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
C•••••• W••••• P•••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Mar 29, 2012 · 53 filings
SEC status approved since Jun 30, 2009
RAUM
$17B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
56%
$9.6B individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$1.6B
derived; firm RAUM over IAPD count
Employees
30
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$17B as of Mar 20, 2026
Mar 29, 2012$302M then
HNW client RAUM$2.6B as of Mar 20, 2026
Apr 2, 2018$200M then
State-registered IARs (5.B.3)9 as of Mar 20, 2026
Apr 1, 20133 then
Employees (5.A)30 as of Mar 20, 2026
Apr 1, 201310 then
Private funds: no history
RAUM +51% over the last fiscal year+32% a year over threeIARs 11 to 9offices 0 to 1
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $1.6BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1,111derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 5.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +51%derivedbetween the last two annual amendments
- Advisor growth, one year
- -18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$7.0B41%
- Individuals$7.0B40%
- High-net-worth individuals$2.6B15%
- Corporations and businesses$409M2.4%
- Charitable organizations$221M1.3%
- Individual clients
- 11,151reported
- HNW clients
- 1,066reported
- Pension plan clients
- n/areported
- Charitable clients
- 89reported
- Accounts
- 14,502reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $9.7B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.56 fund_share=0.41 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• V•• O••••• | Naples, Fl | May 20, 2021 | 36 y | 5 |
| J•••••• A••• C••••• | Naples, Fl | Nov 29, 2021 | 24 y | 2 |
| K•••• G•••• S•••••• | Naples, Fl | Nov 29, 2021 | 34 y | 2 |
| J••••• V••••••••• B•• | Naples, Fl | Jul 16, 2024 | 18 y | 0 |
| R•••• W••• | Naples, Fl | Jan 21, 2025 | 18 y | 4 |
| D•••• M•••••• W•••••••• | Naples, Fl | Nov 10, 2025 | 10 y | 0 |
| J••• A•••••• C••• | Naples, Fl | Dec 17, 2025 | 10 y | 0 |
| R••• J•••••• C••••• | Naples, Fl | Jan 1, 2026 | 12 y | 1 |
| J••••• L•• S••••Chartered Financial Analyst | Naples, Fl | Jan 1, 2026 | 16 y | 3 |
| B•••• J••••• M•••• | Naples, Fl | Mar 18, 2026 | 10 y | 0 |
| F•••••• W•••••• S••••••• | Naples, Fl | Apr 28, 2026 | 13 y | 2 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 9.1% of current headcount4 left over 36 months
Left, latest
- M•••••• T••••• H•••• to S••••••• P•••••••Oct 10, 2025 · RIA to RIA
- J••••• R• J•••••• to L•••••• I•••••••••Sep 4, 2025 · RIA to RIA
- C••••• M•••••• W••••••••• to F••••• I•••••••••Nov 26, 2024 · RIA to RIA
- A••• C••• A•••••• to A••••••••• I•••Apr 9, 2024 · RIA to affiliated broker-dealer or bank
- P•••• B•••• J••••• to A•••••• C•••••• P••••••• L••Jul 29, 2021 · RIA to RIA
- M•••••••• C• R•••••• to C••••••••• F••••••••• L••Dec 15, 2020 · RIA to RIA
- J•••••• D•••• D••••••••• to C••••••••• R••• S•••••••• I•••Jul 25, 2014 · Other
Joined, latest
- F•••••• W•••••• S••••••• from S•• I••••••••• M••••••••• C•••Apr 28, 2026 · RIA to RIA
- J••••• L•• S•••• from C••••••••• F••••••••• L••Jan 1, 2026 · RIA to RIA
- R•••• W••• from S••••••• A•••• M••••••••• L••Jan 21, 2025 · RIA to RIA
- J•••••• A••• C••••• from G••••• W••••• C••••••••• L••Nov 29, 2021 · Other
- K•••• G•••• S•••••• from Q••• L••Nov 29, 2021 · Other
- J••• V•• O••••• from C••••• A•••••• N••••••• L••May 20, 2021 · Affiliated broker-dealer or bank to independent RIA
- P•••• B•••• J••••• from M••••• S••••••Feb 26, 2021 · Wirehouse to independent RIA
- M•••••••• C• R•••••• from S•••••• N••••••• • C••••••• I•••••••••Jun 8, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• L••••• K••• · Chief Compliance Officercontrolsince 04/2020 · owns less than 5%
- C•••••• R•••• J•••••• · Chief Compliance Officercontrolsince 08/2025 · owns less than 5%
- I••••• J•••••• M• · Membercontrolsince 04/2005 · owns 50% to 75%
- S••••••• K••••• G•••• · President, Member, Managercontrolsince 04/2005 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list C•••••• W••••• P•••••••• L•• as a related person
- 281234 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Naples, Fl · principal | 11 | 6 | 0 | ||
| Glastonbury, Ct | 0 | 0 | 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 20, 2026C•••••• R•••• J•••••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2020-04-03 and 2026-03-20peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 20, 2026A••••••• L••••• K••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2020-04-03 and 2026-03-20peers: independent wealth managers, $5B to $20B (289)
- RAUM up 50 %Change between filings · filing Mar 20, 2026RAUM (Item 5.F) moved from $11,419,152,238 to $17,247,323,339 (+51.0%) between the annual amendments of 2025-02-21 and 2026-03-20; the peer median change was +18.0% (271 comparable advisers, 90.0th percentile of changes)peers: independent wealth managers, $5B to $20B (271) · 90% percentile
What changed
consecutive filings, newest first
- Accounts · 11,690 to 14,502Aug 29, 2025 to Mar 20, 2026
- Advisory employees · 4 to 6Aug 29, 2025 to Mar 20, 2026
- Charity clients · 80 to 89Aug 29, 2025 to Mar 20, 2026
- Corporate clients · 234 to 271Aug 29, 2025 to Mar 20, 2026
- HNW clients · 934 to 1,066Aug 29, 2025 to Mar 20, 2026
- Individual clients · 10,439 to 11,151Aug 29, 2025 to Mar 20, 2026
- Employees · 32 to 30Aug 29, 2025 to Mar 20, 2026
- State-registered IARs · 11 to 9Aug 29, 2025 to Mar 20, 2026
- Other offices · 0 to 1Aug 29, 2025 to Mar 20, 2026
- Discretionary RAUM · $11B to $17BAug 29, 2025 to Mar 20, 2026
- HNW RAUM · $1.9B to $2.6BAug 29, 2025 to Mar 20, 2026
- Individual RAUM · $5.1B to $7.0BAug 29, 2025 to Mar 20, 2026
- RAUM · $11B to $17BAug 29, 2025 to Mar 20, 2026
- Wrap assets (manager) · $7.1B to $9.7BAug 29, 2025 to Mar 20, 2026
- Accounts · 10,834 to 11,690Sep 26, 2024 to Feb 21, 2025
- Charity clients · 84 to 80Sep 26, 2024 to Feb 21, 2025
- Corporate clients · 223 to 234Sep 26, 2024 to Feb 21, 2025
- HNW clients · 857 to 934Sep 26, 2024 to Feb 21, 2025
- Individual clients · 9,520 to 10,439Sep 26, 2024 to Feb 21, 2025
- Employees · 29 to 32Sep 26, 2024 to Feb 21, 2025
- Financial planning clients · unset to Sep 26, 2024 to Feb 21, 2025
- State-registered IARs · 4 to 11Sep 26, 2024 to Feb 21, 2025
- Discretionary RAUM · $9.2B to $11BSep 26, 2024 to Feb 21, 2025
- HNW RAUM · $1.6B to $1.9BSep 26, 2024 to Feb 21, 2025
- Individual RAUM · $4.1B to $5.1BSep 26, 2024 to Feb 21, 2025
- RAUM · $9.2B to $11BSep 26, 2024 to Feb 21, 2025
- Wrap assets (manager) · $5.9B to $7.1BSep 26, 2024 to Feb 21, 2025
- Accounts · 9,128 to 10,834Jan 3, 2024 to Feb 26, 2024
- Charity clients · 66 to 84Jan 3, 2024 to Feb 26, 2024
- Corporate clients · 218 to 223Jan 3, 2024 to Feb 26, 2024
- HNW clients · 555 to 857Jan 3, 2024 to Feb 26, 2024
- Individual clients · 8,156 to 9,520Jan 3, 2024 to Feb 26, 2024
- Employees · 28 to 29Jan 3, 2024 to Feb 26, 2024
- Discretionary RAUM · $7.6B to $9.2BJan 3, 2024 to Feb 26, 2024
- HNW RAUM · $1.2B to $1.6BJan 3, 2024 to Feb 26, 2024
- Individual RAUM · $3.5B to $4.1BJan 3, 2024 to Feb 26, 2024
- RAUM · $7.6B to $9.2BJan 3, 2024 to Feb 26, 2024
- Wrap assets (manager) · $4.8B to $5.9BJan 3, 2024 to Feb 26, 2024
- Accounts · 6,600 to 9,128Apr 22, 2022 to Mar 10, 2023
- Advisory employees · 2 to 4Apr 22, 2022 to Mar 10, 2023
Signals
13 dated events
- C•••••• W••••• P•••••••• L•• reported RAUM $17.2B, up 51% from $11.4B (2025-08-29 to 2026-03-20)Mar 20, 2026 · RAUM change · derived
- M•••••• T••••• H•••• left C•••••• W••••• P•••••••• L•• for S••••••• P••••••• (registered 2025-10-20)Oct 10, 2025 · a•••••• firm change · fact
- J••••• R• J•••••• left C•••••• W••••• P•••••••• L•• for L•••••• I••••••••• (registered 2025-10-14)Sep 4, 2025 · a•••••• firm change · fact
- C••••• M•••••• W••••••••• left C•••••• W••••• P•••••••• L•• for F••••• I••••••••• (registered 2024-11-29)Nov 26, 2024 · a•••••• firm change · fact
- A••• C••• A•••••• left C•••••• W••••• P•••••••• L•• for A••••••••• I••• (registered 2026-01-08)Apr 9, 2024 · a•••••• firm change · fact
- C•••••• W••••• P•••••••• L•• reported RAUM $7.6B, up 52% from $5.0B (2022-04-22 to 2023-03-10)Mar 10, 2023 · RAUM change · derived
- C•••••• W••••• P•••••••• L•• reported RAUM $5.0B, up 90% from $2.6B (2021-07-28 to 2022-02-03)Feb 3, 2022 · RAUM change · derived
- C•••••• W••••• P•••••••• L•• reported RAUM $2.6B, up 46% from $1.8B (2020-12-15 to 2021-02-05)Feb 5, 2021 · RAUM change · derived
- Karl Louis Albenga (Chief Compliance Officer) appeared on Schedule A of C•••••• W••••• P•••••••• L••Apr 3, 2020 · Control person joined · fact
- Joseph Brian Bruneau (Chief Compliance Officer) no longer on Schedule A of C•••••• W••••• P•••••••• L•• (listed 2020-03-30, absent 2020-04-03)Apr 3, 2020 · Control person left · inference
- C•••••• W••••• P•••••••• L•• reported RAUM $1.6B, up 29% from $1.2B (2019-05-02 to 2019-10-16)Oct 16, 2019 · RAUM change · derived
- C•••••• W••••• P•••••••• L•• reported RAUM $1.2B, up 29% from $939.9M (2018-04-13 to 2019-03-30)Mar 30, 2019 · RAUM change · derived
- C•••••• W••••• P•••••••• L•• reported RAUM $939.9M, up 51% from $623.1M (2017-09-26 to 2018-04-02)Apr 2, 2018 · RAUM change · derived
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
- Firm profile
- linkedin.com/company/capital-wealth-planningreportedpublic record, Form ADV, Sep 18, 2026
- Website
- kevinsimpson.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 239-593-2100reportedpublic record, Form ADV, Mar 20, 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
- $1.6Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026