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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R•••••• F•••••••• P••••••• S•••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Nov 14, 2025 · 3 filings
SEC status approved since Nov 13, 2025
RAUM
$126M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$123M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$63.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$126M as of Mar 20, 2026
Nov 14, 2025$117M then
HNW client RAUM$68.6M as of Mar 20, 2026
Nov 14, 2025$58.1M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Nov 14, 20252 then
Employees (5.A)2 as of Mar 20, 2026
Nov 14, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
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
- $63.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 107derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $264,019derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$68.6M54%
- Individuals$54.4M43%
- Corporations and businesses$3.0M2.4%
- Individual clients
- 181reported
- HNW clients
- 33reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 477reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• J••••• C•••••••••Certified Financial Planner | Sarasota, Fl | Nov 16, 2020 | 11 y | 2 |
| N••••••• P••• G••••••Certified Financial Planner | Sarasota, Fl | Jan 17, 2025 | 12 y | 3 |
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
- N••••••• P••• G•••••• from B•••• W•••••• L••Jan 17, 2025 · RIA to RIA
- J••• J••••• C••••••••• from A••••• A•• P••••••• S•••••••Nov 16, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• J•••• J••••• · Principal/Chief Compliance Officer/Managing Membercontrolsince 01/2023 · 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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 460 to 477Dec 11, 2025 to Mar 20, 2026
- HNW clients · 27 to 33Dec 11, 2025 to Mar 20, 2026
- Discretionary RAUM · $117M to $126MDec 11, 2025 to Mar 20, 2026
- HNW RAUM · $58.1M to $68.6MDec 11, 2025 to Mar 20, 2026
- Individual RAUM · $55.5M to $54.4MDec 11, 2025 to Mar 20, 2026
- RAUM · $117M to $126MDec 11, 2025 to Mar 20, 2026
Signals
No event on the tape.
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 email
- inquire@realityfinancialplanning.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-839-5390reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 941-366-5700reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (941) 366-5700reportedpublic record, Form ADV, Mar 20, 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
- $63.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026