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.
SEC-registered adviser
Agw Capital Advisors
Legal name Annis Gardner Whiting Capital Advisors LLC
Latest filing Mar 13, 2026
First filing on the tape Mar 30, 2012 · 45 filings
SEC status approved since Jun 1, 2009
RAUM
$1.7B
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
80%
$1.4B individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$123M
derived; firm RAUM over IAPD count
Employees
21
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$1.7B as of Mar 13, 2026
Mar 30, 2012$438M then
HNW client RAUM$1.4B as of Mar 13, 2026
Mar 29, 2018$509M then
State-registered IARs (5.B.3)15 as of Mar 13, 2026
Mar 30, 20120 then
Employees (5.A)21 as of Mar 13, 2026
Mar 13, 20134 then
Private funds1 as of Mar 13, 2026
Mar 30, 20221 then
RAUM +17% over the last fiscal year-15% a year over threeIARs 12 to 15
Practice profile
derived from the filing of Mar 13, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $123MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $14.9MderivedHNW RAUM over HNW clients
- Average account
- $844,815derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 14.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.8%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Custody
- $615M, 151 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.4B79%
- Charitable organizations$228M13%
- Corporations and businesses$69.6M4.0%
- Pension and profit-sharing plans$26.7M1.5%
- Insurance companies$15.2M0.9%
- Individuals$13.3M0.8%
- Pooled investment vehicles$4.2M0.2%
- Individual clients
- 35reported
- HNW clients
- 92reported
- Pension plan clients
- 4reported
- Charitable clients
- 6reported
- Accounts
- 2,044reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $615M for 151 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jeffrey Stuart AnnisCertified Financial Planner | Tampa, Fl | Jun 26, 2009 | 27 y | 3 |
| Peter Justin GardnerCertified Financial Planner, Chartered Financial Analyst | Tampa, Fl | Mar 29, 2018 | 27 y | 3 |
| James Lowndes Robbins | Tampa, Fl | Jan 15, 2019 | 10 y | 0 |
| Kathryn Gonsalves Bryant | Tampa, Fl | May 10, 2019 | 31 y | 2 |
| Todd Sessums | Tampa, Fl | Sep 8, 2023 | 12 y | 1 |
| Jared Bloom Lynn | Tampa, Fl | Oct 30, 2023 | 13 y | 0 |
| Nicolas John Samarkos | Tampa, Fl | Nov 19, 2024 | 12 y | 0 |
| Isaiah Enrique Scott | Tampa, Fl | Dec 3, 2024 | 12 y | 0 |
| Isabel Malia Van Breusegen | Tampa, Fl | Feb 7, 2025 | 22 y | 0 |
| Brianna Mcdonald | Tampa, Fl | Apr 22, 2025 | 12 y | 0 |
| Trinity Hope Stivers | Tampa, Fl | Aug 12, 2025 | 12 y | 1 |
| Paul Leo WhitingChartered Financial Analyst | Tampa, Fl | Jan 26, 2026 | 17 y | 0 |
| Carissa Kelly Marie Bailey | Tampa, Fl | May 6, 2026 | 10 y | 0 |
| Lara Brennan | Tampa, Fl | Sep 2, 2026 | 10 y | 0 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount3 left over 36 months
Left, latest
- Reeya Hiren Patel to Urs AdvisoryJun 1, 2026 · RIA to RIA
- Rachel Toscano to Sequoia Financial Group, L.L.C.May 18, 2026 · RIA to RIA
- Eugene Ray Charles to Raymond James & Associates, Inc.Jan 16, 2024 · RIA to affiliated broker-dealer or bank
- Kevin N. Singh to J.P. Morgan Securities LLCJan 30, 2023 · RIA to wirehouse
- Daniel Richard George to Onepoint Bfg Wealth PartnersJan 20, 2021 · RIA to RIA
Joined, latest
- Reeya Hiren Patel from Charles Schwab & Co., Inc.Oct 27, 2025 · Affiliated broker-dealer or bank to independent RIA
- Trinity Hope Stivers from Oppenheimer & Co. Inc.Aug 12, 2025 · Affiliated broker-dealer or bank to independent RIA
- Todd Sessums from Raymond James & Associates, Inc.Sep 8, 2023 · Affiliated broker-dealer or bank to independent RIA
- Eugene Ray Charles from Usaa Investment Services CompanyJul 21, 2022 · Affiliated broker-dealer or bank to independent RIA
- Rachel Toscano from Charles Schwab & Co., Inc.Apr 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- Peter Justin Gardner from Captrust Advisors, LLCMar 29, 2018 · Other
- Kathryn Gonsalves Bryant from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 4, 2009 · Other
- Jeffrey Stuart Annis from Captrust Advisors, LLCJun 26, 2009 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Agw Pe Access Vehicle: Bpv - IV, LLC | Other Private Fund | $4.2M | 16 | Jul 22, 2021 |
Owners and control persons
Schedule A and B, latest filing
- Stuart Jeffrey Annis · Managing Membercontrolsince 04/2009 · owns 25% to 50%
- Justin Peter Gardner · Managing Member, Chief Investment Officercontrolsince 04/2009 · owns 25% to 50%
- L Shannon Holthaus · Chief Financial Officercontrolsince 01/2025 · owns less than 5%
- J Jessica Roeper · Chief Compliance Officercontrolsince 03/2026 · owns less than 5%
- Leo Paul Whiting · Managing Membercontrolsince 05/2009 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Tampa, Fl · principal | 14 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 13, 2026ROEPER, JESSICA, J (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2012-03-30 and 2026-03-13peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 13, 2026Holthaus, Shannon, L (CHIEF FINANCIAL OFFICER) appeared on Schedule A between the filings of 2012-03-30 and 2026-03-13peers: independent wealth managers, $1B to $5B (1,360)
- account count surgeChange between filings · filing Mar 13, 2026accounts (Item 5.F.2.f) moved from 1,257.0 to 2,044.0 (+63.0%) between the annual amendments of 2025-03-21 and 2026-03-13; the peer median change was +6.0% (1206 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 1,257 to 2,044Jan 16, 2026 to Mar 13, 2026
- Advisory employees · 11 to 14Jan 16, 2026 to Mar 13, 2026
- Charity clients · 19 to 6Jan 16, 2026 to Mar 13, 2026
- Corporate clients · 11 to 3Jan 16, 2026 to Mar 13, 2026
- HNW clients · 86 to 92Jan 16, 2026 to Mar 13, 2026
- Individual clients · 34 to 35Jan 16, 2026 to Mar 13, 2026
- Pension plan clients · 14 to 4Jan 16, 2026 to Mar 13, 2026
- Assets in custody · $481M to $615MJan 16, 2026 to Mar 13, 2026
- Employees · 18 to 21Jan 16, 2026 to Mar 13, 2026
- State-registered IARs · 12 to 15Jan 16, 2026 to Mar 13, 2026
- Discretionary RAUM · $1.2B to $1.4BJan 16, 2026 to Mar 13, 2026
- HNW RAUM · $1.1B to $1.4BJan 16, 2026 to Mar 13, 2026
- Individual RAUM · $12.0M to $13.3MJan 16, 2026 to Mar 13, 2026
- Non-discretionary RAUM · $318M to $338MJan 16, 2026 to Mar 13, 2026
- Pension RAUM · $12.3M to $26.7MJan 16, 2026 to Mar 13, 2026
- Pooled vehicle RAUM · $2.4M to $4.2MJan 16, 2026 to Mar 13, 2026
- RAUM · $1.5B to $1.7BJan 16, 2026 to Mar 13, 2026
- Accounts · 975 to 1,257Jun 10, 2024 to Mar 21, 2025
- Advisory employees · 9 to 11Jun 10, 2024 to Mar 21, 2025
- Advisory activities · 6 to 7Jun 10, 2024 to Mar 21, 2025
- Charity clients · 13 to 19Jun 10, 2024 to Mar 21, 2025
- Corporate clients · 8 to 11Jun 10, 2024 to Mar 21, 2025
- HNW clients · 80 to 86Jun 10, 2024 to Mar 21, 2025
- Individual clients · 25 to 34Jun 10, 2024 to Mar 21, 2025
- Pension plan clients · 3 to 14Jun 10, 2024 to Mar 21, 2025
- Assets in custody · $407M to $481MJun 10, 2024 to Mar 21, 2025
- Employees · 14 to 18Jun 10, 2024 to Mar 21, 2025
- Financial planning clients · 0 to Jun 10, 2024 to Mar 21, 2025
- State-registered IARs · 11 to 12Jun 10, 2024 to Mar 21, 2025
- Discretionary RAUM · $919M to $1.2BJun 10, 2024 to Mar 21, 2025
- HNW RAUM · $896M to $1.1BJun 10, 2024 to Mar 21, 2025
- Individual RAUM · $10.3M to $12.0MJun 10, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $231M to $318MJun 10, 2024 to Mar 21, 2025
- Pension RAUM · $7.1M to $12.3MJun 10, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $2.6M to $2.4MJun 10, 2024 to Mar 21, 2025
- RAUM · $1.2B to $1.5BJun 10, 2024 to Mar 21, 2025
- Accounts · 1,088 to 975Sep 20, 2023 to Mar 27, 2024
- Charity clients · 9 to 13Sep 20, 2023 to Mar 27, 2024
- Corporate clients · 7 to 8Sep 20, 2023 to Mar 27, 2024
- HNW clients · 78 to 80Sep 20, 2023 to Mar 27, 2024
Signals
6 dated events
- Rachel Toscano left Agw Capital Advisors for Sequoia Financial Group, L.L.C. (registered 2026-08-13)May 18, 2026 · Advisor changed firm · fact
- Agw Capital Advisors reported RAUM $1.5B, up 29% from $1.2B (2024-06-10 to 2025-03-21)Mar 21, 2025 · RAUM change · derived
- Agw Capital Advisors reported RAUM $1.2B, down 60% from $2.9B (2023-09-20 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Eugene Ray Charles left Agw Capital Advisors for Raymond James & Associates, Inc. (registered 2024-07-19)Jan 16, 2024 · Advisor changed firm · fact
- Kevin N. Singh left Agw Capital Advisors for J.P. Morgan Securities Llc (registered 2022-10-18)Jan 30, 2023 · Advisor changed firm · fact
- Agw Capital Advisors reported RAUM $3.0B, up 26% from $2.4B (2021-09-02 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Agw Capital Advisors · Independent Sponsorsshared crd · capital_provider
- AGW Capital Advisors · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 813-254-4700reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/agwcapitaladvisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- AGWCAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 813-254-4700reportedpublic record, Form ADV, Mar 13, 2026
- Team page
- agwcapital.com/about-us/teamreportedpublished by the firm, firm site, Sep 15, 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
- $123Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026