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•••••••• H•••••• W••••• A•••••••
Legal name F•••••••• H••••••• L••
Latest filing Feb 19, 2026
First filing on the tape Dec 8, 2017 · 15 filings
SEC status approved since Jan 2, 2018
RAUM
$557M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$557M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$79.6M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$557M as of Feb 19, 2026
Mar 5, 2018$126M then
HNW client RAUM$487M as of Feb 19, 2026
Mar 5, 2018$39.6M then
State-registered IARs (5.B.3)5 as of Feb 19, 2026
Mar 5, 20182 then
Employees (5.A)9 as of Feb 19, 2026
Mar 5, 20185 then
Private funds: no history
RAUM +24% over the last fiscal year+26% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Feb 19, 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
- 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
- $79.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $399,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $33.9M, 48 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 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)
- 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
- High-net-worth individuals$487M87%
- Individuals$70.0M13%
- Individual clients
- 151reported
- HNW clients
- 169reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,397reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $33.9M for 48 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A••• W•••••Certified Financial Planner | Winter Park, Fl | Oct 2, 2008 | 24 y | 3 |
| N•••• K•••••• W••••• | Winter Park, Fl | Sep 22, 2009 | 24 y | 1 |
| K••••• H••••• W•••••••Certified Financial Planner | Winter Park, Fl | Aug 28, 2018 | 10 y | 1 |
| D••••• N••••• B••••• | Winter Park, Fl | Nov 18, 2020 | 10 y | 0 |
| S••••• S•••• S•••••••• | Winter Park, Fl | Mar 26, 2026 | 11 y | 0 |
| N••••• K••••••• H••••• | Winter Park, Fl | Apr 28, 2026 | 12 y | 1 |
| G•••• S••••• W•••••• | Winter Park, Fl | Aug 28, 2026 | 10 y | 0 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount2 left over 36 months
Left, latest
- J••••• B•••• M••••• to F••••••••• W••••• M•••••••••May 22, 2026 · RIA to a state-registered adviser
- A•••••••• S•••••• to J••• M••••• S••••••••• L••Jul 8, 2025 · RIA to wirehouse
Joined, latest
- N••••• K••••••• H••••• from T•••••••• F•••••••• S•••••••• L••Apr 28, 2026 · RIA to RIA
- K••••• H••••• W••••••• from C•••••• S••••• • C••• I•••Aug 28, 2018 · Affiliated broker-dealer or bank to independent RIA
- N•••• K•••••• W••••• from F•••••• W••••• M••••••••• I•••Sep 22, 2009 · Other
- D•••• A••• W••••• from U•• F•••••••• S••••••••• L••Oct 2, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• D••••• A••• · Managing Member & Chief Compliance Officercontrolsince 06/2005 · owns 25% to 50%
- W•••••• N••••• K•••••• · Managing Membercontrolsince 01/2011 · owns 25% to 50%
- W•••••••• K•••••• H••••• · Membersince 01/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Winter Park, Fl · principal | 7 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,230 to 1,397Feb 24, 2025 to Feb 19, 2026
- Advisory employees · 6 to 5Feb 24, 2025 to Feb 19, 2026
- HNW clients · 151 to 169Feb 24, 2025 to Feb 19, 2026
- Individual clients · 131 to 151Feb 24, 2025 to Feb 19, 2026
- Assets in custody · $188M to $33.9MFeb 24, 2025 to Feb 19, 2026
- Employees · 8 to 9Feb 24, 2025 to Feb 19, 2026
- State-registered IARs · 6 to 5Feb 24, 2025 to Feb 19, 2026
- Discretionary RAUM · $451M to $557MFeb 24, 2025 to Feb 19, 2026
- HNW RAUM · $393M to $487MFeb 24, 2025 to Feb 19, 2026
- Individual RAUM · $58.0M to $70.0MFeb 24, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $107,964 to $108,208Feb 24, 2025 to Feb 19, 2026
- RAUM · $451M to $557MFeb 24, 2025 to Feb 19, 2026
- Accounts · 1,129 to 1,230Feb 28, 2024 to Feb 24, 2025
- HNW clients · 125 to 151Feb 28, 2024 to Feb 24, 2025
- Individual clients · 132 to 131Feb 28, 2024 to Feb 24, 2025
- Assets in custody · unset to 187809324.0Feb 28, 2024 to Feb 24, 2025
- Custody of client assets · false to trueFeb 28, 2024 to Feb 24, 2025
- Financial planning clients · 1-10 to 1-10Feb 28, 2024 to Feb 24, 2025
- Discretionary RAUM · $371M to $451MFeb 28, 2024 to Feb 24, 2025
- HNW RAUM · $308M to $393MFeb 28, 2024 to Feb 24, 2025
- Individual RAUM · $63.7M to $58.0MFeb 28, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $417,097 to $107,964Feb 28, 2024 to Feb 24, 2025
- RAUM · $372M to $451MFeb 28, 2024 to Feb 24, 2025
- Accounts · 999 to 1,129Mar 13, 2023 to Feb 28, 2024
- HNW clients · 124 to 125Mar 13, 2023 to Feb 28, 2024
- Individual clients · 144 to 132Mar 13, 2023 to Feb 28, 2024
- Financial planning clients · 11-25 to 1-10Mar 13, 2023 to Feb 28, 2024
- Discretionary RAUM · $276M to $371MMar 13, 2023 to Feb 28, 2024
- HNW RAUM · $216M to $308MMar 13, 2023 to Feb 28, 2024
- Individual RAUM · $60.7M to $63.7MMar 13, 2023 to Feb 28, 2024
- Non-discretionary RAUM · $375,173 to $417,097Mar 13, 2023 to Feb 28, 2024
- RAUM · $276M to $372MMar 13, 2023 to Feb 28, 2024
- Accounts · 836 to 999Mar 15, 2022 to Mar 13, 2023
- Advisory employees · 5 to 6Mar 15, 2022 to Mar 13, 2023
- Individual clients · 98 to 144Mar 15, 2022 to Mar 13, 2023
- Employees · 7 to 8Mar 15, 2022 to Mar 13, 2023
- State-registered IARs · 5 to 6Mar 15, 2022 to Mar 13, 2023
- Discretionary RAUM · $268M to $276MMar 15, 2022 to Mar 13, 2023
- HNW RAUM · $233M to $216MMar 15, 2022 to Mar 13, 2023
- Individual RAUM · $36.3M to $60.7MMar 15, 2022 to Mar 13, 2023
Signals
3 dated events
- J••••• B•••• M••••• left F•••••••• H•••••• W••••• A••••••• for F••••••••• W••••• M••••••••• (registered 2026-06-08)May 22, 2026 · Advisor changed firm · fact
- A•••••••• S•••••• left F•••••••• H•••••• W••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2025-08-07)Jul 8, 2025 · Advisor changed firm · fact
- F•••••••• H•••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Dec 8, 2017 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@financialharvest.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 407-937-0707reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/593759reportedpublic record, Form ADV, Sep 18, 2026
- Website
- FINANCIALH••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 407-937-0707reportedpublic record, Form ADV, Feb 19, 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
- $79.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026