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

R••••••••• M•••• M•••••••••

Former SEC-registered adviserS•••••••, FloridaCRD 145149SEC 801-69720IAPD
Legal name S••••••••• M•••• M••••••••• O• S•••••••• I•••
Latest filing Jan 10, 2018
First filing on the tape Mar 29, 2012 · 13 filings
RAUM
$27.0M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$27.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$27.0M
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
13 filings and snapshots on the tape
RAUM$76.2M as of Mar 29, 2017
Apr 4, 2013$75.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 29, 2017
Mar 29, 20120 then
Employees (5.A)3 as of Mar 29, 2017
Apr 4, 20134 then
Private funds: no history
RAUM -57% over the last fiscal year-28% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 10, 2018; every figure names its basis
RAUM per advisor
$27.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
103derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$150,000derivedRAUM 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
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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
Custody
$27.0M, 103 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
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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
  • Individuals$17.0M63%
  • High-net-worth individuals$10.0M37%
Individual clients
97reported
HNW clients
6reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
180reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$27.0M for 103 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••••• L•••• L••Sarasota, FlMar 14, 201742 y3
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L••• R•••••• L•••• · President/Ceo & Chief Compliance Officercontrol
    since 05/2007 · 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 · 192 to 180
    Jun 16, 2017 to Nov 27, 2017
  • Advisory activities · 2 to 3
    Jun 16, 2017 to Nov 27, 2017
  • Charity clients · unset to 0.0
    Jun 16, 2017 to Nov 27, 2017
  • Corporate clients · unset to 0.0
    Jun 16, 2017 to Nov 27, 2017
  • HNW clients · unset to 6.0
    Jun 16, 2017 to Nov 27, 2017
  • Individual clients · unset to 97.0
    Jun 16, 2017 to Nov 27, 2017
  • Pension plan clients · unset to 0.0
    Jun 16, 2017 to Nov 27, 2017
  • Pooled vehicle clients · unset to 0.0
    Jun 16, 2017 to Nov 27, 2017
  • Commission compensation · true to false
    Jun 16, 2017 to Nov 27, 2017
  • Assets in custody · unset to 27000000.0
    Jun 16, 2017 to Nov 27, 2017
  • Custody of client assets · false to true
    Jun 16, 2017 to Nov 27, 2017
  • Financial planning clients · 51-100 to 26-50
    Jun 16, 2017 to Nov 27, 2017
  • Other offices · unset to 0.0
    Jun 16, 2017 to Nov 27, 2017
  • HNW RAUM · unset to 10000000.0
    Jun 16, 2017 to Nov 27, 2017
  • Individual RAUM · unset to 17000000.0
    Jun 16, 2017 to Nov 27, 2017
  • Non-discretionary RAUM · $76.2M to $27.0M
    Jun 16, 2017 to Nov 27, 2017
  • Pension RAUM · unset to 0.0
    Jun 16, 2017 to Nov 27, 2017
  • Pooled vehicle RAUM · unset to 0.0
    Jun 16, 2017 to Nov 27, 2017
  • RAUM · $76.2M to $27.0M
    Jun 16, 2017 to Nov 27, 2017
  • Related adviser · true to false
    Jun 16, 2017 to Nov 27, 2017
  • Accounts · 174 to 192
    Jan 24, 2017 to Mar 29, 2017
  • Advisory activities · 3 to 2
    Jan 24, 2017 to Mar 29, 2017
  • BD registered reps · 2 to 3
    Jan 24, 2017 to Mar 29, 2017
  • Insurance-licensed employees · 0 to 2
    Jan 24, 2017 to Mar 29, 2017
  • Non-discretionary RAUM · $63.0M to $76.2M
    Jan 24, 2017 to Mar 29, 2017
  • RAUM · $63.0M to $76.2M
    Jan 24, 2017 to Mar 29, 2017
  • Accounts · 159 to 174
    Jul 22, 2015 to Mar 28, 2016
  • Commission compensation · false to true
    Jul 22, 2015 to Mar 28, 2016
  • Non-discretionary RAUM · $75.0M to $63.0M
    Jul 22, 2015 to Mar 28, 2016
  • RAUM · $75.0M to $63.0M
    Jul 22, 2015 to Mar 28, 2016
  • Related adviser · false to true
    Jul 22, 2015 to Mar 28, 2016
  • Accounts · 1,179 to 159
    May 6, 2015 to Jul 22, 2015
  • Non-discretionary RAUM · $73.0M to $75.0M
    May 6, 2015 to Jul 22, 2015
  • RAUM · $73.0M to $75.0M
    May 6, 2015 to Jul 22, 2015
  • Advisory employees · 1 to 2
    Apr 1, 2014 to May 6, 2015
  • Advisory activities · 4 to 3
    Apr 1, 2014 to May 6, 2015
  • BD registered reps · 0 to 2
    Apr 1, 2014 to May 6, 2015
  • Employees · 4 to 3
    Apr 1, 2014 to May 6, 2015
  • Financial planning clients · 26-50 to 51-100
    Apr 1, 2014 to May 6, 2015
  • State-registered IARs · 3 to 2
    Apr 1, 2014 to May 6, 2015
Signals
2 dated events
  • J•• R•••••• L•••••• left R••••••••• M•••• M••••••••• for C••••• A•••••• N••••••• L•• (registered 2017-11-06)
    Nov 16, 2022 · a•••••• firm change · fact
  • T••••• M••••• K••••• left R••••••••• M•••• M••••••••• for Pattern (registered 2022-09-02)
    Apr 20, 2022 · a•••••• firm change · 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
Website
retirementmoneymanagement.comreportedpublic record, Form ADV, Sep 18, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$27.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026