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
Florek Financial, LLC
Latest filing Feb 10, 2026
First filing on the tape Feb 13, 2017 · 13 filings
SEC status approved since Mar 2, 2017
RAUM
$511M
reported, Item 5.F
Discretionary
28%
of RAUM
Private clients
99%
$506M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$255M
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$511M as of Feb 10, 2026
Mar 12, 2018$194M then
HNW client RAUM$500M as of Feb 10, 2026
Mar 12, 2018$119M then
State-registered IARs (5.B.3)2 as of Feb 10, 2026
Mar 12, 20182 then
Employees (5.A)2 as of Feb 10, 2026
Mar 12, 20182 then
Private funds: no history
RAUM +18% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 10, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $255MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.3MderivedHNW RAUM over HNW clients
- Average account
- $964,138derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 28%derivedof RAUM
- Institutional
- 1.0%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
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$500M98%
- Individuals$5.9M1.1%
- Pension and profit-sharing plans$5.1M1.0%
- Individual clients
- 14reported
- HNW clients
- 80reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 530reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 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 |
|---|---|---|---|---|
| Robert Coady FlorekCertified Financial Planner | Duxbury, Ma | Nov 20, 2009 | 25 y | 1 |
| Paul Daniel Furcinito | Duxbury, Ma | Sep 14, 2011 | 26 y | 0 |
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
- Stephen M Daglio to Essential Asset Management, LLCAug 2, 2011 · Other
Joined, latest
- Stephen M Daglio from Strategic Advisers LLCMar 18, 2011 · Other
- Robert Coady Florek from Rinet Company, LLCNov 20, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Coady Robert Florek · Managing Member And Chief Compliance Officercontrolsince 11/2009 · 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 |
|---|---|---|---|---|---|
| Duxbury, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 542 to 530Feb 5, 2025 to Feb 10, 2026
- HNW clients · 75 to 80Feb 5, 2025 to Feb 10, 2026
- Individual clients · 19 to 14Feb 5, 2025 to Feb 10, 2026
- Discretionary RAUM · $121M to $145MFeb 5, 2025 to Feb 10, 2026
- HNW RAUM · $420M to $500MFeb 5, 2025 to Feb 10, 2026
- Individual RAUM · $8.1M to $5.9MFeb 5, 2025 to Feb 10, 2026
- Non-discretionary RAUM · $311M to $366MFeb 5, 2025 to Feb 10, 2026
- Pension RAUM · $4.2M to $5.1MFeb 5, 2025 to Feb 10, 2026
- RAUM · $432M to $511MFeb 5, 2025 to Feb 10, 2026
- Accounts · 553 to 542Feb 6, 2024 to Feb 5, 2025
- HNW clients · 81 to 75Feb 6, 2024 to Feb 5, 2025
- Individual clients · 16 to 19Feb 6, 2024 to Feb 5, 2025
- Financial planning clients · 51-100 to 51-100Feb 6, 2024 to Feb 5, 2025
- Discretionary RAUM · $105M to $121MFeb 6, 2024 to Feb 5, 2025
- HNW RAUM · $403M to $420MFeb 6, 2024 to Feb 5, 2025
- Individual RAUM · $6.0M to $8.1MFeb 6, 2024 to Feb 5, 2025
- Non-discretionary RAUM · $307M to $311MFeb 6, 2024 to Feb 5, 2025
- Pension RAUM · $3.4M to $4.2MFeb 6, 2024 to Feb 5, 2025
- RAUM · $412M to $432MFeb 6, 2024 to Feb 5, 2025
- Accounts · 514 to 553Feb 9, 2023 to Feb 6, 2024
- HNW clients · 66 to 81Feb 9, 2023 to Feb 6, 2024
- Individual clients · 20 to 16Feb 9, 2023 to Feb 6, 2024
- Pension plan clients · unset to 2.0Feb 9, 2023 to Feb 6, 2024
- Discretionary RAUM · $32.7M to $105MFeb 9, 2023 to Feb 6, 2024
- HNW RAUM · $345M to $403MFeb 9, 2023 to Feb 6, 2024
- Individual RAUM · $6.4M to $6.0MFeb 9, 2023 to Feb 6, 2024
- Non-discretionary RAUM · $318M to $307MFeb 9, 2023 to Feb 6, 2024
- Pension RAUM · unset to 3425000.0Feb 9, 2023 to Feb 6, 2024
- RAUM · $351M to $412MFeb 9, 2023 to Feb 6, 2024
- Accounts · 500 to 514Mar 1, 2022 to Feb 9, 2023
- Discretionary RAUM · $0 to $32.7MMar 1, 2022 to Feb 9, 2023
- HNW RAUM · $365M to $345MMar 1, 2022 to Feb 9, 2023
- Individual RAUM · $9.3M to $6.4MMar 1, 2022 to Feb 9, 2023
- Non-discretionary RAUM · $374M to $318MMar 1, 2022 to Feb 9, 2023
- RAUM · $374M to $351MMar 1, 2022 to Feb 9, 2023
- Accounts · 485 to 500Jan 29, 2021 to Mar 1, 2022
- HNW clients · 62 to 66Jan 29, 2021 to Mar 1, 2022
- HNW RAUM · $331M to $365MJan 29, 2021 to Mar 1, 2022
- Individual RAUM · $5.9M to $9.3MJan 29, 2021 to Mar 1, 2022
- Non-discretionary RAUM · $336M to $374MJan 29, 2021 to Mar 1, 2022
Signals
1 dated events
- Florek Financial, Llc filed its initial SEC registration (Form ADV)Feb 13, 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
- rob@florekfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 781-934-9400reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- FLOREKFINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 781-934-9400reportedpublic record, Form ADV, Feb 10, 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
- $255Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026