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
F••••••••• A•••• M•••••••••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 36 filings
SEC status approved since Jan 2, 2009
RAUM
$177M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
70%
$124M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$44.3M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$177M as of Mar 31, 2026
Mar 27, 2013$331M then
HNW client RAUM$85.9M as of Mar 31, 2026
Mar 29, 2019$23.1M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 27, 20130 then
Employees (5.A)4 as of Mar 31, 2026
Mar 27, 20133 then
Private funds: no history
RAUM -2.1% over the last fiscal year-3.7% a year over threeIARs 4 to 4offices 4 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $44.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 103derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $235,110derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- Compensation
- percentage of assets, subscription, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$85.9M49%
- Banks and thrifts$47.6M27%
- Individuals$38.4M22%
- Pension and profit-sharing plans$5.0M2.9%
- Corporations and businesses$1000.0%
- Individual clients
- 384reported
- HNW clients
- 29reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 753reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.7 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• E••••• O••••• | Lake Mary, Fl | Jan 31, 2018 | 22 y | 3 |
| L• Y• | Lake Mary, Fl | Apr 23, 2018 | 12 y | 0 |
| J••• M•••••• M••••••• | Pensacola, Fl | Dec 8, 2020 | 36 y | 2 |
| J•••• A••••• M•••• | North Attleboro, Ma | Jan 26, 2021 | 12 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
- J••• D•••• A•••••• to I•• A••••••• S•••••••• I•••Aug 17, 2023 · RIA to RIA
- P•••••• S••••••••• J••••••• to S•••••• S•••••••••Feb 22, 2023 · RIA to affiliated broker-dealer or bank
- L••••• G••• S••••••••• to O••••••••• • C•• I•••Feb 22, 2016 · Other
Joined, latest
- J••• M•••••• M••••••• from M••••••• I••••••••• G••••• L••Dec 8, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O•••••• W••••••• E••••• · Chief Compliance Officercontrolsince 07/2020 · owns less than 5%
- M•••••• A••••• · General Partnercontrolsince 01/2021 · owns F of F••••••••• I•••
- M•••• C••••••••• M• · Director; Secretary; Counselsince 03/2011 · owns less than 5%
Entity owners
- F••••••••• I••• · Corporation-Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- F•••••••••investment advisernRAUM $395M
Advisers that list F••••••••• A•••• M••••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lake Mary, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Alpharetta, GA1 employees
- Denver, CO1 employees
- Lake Mary, FL1 employees
- Pensacola, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 741 to 753Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 4 to 3Mar 31, 2025 to Mar 31, 2026
- HNW clients · 20 to 29Mar 31, 2025 to Mar 31, 2026
- Individual clients · 396 to 384Mar 31, 2025 to Mar 31, 2026
- HQ city · DALLAS to LAKE MARYMar 31, 2025 to Mar 31, 2026
- HQ state · TX to FLMar 31, 2025 to Mar 31, 2026
- Other offices · 4 to 3Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $157M to $148MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $69.1M to $85.9MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $51.9M to $38.4MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $24.2M to $29.3MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $11.8M to $5.0MMar 31, 2025 to Mar 31, 2026
- RAUM · $181M to $177MMar 31, 2025 to Mar 31, 2026
- Accounts · 715 to 741Oct 2, 2024 to Mar 31, 2025
- Individual clients · 383 to 396Oct 2, 2024 to Mar 31, 2025
- Pension plan clients · 7 to 6Oct 2, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Oct 2, 2024 to Mar 31, 2025
- Discretionary RAUM · $152M to $157MOct 2, 2024 to Mar 31, 2025
- HNW RAUM · $62.3M to $69.1MOct 2, 2024 to Mar 31, 2025
- Individual RAUM · $48.7M to $51.9MOct 2, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $23.0M to $24.2MOct 2, 2024 to Mar 31, 2025
- Pension RAUM · $14.6M to $11.8MOct 2, 2024 to Mar 31, 2025
- RAUM · $175M to $181MOct 2, 2024 to Mar 31, 2025
- Accounts · 752 to 715Mar 31, 2023 to Apr 1, 2024
- Advisory employees · 5 to 4Mar 31, 2023 to Apr 1, 2024
- Corporate clients · 3 to 1Mar 31, 2023 to Apr 1, 2024
- HNW clients · 27 to 20Mar 31, 2023 to Apr 1, 2024
- Individual clients · 400 to 383Mar 31, 2023 to Apr 1, 2024
- Pension plan clients · 9 to 7Mar 31, 2023 to Apr 1, 2024
- Employees · 5 to 4Mar 31, 2023 to Apr 1, 2024
- Insurance-licensed employees · 5 to 0Mar 31, 2023 to Apr 1, 2024
- State-registered IARs · 5 to 4Mar 31, 2023 to Apr 1, 2024
- Other offices · 3 to 4Mar 31, 2023 to Apr 1, 2024
- Discretionary RAUM · $172M to $152MMar 31, 2023 to Apr 1, 2024
- HNW RAUM · $73.6M to $62.3MMar 31, 2023 to Apr 1, 2024
- Individual RAUM · $49.3M to $48.7MMar 31, 2023 to Apr 1, 2024
- Non-discretionary RAUM · $25.8M to $23.0MMar 31, 2023 to Apr 1, 2024
- Pension RAUM · $13.9M to $14.6MMar 31, 2023 to Apr 1, 2024
- RAUM · $198M to $175MMar 31, 2023 to Apr 1, 2024
- Accounts · 733 to 752Mar 26, 2022 to Mar 31, 2023
Signals
14 dated events
- Joon Chol D•••• Park (Elected Manager) no longer on Schedule A of F••••••••• A•••• M••••••••• (listed 2024-04-01, absent 2024-09-06)Sep 6, 2024 · Control person left · inference
- J••• D•••• A•••••• left F••••••••• A•••• M••••••••• for I•• A••••••• S•••••••• I••• (registered 2023-08-17)Aug 17, 2023 · Advisor changed firm · fact
- Stephenson Patrick Jolliffe (Vice President; Branch Office Manager) no longer on Schedule A of F••••••••• A•••• M••••••••• (listed 2022-03-26, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- D•••• J••• A•••••• (Vice President; Branch Office Manager) no longer on Schedule A of F••••••••• A•••• M••••••••• (listed 2022-03-26, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- P•••••• S••••••••• J••••••• left F••••••••• A•••• M••••••••• for S•••••• S••••••••• (registered 2023-03-09)Feb 22, 2023 · Advisor changed firm · fact
- Nafees Alam no longer registered at F••••••••• A•••• M•••••••••; no later IA registration on IAPDMay 31, 2022 · Advisor departure · fact
- F••••••••• A•••• M••••••••• reported RAUM $268.4M, up 99% from $135.0M (2021-03-30 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- K•••• J••••• K••••• (Chief Compliance Officer And General Counsel) no longer on Schedule A of F••••••••• A•••• M••••••••• (listed 2020-06-18, absent 2020-06-30)Jun 30, 2020 · Control person left · inference
- A••••• M••••• (General Partner) appeared on Schedule A of F••••••••• A•••• M•••••••••Apr 2, 2020 · Control person joined · fact
- F••••••••• A•••• M••••••••• reported RAUM $110.8M, down 55% from $248.0M (2019-10-29 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- Ernest Wilbert Oakley (Vice President; Branch Office Manager) appeared on Schedule A of F••••••••• A•••• M•••••••••Mar 31, 2020 · Control person joined · fact
- Stephenson Patrick Jolliffe (Vice President; Branch Office Manager) appeared on Schedule A of F••••••••• A•••• M•••••••••Mar 31, 2020 · Control person joined · fact
- D•••• J••• A•••••• (Vice President; Branch Office Manager) appeared on Schedule A of F••••••••• A•••• M•••••••••May 16, 2019 · Control person joined · fact
- K•••• J••••• K••••• (Chief Compliance Officer And General Counsel) appeared on Schedule A of F••••••••• A•••• M•••••••••Mar 29, 2019 · Control person joined · 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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 866-746-3743reportedpublic record, Form ADV, Mar 31, 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
- $44.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026