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

S••••• W••••• A•••••••• I•••

Former SEC-registered adviserTampa, FloridaCRD 145359SEC 801-68454IAPD
Latest filing Jan 2, 2024
First filing on the tape Mar 7, 2012 · 24 filings
RAUM
$393M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
76%
$300M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$393M as of Feb 8, 2023
Mar 7, 2012$116M then
HNW client RAUM$271M as of Feb 8, 2023
Mar 24, 2018$190M then
State-registered IARs (5.B.3)2 as of Feb 8, 2023
Mar 7, 20120 then
Employees (5.A)8 as of Feb 8, 2023
Feb 12, 20136 then
Private funds: no history
RAUM -7.5% over the last fiscal year+8.9% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Jan 2, 2024; every figure names its basis
RAUM per advisor
$196MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
127derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$621,331derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-7.5%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.2%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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$271M82%
  • Individuals$28.5M8.6%
  • Corporations and businesses$24.8M7.5%
  • Charitable organizations$6.5M2.0%
Individual clients
168reported
HNW clients
85reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
632reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S•••••• W••••••• E••••• · President/Chief Compliance Officercontrol
      since 09/2007 · owns less than 5%
    • S•••••• W••••••• E••••• · President/Chief Compliance Officercontrol
      since 09/2007 · owns 75% or more of S••••• W••••• M••••••••• I•••
    Entity owners
    • S••••• W••••• M••••••••• I••• · Owner
      direct · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Tampa, Fl · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 591 to 632
      May 9, 2022 to Feb 8, 2023
    • Advisory employees · 4 to 3
      May 9, 2022 to Feb 8, 2023
    • BD registered reps · 6 to 4
      May 9, 2022 to Feb 8, 2023
    • Corporate clients · 6 to 7
      May 9, 2022 to Feb 8, 2023
    • HNW clients · 93 to 85
      May 9, 2022 to Feb 8, 2023
    • Individual clients · 157 to 168
      May 9, 2022 to Feb 8, 2023
    • State-registered IARs · 4 to 2
      May 9, 2022 to Feb 8, 2023
    • Discretionary RAUM · $416M to $386M
      May 9, 2022 to Feb 8, 2023
    • HNW RAUM · $333M to $271M
      May 9, 2022 to Feb 8, 2023
    • Individual RAUM · $28.3M to $28.5M
      May 9, 2022 to Feb 8, 2023
    • Non-discretionary RAUM · $8.2M to $6.6M
      May 9, 2022 to Feb 8, 2023
    • RAUM · $425M to $393M
      May 9, 2022 to Feb 8, 2023
    • Accounts · 521 to 591
      Mar 9, 2021 to Feb 11, 2022
    • Corporate clients · 2 to 6
      Mar 9, 2021 to Feb 11, 2022
    • HNW clients · 59 to 93
      Mar 9, 2021 to Feb 11, 2022
    • Individual clients · 163 to 157
      Mar 9, 2021 to Feb 11, 2022
    • Discretionary RAUM · $338M to $416M
      Mar 9, 2021 to Feb 11, 2022
    • HNW RAUM · $292M to $333M
      Mar 9, 2021 to Feb 11, 2022
    • Individual RAUM · $41.3M to $28.3M
      Mar 9, 2021 to Feb 11, 2022
    • Non-discretionary RAUM · $7.4M to $8.2M
      Mar 9, 2021 to Feb 11, 2022
    • RAUM · $345M to $425M
      Mar 9, 2021 to Feb 11, 2022
    • Accounts · 431 to 521
      Sep 17, 2020 to Mar 9, 2021
    • Advisory employees · 2 to 4
      Sep 17, 2020 to Mar 9, 2021
    • BD registered reps · 5 to 6
      Sep 17, 2020 to Mar 9, 2021
    • Corporate clients · 1 to 2
      Sep 17, 2020 to Mar 9, 2021
    • HNW clients · 60 to 59
      Sep 17, 2020 to Mar 9, 2021
    • Individual clients · 123 to 163
      Sep 17, 2020 to Mar 9, 2021
    • Employees · 5 to 8
      Sep 17, 2020 to Mar 9, 2021
    • State-registered IARs · 2 to 4
      Sep 17, 2020 to Mar 9, 2021
    • Discretionary RAUM · $297M to $338M
      Sep 17, 2020 to Mar 9, 2021
    • HNW RAUM · $262M to $292M
      Sep 17, 2020 to Mar 9, 2021
    • Individual RAUM · $31.0M to $41.3M
      Sep 17, 2020 to Mar 9, 2021
    • Non-discretionary RAUM · $7.0M to $7.4M
      Sep 17, 2020 to Mar 9, 2021
    • RAUM · $304M to $345M
      Sep 17, 2020 to Mar 9, 2021
    • Related broker-dealer · true to false
      Sep 17, 2020 to Mar 9, 2021
    • Advisory employees · 3 to 2
      Apr 16, 2020 to May 5, 2020
    • Advisory activities · 5 to 4
      Apr 16, 2020 to May 5, 2020
    • Employees · 8 to 5
      Apr 16, 2020 to May 5, 2020
    • Related broker-dealer · false to true
      Apr 16, 2020 to May 5, 2020
    • Accounts · 407 to 431
      Aug 13, 2019 to Feb 6, 2020
    Signals
    4 dated events
    • Z•••••• E••••• S••••• left S••••• W••••• A•••••••• I••• for C••••••••• W••••• (registered 2024-01-17)
      Jan 30, 2024 · Advisor changed firm · fact
    • 2 advisors left S••••• W••••• A•••••••• I••• (Tampa, FL) for C••••••••• W••••• on the same day
      Jan 30, 2024 · Team lift-out · derived
    • W•••••• E••••• S••••• left S••••• W••••• A•••••••• I••• for C••••••••• W••••• (registered 2024-01-12)
      Jan 30, 2024 · Advisor changed firm · fact
    • K•••• M• W•••• left S••••• W••••• A•••••••• I••• for P•• W••••• M••••••••• (registered 2025-12-16)
      Aug 30, 2022 · Advisor changed firm · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026