DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
S•••• H•••• F••••••••• L••
Independent wealth manager, based in Tallahassee, Florida, reporting $281M of regulatory assets across 5 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
- $281M
- Advisors
- 5
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +88%
- Private clients
- 100% of RAUM, $281M
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
- RAUM a year earlier $149MRAUM now $281M
- RAUM (Item 5.F) 280921678Peer median 0.152187099898764
- Contact points 4
Every filed figure, and the identifiersCRD 143190 · SEC 801-129414 · 6 filingsShowHide
CRD 143190SEC 801-129414First filing on the tape Dec 22, 2023, latest Aug 7, 2026SEC status approved since Jan 22, 2024IAPD
RAUM
$281M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$281M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$56.2M
derived; firm RAUM over IAPD count
Employees
5
5 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$281M as of Aug 7, 2026
Mar 26, 2024$107M then
HNW client RAUM$172M as of Aug 7, 2026
Mar 26, 2024$53.0M then
State-registered IARs (5.B.3)5 as of Aug 7, 2026
Mar 26, 20244 then
Employees (5.A)5 as of Aug 7, 2026
Mar 26, 20244 then
Private funds: no history
RAUM +88% over the last fiscal yearIARs 4 to 5
Practice profile
derived from the filing of Aug 7, 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
- $56.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $313,879derivedRAUM 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
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +88%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +39%derived
- Compensation
- percentage of assets, hourlyreportedItem 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$172M61%
- Individuals$108M39%
- Charitable organizations$368,7510.1%
- Individual clients
- 310reported
- HNW clients
- 71reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 895reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• A•••• J•••••• | Tallahassee, Fl | May 1, 2007 | 19 y | 0 |
| A••••• H••••• M•••••••Certified Financial Planner | Tallahassee, Fl | Jul 7, 2023 | 20 y | 2 |
| D••••• A••••• B••••••Certified Financial Planner | Tallahassee, Fl | Jan 1, 2025 | 19 y | 3 |
| T•••• E••••• M•••••Certified Financial Planner | Tallahassee, Fl | Jan 16, 2025 | 29 y | 0 |
| H•••• P•••• M•••• | Tallahassee, Fl | Jan 1, 2026 | 14 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••••• B•••••• from W•••• F•••• A•••••••Jan 1, 2025 · Wirehouse to independent RIA
- A••••• H••••• M••••••• from L•• F•••••••• L••Jul 7, 2023 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• D•••••• A••••• · Investment Advisor Representative & Principalcontrolsince 05/2018 · owns 25% to 50%
- J••••••• J••••••• A•••• · Foundercontrolsince 01/2007 · owns 25% to 50%
- M••••• H••••• P•••• · Chief Compliance Officercontrolsince 09/2023 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Tallahassee, Fl · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 20, 2026RAUM (Item 5.F) moved from $149,105,232 to $280,921,678 (+88.0%) between the annual amendments of 2025-02-20 and 2026-03-20; the peer median change was +15.0% (4548 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,548) · 98% percentile
- account count surgeChange between filings · filing Mar 20, 2026accounts (Item 5.F.2.f) moved from 594.0 to 895.0 (+51.0%) between the annual amendments of 2025-02-20 and 2026-03-20; the peer median change was +5.0% (3685 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,685) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 594 to 895Oct 24, 2025 to Mar 20, 2026
- Advisory employees · 4 to 5Oct 24, 2025 to Mar 20, 2026
- BD registered reps · 0 to 1Oct 24, 2025 to Mar 20, 2026
- Charity clients · 2 to 1Oct 24, 2025 to Mar 20, 2026
- HNW clients · 32 to 71Oct 24, 2025 to Mar 20, 2026
- Individual clients · 242 to 310Oct 24, 2025 to Mar 20, 2026
- Employees · 4 to 5Oct 24, 2025 to Mar 20, 2026
- Financial planning clients · 51-100 to 26-50Oct 24, 2025 to Mar 20, 2026
- State-registered IARs · 4 to 5Oct 24, 2025 to Mar 20, 2026
- Discretionary RAUM · $149M to $281MOct 24, 2025 to Mar 20, 2026
- HNW RAUM · $72.0M to $172MOct 24, 2025 to Mar 20, 2026
- Individual RAUM · $76.5M to $108MOct 24, 2025 to Mar 20, 2026
- RAUM · $149M to $281MOct 24, 2025 to Mar 20, 2026
- Accounts · 504 to 594Mar 26, 2024 to Feb 20, 2025
- Charity clients · 1 to 2Mar 26, 2024 to Feb 20, 2025
- HNW clients · 24 to 32Mar 26, 2024 to Feb 20, 2025
- Individual clients · 217 to 242Mar 26, 2024 to Feb 20, 2025
- Financial planning clients · 51-100 to 51-100Mar 26, 2024 to Feb 20, 2025
- Discretionary RAUM · $107M to $149MMar 26, 2024 to Feb 20, 2025
- HNW RAUM · $53.0M to $72.0MMar 26, 2024 to Feb 20, 2025
- Individual RAUM · $53.4M to $76.5MMar 26, 2024 to Feb 20, 2025
- RAUM · $107M to $149MMar 26, 2024 to Feb 20, 2025
- Accounts · 508 to 504Dec 22, 2023 to Mar 26, 2024
- HNW clients · 20 to 24Dec 22, 2023 to Mar 26, 2024
- Individual clients · 222 to 217Dec 22, 2023 to Mar 26, 2024
- Assets in custody · 109174240.0 to unsetDec 22, 2023 to Mar 26, 2024
- Custody of client assets · true to falseDec 22, 2023 to Mar 26, 2024
- Discretionary RAUM · $109M to $107MDec 22, 2023 to Mar 26, 2024
- HNW RAUM · $49.5M to $53.0MDec 22, 2023 to Mar 26, 2024
- Individual RAUM · $59.4M to $53.4MDec 22, 2023 to Mar 26, 2024
- RAUM · $109M to $107MDec 22, 2023 to Mar 26, 2024
Signals
6 dated events
- ••• LockedAug 7, 2026 · Control person left · inference
- ••• LockedAug 7, 2026 · ria principal change · derived
- ••• LockedAug 7, 2026 · ria ownership band change · fact
- ••• LockedAug 7, 2026 · ria ownership band change · fact
- ••• LockedMar 20, 2026 · RAUM change · derived
- ••• LockedDec 22, 2023 · 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 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Aug 7, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Aug 7, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 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
- $56.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026