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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SEC-registered adviser
C••••••••• C•••••• A•••••••• I•••
Latest filing Mar 4, 2026
First filing on the tape Mar 15, 2012 · 19 filings
SEC status approved since Apr 13, 2007
RAUM
$295M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
88%
$261M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$295M
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
19 filings and snapshots on the tape
RAUM$295M as of Mar 4, 2026
Mar 15, 2012$106M then
HNW client RAUM$240M as of Mar 4, 2026
Mar 19, 2018$97.2M then
State-registered IARs (5.B.3)1 as of Mar 4, 2026
Mar 15, 20120 then
Employees (5.A)3 as of Mar 4, 2026
Mar 15, 20134 then
Private funds: no history
RAUM +11% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $295MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 239derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $729,951derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +46%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Custody
- $257M, 243 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
- 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)
- 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$240M81%
- Pension and profit-sharing plans$33.9M12%
- Individuals$20.8M7.0%
- Individual clients
- 51reported
- HNW clients
- 188reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 404reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $257M for 243 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• M•••• C•••••• | Orlando, Fl | Jan 1, 2026 | 36 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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•••••• M•••• C•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 1, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• D••••••• M•••• · President/Secretarytreasurer/Chief Compliance Officercontrolsince 08/2013 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 4, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 420 to 404Feb 25, 2025 to Mar 4, 2026
- HNW clients · 89 to 188Feb 25, 2025 to Mar 4, 2026
- Individual clients · 75 to 51Feb 25, 2025 to Mar 4, 2026
- Assets in custody · $227M to $257MFeb 25, 2025 to Mar 4, 2026
- HNW RAUM · $212M to $240MFeb 25, 2025 to Mar 4, 2026
- Individual RAUM · $24.1M to $20.8MFeb 25, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $267M to $295MFeb 25, 2025 to Mar 4, 2026
- Pension RAUM · $30.2M to $33.9MFeb 25, 2025 to Mar 4, 2026
- RAUM · $267M to $295MFeb 25, 2025 to Mar 4, 2026
- Accounts · 395 to 420Mar 7, 2024 to Feb 25, 2025
- HNW clients · 65 to 89Mar 7, 2024 to Feb 25, 2025
- Individual clients · 39 to 75Mar 7, 2024 to Feb 25, 2025
- Pension plan clients · 25 to 10Mar 7, 2024 to Feb 25, 2025
- Assets in custody · $189M to $227MMar 7, 2024 to Feb 25, 2025
- Financial planning clients · 11-25 to 11-25Mar 7, 2024 to Feb 25, 2025
- Discretionary RAUM · $3.8M to $0Mar 7, 2024 to Feb 25, 2025
- HNW RAUM · $192M to $212MMar 7, 2024 to Feb 25, 2025
- Individual RAUM · $19.0M to $24.1MMar 7, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $272M to $267MMar 7, 2024 to Feb 25, 2025
- Pension RAUM · $64.6M to $30.2MMar 7, 2024 to Feb 25, 2025
- RAUM · $276M to $267MMar 7, 2024 to Feb 25, 2025
- Accounts · 390 to 395Feb 25, 2023 to Mar 7, 2024
- HNW clients · 42 to 65Feb 25, 2023 to Mar 7, 2024
- Individual clients · 102 to 39Feb 25, 2023 to Mar 7, 2024
- Pension plan clients · 14 to 25Feb 25, 2023 to Mar 7, 2024
- Assets in custody · $193M to $189MFeb 25, 2023 to Mar 7, 2024
- Discretionary RAUM · $3.3M to $3.8MFeb 25, 2023 to Mar 7, 2024
- HNW RAUM · $125M to $192MFeb 25, 2023 to Mar 7, 2024
- Individual RAUM · $53.0M to $19.0MFeb 25, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $207M to $272MFeb 25, 2023 to Mar 7, 2024
- Pension RAUM · $31.5M to $64.6MFeb 25, 2023 to Mar 7, 2024
- RAUM · $210M to $276MFeb 25, 2023 to Mar 7, 2024
- Accounts · 370 to 390Oct 19, 2022 to Feb 25, 2023
- HNW clients · 58 to 42Oct 19, 2022 to Feb 25, 2023
- Individual clients · 38 to 102Oct 19, 2022 to Feb 25, 2023
- Pension plan clients · 18 to 14Oct 19, 2022 to Feb 25, 2023
- Assets in custody · $4.9M to $193MOct 19, 2022 to Feb 25, 2023
- Discretionary RAUM · $3.9M to $3.3MOct 19, 2022 to Feb 25, 2023
- HNW RAUM · $145M to $125MOct 19, 2022 to Feb 25, 2023
- Individual RAUM · $16.1M to $53.0MOct 19, 2022 to Feb 25, 2023
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
- Firm profile
- linkedin.com/company/carpenter-claydon-advisors-inc-reportedpublic record, Form ADV, Sep 19, 2026
- Website
- CCAWEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 407-843-0316reportedpublic record, Form ADV, Mar 4, 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
- $295Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026