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.
Former SEC-registered adviser
Holifield Financial Advisory Services/Prosper Financial Advisers
Legal name Holifield Financial Advisory Services, Inc
Latest filing Mar 18, 2024
First filing on the tape Nov 10, 2011 · 13 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
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$146M as of Mar 14, 2023
Mar 23, 2020$121M then
HNW client RAUM$96.2M as of Mar 14, 2023
Mar 23, 2020$93.0M then
State-registered IARs (5.B.3)2 as of Mar 18, 2024
Mar 23, 20202 then
Employees (5.A)2 as of Mar 18, 2024
Mar 23, 20202 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 2024; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, portfolio management for businesses and institutions, pension consulting, 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)
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- 0reported
- 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
Left, latest
- Rhonda Karen Holifield to Waverly Advisors, LLCApr 25, 2024 · Other
- Cheryl Benton Bott to Waverly Advisors, LLCApr 25, 2024 · Other
- Buddy Brisco Farmer to Bf Financial GroupOct 24, 2016 · Other
Joined, latest
- Cheryl Benton Bott from United Capital Financial AdvisorsJan 25, 2017 · Other
- Rhonda Karen Holifield from Florida Financial Advisors, Inc.Sep 3, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Waverly Advisors, LLCApr 25, 2024 · Saint Petersburg, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Karen Rhonda Holifield · President/Chief Compliance Officercontrolsince 05/2008 · owns 75% or more
Related persons
Schedule D 7.A
- Waverly Advisors, LLCinvestment advisernRAUM $30B
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Saint Petersburg, Fl · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 461.0 to unsetMar 14, 2023 to Mar 18, 2024
- Charity clients · 1.0 to unsetMar 14, 2023 to Mar 18, 2024
- HNW clients · 42.0 to unsetMar 14, 2023 to Mar 18, 2024
- Individual clients · 135.0 to unsetMar 14, 2023 to Mar 18, 2024
- Assets in custody · 88200000.0 to unsetMar 14, 2023 to Mar 18, 2024
- Custody of client assets · true to falseMar 14, 2023 to Mar 18, 2024
- Financial planning clients · 11-25 to 0Mar 14, 2023 to Mar 18, 2024
- Discretionary RAUM · 122500000.0 to unsetMar 14, 2023 to Mar 18, 2024
- HNW RAUM · 96200000.0 to unsetMar 14, 2023 to Mar 18, 2024
- Individual RAUM · 49049000.0 to unsetMar 14, 2023 to Mar 18, 2024
- Non-discretionary RAUM · 23200000.0 to unsetMar 14, 2023 to Mar 18, 2024
- RAUM · 145700000.0 to unsetMar 14, 2023 to Mar 18, 2024
- Related adviser · false to trueMar 14, 2023 to Mar 18, 2024
- Accounts · 514 to 461Mar 21, 2022 to Mar 14, 2023
- HNW clients · 54 to 42Mar 21, 2022 to Mar 14, 2023
- Individual clients · 99 to 135Mar 21, 2022 to Mar 14, 2023
- Employees · 3 to 2Mar 21, 2022 to Mar 14, 2023
- Discretionary RAUM · $127M to $123MMar 21, 2022 to Mar 14, 2023
- HNW RAUM · $121M to $96.2MMar 21, 2022 to Mar 14, 2023
- Individual RAUM · $40.8M to $49.0MMar 21, 2022 to Mar 14, 2023
- Non-discretionary RAUM · $35.2M to $23.2MMar 21, 2022 to Mar 14, 2023
- RAUM · $162M to $146MMar 21, 2022 to Mar 14, 2023
- Accounts · 464 to 514Jan 4, 2022 to Mar 21, 2022
- Charity clients · unset to 1.0Jan 4, 2022 to Mar 21, 2022
- HNW clients · 57 to 54Jan 4, 2022 to Mar 21, 2022
- Individual clients · 86 to 99Jan 4, 2022 to Mar 21, 2022
- Assets in custody · $66.6M to $88.2MJan 4, 2022 to Mar 21, 2022
- Discretionary RAUM · $104M to $127MJan 4, 2022 to Mar 21, 2022
- HNW RAUM · $101M to $121MJan 4, 2022 to Mar 21, 2022
- Individual RAUM · $28.9M to $40.8MJan 4, 2022 to Mar 21, 2022
- Non-discretionary RAUM · $26.7M to $35.2MJan 4, 2022 to Mar 21, 2022
- RAUM · $131M to $162MJan 4, 2022 to Mar 21, 2022
- Accounts · 534 to 464Aug 10, 2020 to Mar 16, 2021
- Individual clients · 78 to 86Aug 10, 2020 to Mar 16, 2021
- Employees · 2 to 3Aug 10, 2020 to Mar 16, 2021
- Discretionary RAUM · $96.8M to $104MAug 10, 2020 to Mar 16, 2021
- HNW RAUM · $93.0M to $101MAug 10, 2020 to Mar 16, 2021
- Individual RAUM · $26.5M to $28.9MAug 10, 2020 to Mar 16, 2021
- Non-discretionary RAUM · $24.4M to $26.7MAug 10, 2020 to Mar 16, 2021
- RAUM · $121M to $131MAug 10, 2020 to Mar 16, 2021
Signals
4 dated events
- Rhonda Karen Holifield left Holifield Financial Advisory Services/Prosper Financial Advisers for Waverly Advisors, Llc (registered 2023-12-08)Apr 25, 2024 · Advisor changed firm · fact
- Cheryl Benton Bott left Holifield Financial Advisory Services/Prosper Financial Advisers for Waverly Advisors, Llc (registered 2024-02-05)Apr 25, 2024 · Advisor changed firm · fact
- 2 advisors left Holifield Financial Advisory Services/Prosper Financial Advisers (Saint Petersburg, FL) for Waverly Advisors, LLC on the same dayApr 25, 2024 · Team lift-out · derived
- Holifield Financial Advisory Services/Prosper Financial Advisers filed its initial SEC registration (Form ADV)May 28, 2019 · First SEC registration · 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