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
R•••• F••• M••••••••• L••
Latest filing Aug 21, 2026
First filing on the tape Apr 1, 2013 · 317 filings
SEC status approved since Apr 10, 2013
RAUM
$1.6B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
99%
$1.5B individuals and HNW
Advisors
83
registered through the firm on IAPD
RAUM per advisor
$18.8M
derived; firm RAUM over IAPD count
Employees
93
83 advisory (5.B.1)
Offices
94
beyond the principal office
Private funds
0
reported on Schedule D
History
317 filings and snapshots on the tape
RAUM$1.6B as of Aug 21, 2026
Mar 27, 2014$112M then
HNW client RAUM$333M as of Aug 21, 2026
Mar 14, 2018$51.9M then
State-registered IARs (5.B.3)83 as of Aug 21, 2026
Mar 27, 201451 then
Employees (5.A)93 as of Aug 21, 2026
Mar 27, 201454 then
Private funds: no history
RAUM +19% over the last fiscal year+13% a year over threeIARs 83 to 83offices 89 to 94
Practice profile
derived from the filing of Aug 21, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $18.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $886,769derivedHNW RAUM over HNW clients
- Average account
- $141,064derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 0.9derived95 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -20%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.2B77%
- High-net-worth individuals$333M21%
- Corporations and businesses$21.5M1.4%
- Charitable organizations$126,5380.0%
- Individual clients
- 4,565reported
- HNW clients
- 375reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 11,041reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
83 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• R•••• S••••••• | Lady Lake, Fl | Aug 7, 2007 | 44 y | 1 |
| D•••• A• L••••Certified Financial Planner | Lady Lake, Fl | Apr 25, 2013 | 15 y | 1 |
| R•••••• G••••• E•••••••••Certified Financial Planner | Lady Lake, Fl | Apr 26, 2013 | 33 y | 1 |
| C•••• R•••••• C•••••• | Lady Lake, Fl | May 8, 2013 | 29 y | 6 |
| J••• W•••••• S••••••• | Lady Lake, Fl | May 10, 2013 | 26 y | 2 |
| K•••• B•••••• H••• | Easton, Pa | May 20, 2013 | 28 y | 3 |
| V•••• L••• M••••• | Des Moines, Ia | May 21, 2013 | 20 y | 1 |
| J••••• H••••• V•• U••••••• | Oro Valley, Az | May 22, 2013 | 20 y | 0 |
| L••••• H••••••• W•••• | Lady Lake, Fl | May 23, 2013 | 26 y | 1 |
| J••••• E•••••• H••••Certified Financial Planner | Lakewood, Co | May 29, 2013 | 22 y | 1 |
| H••••• H••••• H•••••• | Lady Lake, Fl | May 29, 2013 | 26 y | 1 |
| R••••• J•••• N••••• | Lady Lake, Fl | May 30, 2013 | 27 y | 1 |
| D••••• W•••••• J•••••• | St. Petersburg, Fl | May 31, 2013 | 20 y | 1 |
| M•••••• J••• C••••• | Lady Lake, Fl | Jun 3, 2013 | 32 y | 1 |
| J•••• L••••••• C••••••• | Jupiter, Fl | Jun 4, 2013 | 40 y | 4 |
| S•••• E••••• H•••••• | Canton, Oh | Jun 5, 2013 | 24 y | 1 |
| K•••• R••••• W•••••• | Lady Lake, Fl | Jul 19, 2013 | 28 y | 1 |
| R••••• J••••• D•••• | Lady Lake, Fl | Jul 26, 2013 | 26 y | 6 |
| J••• S••••••• T•••• | Lady Lake, Fl | Aug 26, 2013 | 37 y | 5 |
| K•••••• T••••• K•••••• | Lady Lake, Fl | Aug 27, 2013 | 33 y | 2 |
| S••••• R•••• S•••• | Lady Lake, Fl | Dec 17, 2013 | 26 y | 3 |
| J••• L••••••• M•••• | Atlanta, Ga | Feb 5, 2014 | 41 y | 2 |
| L•••••• D••••• | Orlando, Fl | Feb 24, 2014 | 31 y | 1 |
| J••• R••••• L•••Chartered Financial Consultant | Overland Park, Ks | Feb 26, 2014 | 33 y | 0 |
| M•••••• S•••• N••••• | Lady Lake, Fl | Mar 31, 2014 | 26 y | 3 |
| B•••••• R••••• G••••••••• | Otsego, Mn | May 28, 2014 | 18 y | 1 |
| C•••••• H•••• S•••••Certified Financial Planner | Lady Lake, Fl | Sep 24, 2014 | 16 y | 0 |
| A••• W•••• O•••• | Lady Lake, Fl | Oct 7, 2014 | 39 y | 1 |
| J••••• R•• F•••• | Lady Lake, Fl | Jan 5, 2015 | 20 y | 4 |
| K••••• C••••• P••••Certified Financial Planner | Lady Lake, Fl | Feb 10, 2015 | 11 y | 0 |
| D••••• J••• B•••••• | Lady Lake, Fl | Jun 23, 2015 | 37 y | 1 |
| D••••• P••• K••••Certified Financial Planner, Chartered Financial Consultant | Lady Lake, Fl | Jul 27, 2015 | 26 y | 1 |
| W•••••• R•••• F•••• | Crystal River, Fl | Aug 17, 2015 | 14 y | 0 |
| G••••• A••••• W••••• | Lady Lake, Fl | Sep 16, 2015 | 27 y | 1 |
| O••• T••••• E•••••• | Peckville, Pa | Oct 28, 2015 | 29 y | 1 |
| J••• A••• Z•••• | Marlboro, Nj | Nov 4, 2015 | 20 y | 1 |
| N••• A••••• H••••• | Fountain Valley, Ca | Nov 24, 2015 | 35 y | 0 |
| M•••••• T••••• J•••••• | Lady Lake, Fl | Dec 16, 2015 | 21 y | 3 |
| M••• R• T••••••• | Ankeny, Ia | Jan 28, 2016 | 18 y | 0 |
| M•••••• K•••••• B•••••• | Round Rock, Tx | Mar 11, 2016 | 39 y | 0 |
Advisor movement
4 left, 2 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 4.8% of current headcount9 left over 36 months
Left, latest
- N•••••••• A•••• C••••• to F••••••Apr 2, 2026 · RIA to RIA
- S•••• M• S•••••• to F••••••Apr 2, 2026 · RIA to RIA
- C•••• P•••• S••••••• to A••••• F•••••••• A•••••••• I•••Mar 4, 2026 · RIA to RIA
- J•••• E•••••• A•••• to I••••• P••••••••• W•••••• L••Feb 10, 2026 · RIA to RIA
- N••• G••••• H•••••• to G••••••• A•••••••• L••Sep 3, 2024 · RIA to RIA
- W•••••• M•••••• D•••••• to H••••• • A••••••••• F•••••••• G•••• I•••Jun 13, 2024 · RIA to RIA
- J••• M•••••• S••••• to M••••• G••••• A••••••• I•••Apr 22, 2024 · RIA to RIA
- P••••• T••••• P•••••• to B••••••••• W••••• A•••••••• L••Jan 29, 2024 · Other
- T•••••• J• B•••• to C••••••••• A•••• M••••••••• S•••••••• I•••Oct 12, 2023 · Other
- K••••••• P••••• L•••• to P•••••••• M•••••• L••May 26, 2023 · RIA to RIA
- R••••• M••••• L••••• to A••••••• E•••• A•••••••Jul 11, 2022 · RIA to a state-registered adviser
- W•••••• D• B•••••• to B••••••••• W••••• A•••••••• L••May 24, 2022 · RIA to RIA
- P•••••• M•••••• K••••• to I••• W••••• M••••••••• L••Aug 13, 2021 · RIA to RIA
- S••••• J• R••••••••• to P•••• S••••••••• L••Sep 22, 2020 · RIA to affiliated broker-dealer or bank
- R••••• C••••• to S••••••••• W•••••Aug 27, 2020 · RIA to RIA
Joined, latest
- N••• G••••• H•••••• from G••••••• A•••••••• L••Mar 17, 2026 · RIA to RIA
- R•••• M•••••• S•••••••• from C••••• S••••• A•••••••• I•••Jan 9, 2026 · RIA to RIA
- A••• E••••• K•••• from C•••••• M•••••• I•• L••Jul 24, 2025 · RIA to RIA
- T•••• L•• T•••• from L•••••• F•••••••• G••••Jun 12, 2025 · Other
- S••••• J• R••••••••• from I••••• P••••••••• W•••••• L••May 8, 2025 · RIA to RIA
- J•••• E•••••• A•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 9, 2024 · Affiliated broker-dealer or bank to independent RIA
- C•••••• T••••• from A••••••••• F•••••••• S•••••••• L••Oct 11, 2024 · Affiliated broker-dealer or bank to independent RIA
- S••• K•••••• C•••• from A• W••••• M••••••••• L••May 2, 2024 · RIA to RIA
- N••• G••••• H•••••• from P•••• S••••••••• L••Mar 8, 2023 · Affiliated broker-dealer or bank to independent RIA
- N•••••• K••• N•••••• from E•••• I••••••••• T••• L••Feb 16, 2023 · RIA to RIA
- P••••• T••••• P•••••• from E•• F•••••••• A•••••••Sep 6, 2022 · Affiliated broker-dealer or bank to independent RIA
- K••••••• P••••• L•••• from B•••••• L••• A••••••• S•••••••• I•••Feb 9, 2022 · Affiliated broker-dealer or bank to independent RIA
- J••••••• L•••• J••• from I••• W••••• M••••••••• L••Sep 13, 2021 · RIA to RIA
- H•••• E••• C•••••• from A• W••••• M••••••••• L••Jun 10, 2021 · Affiliated broker-dealer or bank to independent RIA
- D•••• L•••• M••••• from F•••••••• S••••••• P••••••• L••Sep 23, 2020 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for F••••••Apr 2, 2026 · Lady Lake, Fl · t••• lift out
- 3 left for B•••••••• F•••••••• A••••••• G••••• L••Dec 31, 2018 · The Villages, Fl · t••• lift out
- 2 joined from F•••• A••••••• N•••••••• L••Dec 5, 2018 · Delray Beach, Fl · t••• lift out
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• M•••• R•••• · Managing Member/C•••• Executive Officercontrolsince 06/2007 · owns 75% or more
- M••••••• S•••••••• · C•••• Compliance Officersince 06/2020 · owns less than 5%
Related persons
Schedule D 7.A
- S••••••• T•• A••••••• G••••• I•••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lady Lake, Fl · principal | 82 | 4 | 2 | ||
| Lakewood, Co | 4 | 0 | 0 | ||
| Jupiter, Fl | 3 | 1 | 0 | ||
| Charlotte, Nc | 2 | 1 | 0 | ||
| Clinton, Ok | 2 | 0 | 0 | ||
| J••••••Ville, Fl | 2 | 0 | 0 | ||
| Lavale, Md | 2 | 0 | 0 | ||
| Orlando, Fl | 2 | 0 | 0 | ||
| Otsego, Mn | 2 | 0 | 0 | ||
| Overland P•••, Ks | 2 | 0 | 0 | ||
| Urband•••, Ia | 2 | 0 | 0 | ||
| Albuquerque, Nm | 2 | 0 | 0 | ||
| A••••, Tx | 2 | 0 | 0 | ||
| Brewer, Me | 2 | 1 | 0 | ||
| Castle Pines, Co | 0 | 0 | 0 | ||
| Hoffman Estates, Il | 0 | 0 | 2 | 1 | |
| Melville, Ny | 0 | 0 | 0 | ||
| North Olmstead, Oh | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Overland P•••, KS3 employees
- Clinton, OK2 employees
- Centennial, CO2 employees
- Atlanta, GA1 employees
- Austin, MN1 employees
- Beaumont, TX1 employees
- Burbank, CA1 employees
- Burnsville, MN1 employees
- Canton, OH1 employees
- Cherokee, IA1 employees
- Clive, IA1 employees
- Coral Gables, FL1 employees
- Des Moines, IA1 employees
- Easton, PA1 employees
- Elk River, MN1 employees
- Fort Collins, CO1 employees
- Fountain Valley, CA1 employees
- Glandorf, OH1 employees
- Hoffman Estates, IL1 employees
- Houston, TX1 employees
- J••••••Ville, FL1 employees
- Jupiter, FL1 employees
- Jupiter, FL1 employees
- Lake Forest, CA1 employees
- Lakeland, FL1 employees
What changed
consecutive filings, newest first
- Other offices · 95 to 94Mar 19, 2026 to May 28, 2026
- Accounts · 10,143 to 11,041Feb 10, 2026 to Mar 19, 2026
- Charity clients · 4 to 3Feb 10, 2026 to Mar 19, 2026
- Corporate clients · 21 to 23Feb 10, 2026 to Mar 19, 2026
- HNW clients · 350 to 375Feb 10, 2026 to Mar 19, 2026
- Individual clients · 5,798 to 4,565Feb 10, 2026 to Mar 19, 2026
- Other offices · 87 to 95Feb 10, 2026 to Mar 19, 2026
- Discretionary RAUM · $1.2B to $1.5BFeb 10, 2026 to Mar 19, 2026
- HNW RAUM · $268M to $333MFeb 10, 2026 to Mar 19, 2026
- Individual RAUM · $1.0B to $1.2BFeb 10, 2026 to Mar 19, 2026
- Non-discretionary RAUM · $67.7M to $103MFeb 10, 2026 to Mar 19, 2026
- RAUM · $1.3B to $1.6BFeb 10, 2026 to Mar 19, 2026
- Other offices · 90 to 87Jul 25, 2025 to Nov 20, 2025
- Financial planning clients · 26-50 to 26-50Jun 10, 2025 to Jul 25, 2025
- Other offices · 91 to 90Jun 10, 2025 to Jul 25, 2025
- Other offices · 90 to 91May 9, 2025 to Jun 10, 2025
- Other offices · 89 to 90Mar 24, 2025 to May 9, 2025
- Accounts · 11,583 to 10,143Jan 6, 2025 to Mar 24, 2025
- Charity clients · unset to 4.0Jan 6, 2025 to Mar 24, 2025
- Corporate clients · 49 to 21Jan 6, 2025 to Mar 24, 2025
- HNW clients · 334 to 350Jan 6, 2025 to Mar 24, 2025
- Individual clients · 6,821 to 5,798Jan 6, 2025 to Mar 24, 2025
- Financial planning clients · 1-10 to 26-50Jan 6, 2025 to Mar 24, 2025
- Other offices · 81 to 89Jan 6, 2025 to Mar 24, 2025
- Discretionary RAUM · $1.2B to $1.2BJan 6, 2025 to Mar 24, 2025
- HNW RAUM · $252M to $268MJan 6, 2025 to Mar 24, 2025
- Individual RAUM · $1.1B to $1.0BJan 6, 2025 to Mar 24, 2025
- Non-discretionary RAUM · $147M to $67.7MJan 6, 2025 to Mar 24, 2025
- RAUM · $1.4B to $1.3BJan 6, 2025 to Mar 24, 2025
- Other offices · 82 to 81Dec 12, 2024 to Jan 6, 2025
- Other offices · 83 to 82Dec 10, 2024 to Dec 12, 2024
- Other offices · 84 to 83Aug 27, 2024 to Sep 3, 2024
- Other offices · 83 to 84Aug 1, 2024 to Aug 27, 2024
- Other offices · 84 to 83Jul 12, 2024 to Aug 1, 2024
- Other offices · 83 to 84Jul 2, 2024 to Jul 12, 2024
- Other offices · 82 to 83Apr 1, 2024 to May 2, 2024
- Accounts · 10,564 to 11,583Jan 29, 2024 to Mar 26, 2024
- Advisory employees · 85 to 83Jan 29, 2024 to Mar 26, 2024
- Corporate clients · 42 to 49Jan 29, 2024 to Mar 26, 2024
- HNW clients · 273 to 334Jan 29, 2024 to Mar 26, 2024
Signals
22 dated events
- S•••• M• S•••••• left R•••• F••• M••••••••• L•• for F•••••• (registered 2026-04-02)Apr 2, 2026 · Advisor changed firm · fact
- N•••••••• A•••• C••••• left R•••• F••• M••••••••• L•• for F•••••• (registered 2026-04-02)Apr 2, 2026 · Advisor changed firm · fact
- 2 advisors left R•••• F••• M••••••••• L•• (Lady Lake, FL) for F•••••• on the same dayApr 2, 2026 · t••• lift out · derived
- R•••• F••• M••••••••• L•• reported 95 offices beyond its principal office, up from 87 (2026-02-10 to 2026-03-19)Mar 19, 2026 · Office count change · derived
- C•••• P•••• S••••••• left R•••• F••• M••••••••• L•• for A••••• F•••••••• A•••••••• I••• (registered 2026-03-12)Mar 4, 2026 · Advisor changed firm · fact
- J•••• E•••••• A•••• left R•••• F••• M••••••••• L•• for I••••• P••••••••• W•••••• L•• (registered 2026-07-15)Feb 10, 2026 · Advisor changed firm · fact
- R•••• F••• M••••••••• L•• reported 89 offices beyond its principal office, up from 81 (2025-01-06 to 2025-03-24)Mar 24, 2025 · Office count change · derived
- N••• G••••• H•••••• left R•••• F••• M••••••••• L•• for G••••••• A•••••••• L•• (registered 2024-09-04)Sep 3, 2024 · Advisor changed firm · fact
- W•••••• M•••••• D•••••• left R•••• F••• M••••••••• L•• for H••••• • A••••••••• F•••••••• G•••• I••• (registered 2024-05-17)Jun 13, 2024 · Advisor changed firm · fact
- J••• M•••••• S••••• left R•••• F••• M••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2024-05-08)Apr 22, 2024 · Advisor changed firm · fact
- R•••• F••• M••••••••• L•• reported RAUM $1.4B, up 26% from $1.1B (2024-01-29 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- P••••• T••••• P•••••• left R•••• F••• M••••••••• L•• for B••••••••• W••••• A•••••••• L•• (registered 2024-01-30)Jan 29, 2024 · Advisor changed firm · fact
- T•••••• J• B•••• left R•••• F••• M••••••••• L•• for C••••••••• A•••• M••••••••• S•••••••• I••• (registered 2025-03-06)Oct 12, 2023 · Advisor changed firm · fact
- K••••••• P••••• L•••• left R•••• F••• M••••••••• L•• for P•••••••• M•••••• L•• (registered 2023-06-04)May 26, 2023 · Advisor changed firm · fact
- R••••• M••••• L••••• left R•••• F••• M••••••••• L•• for A••••••• E•••• A••••••• (registered 2024-03-28)Jul 11, 2022 · Advisor changed firm · fact
- W•••••• D• B•••••• left R•••• F••• M••••••••• L•• for B••••••••• W••••• A•••••••• L•• (registered 2022-05-20)May 24, 2022 · Advisor changed firm · fact
- R•••• F••• M••••••••• L•• reported RAUM $1.1B, up 30% from $855.0M (2022-02-11 to 2022-03-09)Mar 9, 2022 · RAUM change · derived
- R•••• F••• M••••••••• L•• reported 79 offices beyond its principal office, down from 90 (2022-02-11 to 2022-03-09)Mar 9, 2022 · Office count change · derived
- R•••• F••• M••••••••• L•• reported RAUM $855.0M, up 34% from $636.8M (2021-01-20 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- R•••• F••• M••••••••• L•• reported 108 offices beyond its principal office, down from 113 (2018-11-06 to 2018-11-21)Nov 21, 2018 · Office count change · derived
- R•••• F••• M••••••••• L•• reported RAUM $445.7M, up 38% from $324.0M (2018-03-08 to 2018-03-14)Mar 14, 2018 · RAUM change · derived
- R•••• F••• M••••••••• filed its initial SEC registration (Form ADV)Apr 1, 2013 · ria f•••• adv filing · 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 email
- support@401kmaneuver.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-218-5060reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- 401kmaneuver.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 352-750-1637reportedpublic record, Form ADV, Aug 21, 2026
- Contact form
- 401kmaneuver.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- t••• profile url
- 401kmaneuver.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $18.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026