 to 775
      Aug 24, 2021 to Jan 12, 2022
    • Individual clients · 109 to 112
      Aug 24, 2021 to Jan 12, 2022
    • HNW RAUM · $24.6M to $25.8M
      Aug 24, 2021 to Jan 12, 2022
    • Individual RAUM · $98.3M to $103M
      Aug 24, 2021 to Jan 12, 2022
    • Non-discretionary RAUM · $123M to $129M
      Aug 24, 2021 to Jan 12, 2022
    • RAUM · $123M to $129M
      Aug 24, 2021 to Jan 12, 2022
    • Assets in custody · 23765342.0 to unset
      Aug 6, 2021 to Aug 24, 2021
    • Custody of client assets · true to false
      Aug 6, 2021 to Aug 24, 2021
    Signals
    2 dated events
    • K•••• J• D••••••• left Z•••••• W••••• M••••••••• L•• for F•••••• F•••••••• M••••••••• I•• (registered 2026-01-01)
      May 2, 2023 · Advisor changed firm · fact
    • Z•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Jul 26, 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026