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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A••••• A•••••••
Legal name A••••• A•••••••• I•••
Latest filing Jul 9, 2026
First filing on the tape Nov 22, 2011 · 14 filings
SEC status approved since Mar 1, 2021
RAUM
$190M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
71%
$136M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$95.2M
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
14 filings and snapshots on the tape
RAUM$190M as of Jul 9, 2026
Feb 10, 2012$58.0M then
HNW client RAUM$81.1M as of Jul 9, 2026
Feb 10, 2022$43.6M then
State-registered IARs (5.B.3)2 as of Jul 9, 2026
Feb 10, 20120 then
Employees (5.A)2 as of Jul 9, 2026
Feb 10, 20222 then
Private funds: no history
RAUM +13% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 9, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $95.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 162derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $275,004derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.6%derivedpensions, 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
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.1%derived
- 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 advisers, 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$81.1M59%
- Individuals$54.9M40%
- Charitable organizations$1.2M0.9%
- Corporations and businesses$727,0620.5%
- Individual clients
- 279reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 692reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.71 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••••• S•••••• O••• | Pensacola, Fl | Aug 11, 2009 | 34 y | 1 |
| T••••• S••••• O••• | Pensacola, Fl | Jan 19, 2022 | 11 y | 2 |
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
- T••••• S••••• O••• to B••••• G••••• A•••••• N••••••• L••May 6, 2021 · RIA to RIA
Joined, latest
- T••••• S••••• O••• from B••••• G••••• A•••••• N••••••• L••Jan 19, 2022 · RIA to RIA
- W••••• S•••••• O••• from C•••••••• G••••• M•••••• I•••Aug 11, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O•••• W•••••• S•••••• · Chief Compliance Officer, Presidentcontrolsince 03/2009 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pensacola, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 801 to 692Feb 4, 2025 to Feb 17, 2026
- HNW clients · 37 to 44Feb 4, 2025 to Feb 17, 2026
- Individual clients · 259 to 279Feb 4, 2025 to Feb 17, 2026
- Discretionary RAUM · $153M to $174MFeb 4, 2025 to Feb 17, 2026
- HNW RAUM · $60.7M to $81.1MFeb 4, 2025 to Feb 17, 2026
- Individual RAUM · $57.1M to $54.9MFeb 4, 2025 to Feb 17, 2026
- Non-discretionary RAUM · $15.6M to $16.1MFeb 4, 2025 to Feb 17, 2026
- RAUM · $168M to $190MFeb 4, 2025 to Feb 17, 2026
- Accounts · 790 to 801Jul 11, 2024 to Feb 4, 2025
- HNW clients · 23 to 37Jul 11, 2024 to Feb 4, 2025
- Individual clients · 267 to 259Jul 11, 2024 to Feb 4, 2025
- Assets in custody · 145137171.0 to unsetJul 11, 2024 to Feb 4, 2025
- Financial planning clients · 26-50 to 51-100Jul 11, 2024 to Feb 4, 2025
- Discretionary RAUM · $130M to $153MJul 11, 2024 to Feb 4, 2025
- HNW RAUM · $45.6M to $60.7MJul 11, 2024 to Feb 4, 2025
- Individual RAUM · $54.8M to $57.1MJul 11, 2024 to Feb 4, 2025
- Non-discretionary RAUM · $14.9M to $15.6MJul 11, 2024 to Feb 4, 2025
- RAUM · $145M to $168MJul 11, 2024 to Feb 4, 2025
- Custody of client assets · true to falseJan 30, 2024 to Jul 11, 2024
- Accounts · 879 to 790Feb 15, 2023 to Jan 30, 2024
- HNW clients · 20 to 23Feb 15, 2023 to Jan 30, 2024
- Individual clients · 464 to 267Feb 15, 2023 to Jan 30, 2024
- Assets in custody · $134M to $145MFeb 15, 2023 to Jan 30, 2024
- Discretionary RAUM · $118M to $130MFeb 15, 2023 to Jan 30, 2024
- HNW RAUM · $40.6M to $45.6MFeb 15, 2023 to Jan 30, 2024
- Individual RAUM · $52.4M to $54.8MFeb 15, 2023 to Jan 30, 2024
- Non-discretionary RAUM · $15.4M to $14.9MFeb 15, 2023 to Jan 30, 2024
- RAUM · $134M to $145MFeb 15, 2023 to Jan 30, 2024
- Accounts · 797 to 879Feb 10, 2022 to Feb 15, 2023
- HNW clients · 22 to 20Feb 10, 2022 to Feb 15, 2023
- Individual clients · 227 to 464Feb 10, 2022 to Feb 15, 2023
- Assets in custody · $155M to $134MFeb 10, 2022 to Feb 15, 2023
- Discretionary RAUM · $151M to $118MFeb 10, 2022 to Feb 15, 2023
- HNW RAUM · $43.6M to $40.6MFeb 10, 2022 to Feb 15, 2023
- Individual RAUM · $68.3M to $52.4MFeb 10, 2022 to Feb 15, 2023
- Non-discretionary RAUM · $4.2M to $15.4MFeb 10, 2022 to Feb 15, 2023
- RAUM · $155M to $134MFeb 10, 2022 to Feb 15, 2023
- Accounts · 718 to 797Feb 5, 2021 to Feb 10, 2022
- HNW clients · 12 to 22Feb 5, 2021 to Feb 10, 2022
- Individual clients · 234 to 227Feb 5, 2021 to Feb 10, 2022
Signals
1 dated events
- A••••• A••••••• filed its initial SEC registration (Form ADV)Jan 29, 2021 · 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 phone
- 850-497-6167reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- A•••••A••••••S.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 850-497-6167reportedpublic record, Form ADV, Jul 9, 2026
- Team page
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $95.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026