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
S••••••••• P••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 15, 2012 · 37 filings
SEC status approved since Jan 2, 2015
RAUM
$282M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
98%
$275M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$93.8M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$282M as of Mar 27, 2026
Mar 15, 2012$75.0M then
HNW client RAUM$109M as of Mar 27, 2026
Mar 29, 2018$45.5M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Mar 30, 20164 then
Employees (5.A)3 as of Mar 27, 2026
Mar 30, 20164 then
Private funds3 as of Mar 27, 2026
Mar 15, 20122 then
RAUM +16% over the last fiscal year-0.9% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 27, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- 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)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $93.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.9MderivedHNW RAUM over HNW clients
- Average account
- $482,071derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.9%derived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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 cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$167M59%
- High-net-worth individuals$109M39%
- Pooled investment vehicles$3.7M1.3%
- Pension and profit-sharing plans$2.4M0.9%
- Charitable organizations$82,9510.0%
- Individual clients
- 194reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 584reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.98 fund_share=0.01 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• C•••••• B••• | Clearwater, Fl | May 1, 2025 | 26 y | 0 |
| H••••• P••••• E••••Certified Financial Planner, Chartered Financial Analyst | Clearwater, Fl | May 2, 2025 | 33 y | 1 |
| D••••• C•••••• W•••• | Clearwater, Fl | Mar 24, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- D•••• L•••• B•••••• to U•••• F•••••••• A•••••••May 4, 2023 · RIA to RIA
- C••••• W••••• M••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Sep 29, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- D••••• C•••••• W•••• from M••••• S••••••Mar 24, 2026 · Wirehouse to independent RIA
- H••••• P••••• E•••• from F•••• T•••• S••••••••• I•••May 2, 2025 · Other
- D•••• L•••• B•••••• from F•••• T•••• S••••••••• I•••Sep 26, 2017 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••• C••• L•• | Other Private Fund | $4.9M | 6 | Mar 15, 2012 |
| B•••••• E•••• C•••••• 1• | Other Private Fund | $2.9M | 4 | Mar 15, 2012 |
| B•••••• E•••• C•••••• 2• | Other Private Fund | $425,462 | 3 | Oct 13, 2017 |
Owners and control persons
Schedule A and B, latest filing
- E••••• H•••••• P••••• · Managing Member, President, Chief Executive Officer, Chief Compliance Officercontrolsince 01/2010 · owns 75% or more
- B•••• J•••••• C•••••• · Chief Operating Officersince 03/2016 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Clearwater, Fl · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 565 to 584Mar 25, 2025 to Mar 27, 2026
- Advisory employees · 2 to 3Mar 25, 2025 to Mar 27, 2026
- HNW clients · 12 to 10Mar 25, 2025 to Mar 27, 2026
- Individual clients · 177 to 194Mar 25, 2025 to Mar 27, 2026
- Employees · 2 to 3Mar 25, 2025 to Mar 27, 2026
- State-registered IARs · 2 to 3Mar 25, 2025 to Mar 27, 2026
- Discretionary RAUM · $218M to $259MMar 25, 2025 to Mar 27, 2026
- HNW RAUM · $110M to $109MMar 25, 2025 to Mar 27, 2026
- Individual RAUM · $117M to $167MMar 25, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $24.3M to $22.5MMar 25, 2025 to Mar 27, 2026
- Pension RAUM · $2.1M to $2.4MMar 25, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $13.4M to $3.7MMar 25, 2025 to Mar 27, 2026
- RAUM · $243M to $282MMar 25, 2025 to Mar 27, 2026
- Accounts · 529 to 565Mar 26, 2024 to Mar 25, 2025
- Individual clients · 169 to 177Mar 26, 2024 to Mar 25, 2025
- Financial planning clients · 101-250 to 101-250Mar 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $215M to $218MMar 26, 2024 to Mar 25, 2025
- HNW RAUM · $108M to $110MMar 26, 2024 to Mar 25, 2025
- Individual RAUM · $113M to $117MMar 26, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $24.6M to $24.3MMar 26, 2024 to Mar 25, 2025
- Pension RAUM · $1.9M to $2.1MMar 26, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $11.7M to $13.4MMar 26, 2024 to Mar 25, 2025
- RAUM · $240M to $243MMar 26, 2024 to Mar 25, 2025
- Accounts · 977 to 529Sep 21, 2023 to Mar 26, 2024
- HNW clients · 7 to 12Sep 21, 2023 to Mar 26, 2024
- Individual clients · 305 to 169Sep 21, 2023 to Mar 26, 2024
- Financial planning clients · 251-500 to 101-250Sep 21, 2023 to Mar 26, 2024
- Discretionary RAUM · $246M to $215MSep 21, 2023 to Mar 26, 2024
- HNW RAUM · $80.4M to $108MSep 21, 2023 to Mar 26, 2024
- Individual RAUM · $193M to $113MSep 21, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $43.6M to $24.6MSep 21, 2023 to Mar 26, 2024
- Pension RAUM · $3.5M to $1.9MSep 21, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $7.9M to $11.7MSep 21, 2023 to Mar 26, 2024
- RAUM · $290M to $240MSep 21, 2023 to Mar 26, 2024
- Advisory employees · 3 to 2Mar 29, 2023 to May 9, 2023
- Employees · 3 to 2Mar 29, 2023 to May 9, 2023
- State-registered IARs · 3 to 2Mar 29, 2023 to May 9, 2023
- Accounts · 929 to 977Mar 23, 2022 to Mar 29, 2023
- HNW clients · 8 to 7Mar 23, 2022 to Mar 29, 2023
- Individual clients · 290 to 305Mar 23, 2022 to Mar 29, 2023
Signals
2 dated events
- D•••• L•••• B•••••• left S••••••••• P••••••••• L•• for U•••• F•••••••• A••••••• (registered 2026-01-01)May 4, 2023 · Advisor changed firm · fact
- S••••••••• P••••••••• L•• filed its initial SEC registration (Form ADV)Dec 2, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••••• P••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business email
- info@successfulportfolios.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- joe@successfulportfolios.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- parker@successfulportfolios.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 727-744-3614reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 727-282-5556reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S•••••••••P•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 727-744-3614reportedpublic record, Form ADV, Mar 27, 2026
- Team page
- successfulportfolios.com/our-advisorsreportedpublished 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
- $93.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026