DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
F•• C•••••• M••••••••• L•••••
Independent wealth manager, based in Boca Raton, Florida, reporting $558M of regulatory assets across 5 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $558M
- Advisors
- 5
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +18%
- Private clients
- 82% of RAUM, $458M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $472MRAUM now $558M
- Contact points 2
Every filed figure, and the identifiersCRD 146399 · SEC 801-68848 · 26 filingsShowHide
CRD 146399SEC 801-68848First filing on the tape Mar 1, 2012, latest Feb 12, 2026SEC status approved since Feb 21, 2008IAPD
RAUM
$558M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
82%
$458M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$558M as of Feb 12, 2026
Mar 1, 2012$114M then
HNW client RAUM$452M as of Feb 12, 2026
Mar 6, 2018$199M then
State-registered IARs (5.B.3)5 as of Feb 12, 2026
Mar 14, 20130 then
Employees (5.A)7 as of Feb 12, 2026
Mar 14, 20135 then
Private funds: no history
RAUM +18% over the last fiscal year+12% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 12, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$452M87%
- Corporations and businesses$63.3M12%
- Individuals$5.4M1.0%
- Individual clients
- 13reported
- HNW clients
- 100reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 237reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••• S•••••••••Certified Financial Planner | Boca Raton, Fl | Feb 15, 2022 | 12 y | 0 |
| H••• T••••••• R••••Chartered Financial Analyst | Boca Raton, Fl | Feb 22, 2022 | 18 y | 0 |
| K•••• M•••• M••••••••• | Boca Raton, Fl | Mar 10, 2022 | 28 y | 0 |
| J•••••• S••••• | Boca Raton, Fl | Mar 14, 2022 | 34 y | 0 |
| W••••• M•••••• | Boca Raton, Fl | Apr 13, 2022 | 18 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• K••••• M•••• · Partnercontrolsince 01/2008 · owns 50% to 75%
- R••••• H•••• T••••••• · Partner, Chief Compliance Officercontrolsince 01/2008 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Boca Raton, Fl · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 224 to 237Mar 12, 2025 to Feb 12, 2026
- Corporate clients · 12 to 18Mar 12, 2025 to Feb 12, 2026
- Individual clients · 11 to 13Mar 12, 2025 to Feb 12, 2026
- Discretionary RAUM · $456M to $541MMar 12, 2025 to Feb 12, 2026
- HNW RAUM · $384M to $452MMar 12, 2025 to Feb 12, 2026
- Individual RAUM · $3.7M to $5.4MMar 12, 2025 to Feb 12, 2026
- Non-discretionary RAUM · $16.1M to $17.2MMar 12, 2025 to Feb 12, 2026
- RAUM · $472M to $558MMar 12, 2025 to Feb 12, 2026
- Accounts · 204 to 224Jul 30, 2024 to Mar 12, 2025
- Corporate clients · 9 to 12Jul 30, 2024 to Mar 12, 2025
- HNW clients · 97 to 100Jul 30, 2024 to Mar 12, 2025
- Individual clients · 9 to 11Jul 30, 2024 to Mar 12, 2025
- Financial planning clients · 1-10 to 1-10Jul 30, 2024 to Mar 12, 2025
- Discretionary RAUM · $388M to $456MJul 30, 2024 to Mar 12, 2025
- HNW RAUM · $352M to $384MJul 30, 2024 to Mar 12, 2025
- Individual RAUM · $3.2M to $3.7MJul 30, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $14.5M to $16.1MJul 30, 2024 to Mar 12, 2025
- RAUM · $403M to $472MJul 30, 2024 to Mar 12, 2025
- Accounts · 200 to 204Feb 27, 2023 to Feb 28, 2024
- Corporate clients · 8 to 9Feb 27, 2023 to Feb 28, 2024
- HNW clients · 93 to 97Feb 27, 2023 to Feb 28, 2024
- Individual clients · 10 to 9Feb 27, 2023 to Feb 28, 2024
- Discretionary RAUM · $380M to $388MFeb 27, 2023 to Feb 28, 2024
- HNW RAUM · $343M to $352MFeb 27, 2023 to Feb 28, 2024
- Individual RAUM · $3.3M to $3.2MFeb 27, 2023 to Feb 28, 2024
- Non-discretionary RAUM · $13.4M to $14.5MFeb 27, 2023 to Feb 28, 2024
- RAUM · $393M to $403MFeb 27, 2023 to Feb 28, 2024
- Accounts · 178 to 200Feb 9, 2022 to Feb 27, 2023
- Advisory employees · 5 to 7Feb 9, 2022 to Feb 27, 2023
- Corporate clients · 5 to 8Feb 9, 2022 to Feb 27, 2023
- HNW clients · 82 to 93Feb 9, 2022 to Feb 27, 2023
- Individual clients · 12 to 10Feb 9, 2022 to Feb 27, 2023
- Employees · 5 to 7Feb 9, 2022 to Feb 27, 2023
- State-registered IARs · 3 to 5Feb 9, 2022 to Feb 27, 2023
- Discretionary RAUM · $374M to $380MFeb 9, 2022 to Feb 27, 2023
- HNW RAUM · $345M to $343MFeb 9, 2022 to Feb 27, 2023
- Individual RAUM · $4.2M to $3.3MFeb 9, 2022 to Feb 27, 2023
- Non-discretionary RAUM · $15.7M to $13.4MFeb 9, 2022 to Feb 27, 2023
- RAUM · $389M to $393MFeb 9, 2022 to Feb 27, 2023
- Accounts · 157 to 178Nov 2, 2021 to Feb 9, 2022
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
- Website
- ••• Lockedreportedpublic record, Form ADV, Feb 12, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 12, 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
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026