DFX Intelligence

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SEC-registered adviser

A•••••• I••••••••• A•••••••• I•••

Independent wealth managerNaples, FloridaCRD 153390SEC 801-131660website IAPD

Latest filing Mar 20, 2026

First filing on the tape Nov 19, 2024 · 6 filings

SEC status approved since Dec 19, 2024

RAUM

$136M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$136M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$68.2M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

6 filings and snapshots on the tape

RAUM$136M as of Mar 20, 2026

Mar 4, 2025$133M then

HNW client RAUM$105M as of Mar 20, 2026

Mar 4, 2025$92.9M then

State-registered IARs (5.B.3)2 as of Mar 20, 2026

Mar 4, 20252 then

Employees (5.A)3 as of Mar 20, 2026

Mar 4, 20253 then

Private funds: no history

RAUM +2.5% over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Mar 20, 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

RAUM per advisor: $68.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 73derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.9MderivedHNW RAUM over HNW clients
Average account: $336,181derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year: +2.5%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -3.3%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, educational seminars, 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

is an insurance broker or agent (6.A.6)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$105M77%
Individuals$31.1M23%

Individual clients: 89reported
HNW clients: 56reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 406reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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
J•••••• P•••• H•••Chartered Financial Analyst	Naples, Fl	May 4, 2010	16 y	0
J•••• E• L•••Certified Financial Planner	Cornelius, Nc	May 14, 2021	19 y	3

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

C•••••• D•••••• W••••• to V••••••• A•••••••• I•••
Apr 13, 2021 · RIA to affiliated broker-dealer or bank

Joined, latest

J•••• E• L••• from T••••• A••••••• S•••••••• I•••
May 14, 2021 · Affiliated broker-dealer or bank to independent RIA
C•••••• D•••••• W••••• from B••• O• A•••••• I••••••••• S•••••••• I•••
Jan 10, 2018 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H•••• J••••••• P•••• · President, Ccocontrol
since 03/2010 · 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
Cornelius, Nc	2	0	0

Offices

Schedule D 1.F, the 25 largest

Naples, FL1 employees
, 1 employees

What changed

consecutive filings, newest first

Accounts · 422 to 406
May 23, 2025 to Mar 20, 2026
HNW clients · 46 to 56
May 23, 2025 to Mar 20, 2026
Individual clients · 104 to 89
May 23, 2025 to Mar 20, 2026
Discretionary RAUM · $118M to $136M
May 23, 2025 to Mar 20, 2026
HNW RAUM · $89.6M to $105M
May 23, 2025 to Mar 20, 2026
Individual RAUM · $40.8M to $31.1M
May 23, 2025 to Mar 20, 2026
Non-discretionary RAUM · $12.5M to $0
May 23, 2025 to Mar 20, 2026
RAUM · $130M to $136M
May 23, 2025 to Mar 20, 2026
Succession · true to false
May 23, 2025 to Mar 20, 2026
Accounts · 416 to 422
Mar 25, 2025 to May 23, 2025
HNW clients · 45 to 46
Mar 25, 2025 to May 23, 2025
Individual clients · 105 to 104
Mar 25, 2025 to May 23, 2025
Financial planning clients · 101-250 to 101-250
Mar 25, 2025 to May 23, 2025
HQ city · CORNELIUS to NAPLES
Mar 25, 2025 to May 23, 2025
HQ state · NC to FL
Mar 25, 2025 to May 23, 2025
Discretionary RAUM · $121M to $118M
Mar 25, 2025 to May 23, 2025
HNW RAUM · $92.9M to $89.6M
Mar 25, 2025 to May 23, 2025
Individual RAUM · $40.3M to $40.8M
Mar 25, 2025 to May 23, 2025
Non-discretionary RAUM · $12.0M to $12.5M
Mar 25, 2025 to May 23, 2025
RAUM · $133M to $130M
Mar 25, 2025 to May 23, 2025
Succession · false to true
Mar 25, 2025 to May 23, 2025
Accounts · 401 to 416
Nov 25, 2024 to Mar 4, 2025
HNW clients · 51 to 45
Nov 25, 2024 to Mar 4, 2025
Individual clients · 90 to 105
Nov 25, 2024 to Mar 4, 2025
Employees · 2 to 3
Nov 25, 2024 to Mar 4, 2025
Discretionary RAUM · $118M to $121M
Nov 25, 2024 to Mar 4, 2025
HNW RAUM · $90.0M to $92.9M
Nov 25, 2024 to Mar 4, 2025
Individual RAUM · $28.5M to $40.3M
Nov 25, 2024 to Mar 4, 2025
Non-discretionary RAUM · $0 to $12.0M
Nov 25, 2024 to Mar 4, 2025
RAUM · $118M to $133M
Nov 25, 2024 to Mar 4, 2025

Signals

2 dated events

A•••••• I••••••••• A•••••••• I••• reported succeeding to the business of A•••••• I••••••••• A•••••••• I••• (Form ADV Item 4)
May 23, 2025 · Succession (Item 4) · fact
A•••••• I••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
Nov 19, 2024 · 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: 603-253-5545reportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 239-673-0020reportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 704-237-4207reportedpublished by the firm, firm site, Sep 17, 2026
Firm profile: LINKEDIN.COM/COMPANY/A••••••-INVESTMENT-ADVISORSreportedpublic record, Form ADV, Mar 20, 2026
Website: A••••••ADVISORS.COMreportedpublic record, Form ADV, Mar 20, 2026
Principal office phone: 239-673-0020reportedpublic record, Form ADV, Mar 20, 2026
Contact form: a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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: $68.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026