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
4••• G•••••••••
Latest filing Mar 24, 2026
First filing on the tape Mar 22, 2012 · 48 filings
SEC status approved since Jun 25, 2010
RAUM
$156M
reported, Item 5.F
Discretionary
55%
of RAUM
Private clients
77%
$120M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$26.1M
derived; firm RAUM over IAPD count
Employees
35
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$156M as of Mar 24, 2026
Mar 22, 2012$70.2M then
HNW client RAUM$71.2M as of Mar 24, 2026
Mar 30, 2018$10.0M then
State-registered IARs (5.B.3)6 as of Mar 24, 2026
Mar 28, 20133 then
Employees (5.A)35 as of Mar 24, 2026
Mar 28, 20136 then
Private funds: no history
RAUM -9.5% over the last fiscal year+6.2% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 24, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $26.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $14.2MderivedHNW RAUM over HNW clients
- Average account
- $971,716derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 55%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $68.2M, 34 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$71.2M45%
- Individuals$48.6M31%
- Pension and profit-sharing plans$32.8M21%
- Corporations and businesses$3.9M2.5%
- Individual clients
- 63reported
- HNW clients
- 5reported
- Pension plan clients
- 90reported
- Charitable clients
- n/areported
- Accounts
- 161reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $68.2M for 34 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.21 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• R•••• | Altamonte Springs,, Fl | Feb 24, 2014 | 14 y | 0 |
| G•••• M••••••• | Altamonte Springs,, Fl | Mar 7, 2017 | 15 y | 0 |
| E••• S••••••• | Altamonte Springs,, Fl | Mar 14, 2017 | 14 y | 0 |
| D••••• B•••• M••••••••• | Altamonte Springs,, Fl | Oct 21, 2022 | 12 y | 0 |
| M•••••• J•••••• N••••• | Altamonte Springs,, Fl | Nov 27, 2023 | 29 y | 2 |
| K•••• D•••• R•••• | Altamonte Springs,, Fl | Jan 1, 2025 | 17 y | 1 |
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
- R•• E••••• K••••• to C••• I••••••••• A•••••••• I•••Mar 1, 2019 · RIA to RIA
- J••• B•••••• W••• to C••• I••••••••• A•••••••• I•••Feb 21, 2019 · RIA to RIA
- R••••• F••••• F•••••••• to C••• I••••••••• A•••••••• I•••Feb 13, 2019 · RIA to RIA
- B•••• C•••••••• to C•••••• S••••• • C••• I•••Feb 27, 2015 · Other
- T••••• H••• R••••• to A•••• A••••••• O• A••••••• L••Jun 10, 2014 · Other
- M••••• A••••• H••••••• to D•••••• W••••• P•••••••• L••Jun 10, 2014 · Other
Joined, latest
- K•••• D•••• R•••• from R••••• W••••• M•••••••••Jan 1, 2025 · Other
- M•••••• J•••••• N••••• from S•••••• W••••• M••••••••• L••Nov 27, 2023 · Other
- R•• E••••• K••••• from S•••••• W••••• M••••••••• L••Mar 8, 2018 · Other
- R••••• F••••• F•••••••• from M••••• S••••••Feb 24, 2012 · Other
- M••••• A••••• H••••••• from R••••• W••••• M•••••••••Dec 20, 2010 · Other
- T••••• H••• R••••• from R••••• W••••• M•••••••••Nov 8, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R••••• W••••• M•••••••••Jan 7, 2021 · Tavares, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• B•••••• D••• · Chief Operating Officercontrolsince 07/2020 · owns less than 5%
- N•••••• M••••••• J•••••• · Chief Compliance Officercontrolsince 02/2018 · owns less than 5%
- R••••• E••••• · Ceocontrolsince 05/2014 · owns 50% to 75%
- R••••• K••••• D•••• · Presidentcontrolsince 01/2012 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Altamonte Springs,, Fl · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Mar 24, 2026peers: independent wealth managers, $100M to $500M (5,676)
- high employee count relative to advisorsStatic outlier · filing Mar 24, 2026employees per registered advisor of 5.8 against a peer median of 1.2 (1314 comparable advisers, 100.0th percentile, 15.6 robust deviations)peers: independent wealth managers, $100M to $500M (1,314) · 100% percentile
- client mix shiftChange between filings · filing Mar 24, 2026private-client share of RAUM moved from 17.0% to 77.0% between the annual amendments of 2025-03-25 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
- discretionary share shiftChange between filings · filing Mar 24, 2026discretionary share of RAUM moved from 71.0% to 55.0% between the annual amendments of 2025-03-25 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 24, 2026HNW share of RAUM moved from 11.0% to 45.0% between the annual amendments of 2025-03-25 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Mar 24, 2026institutional share of RAUM moved from 83.0% to 23.0% between the annual amendments of 2025-03-25 and 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 149 to 161Mar 25, 2025 to Mar 24, 2026
- HNW clients · unset to 5.0Mar 25, 2025 to Mar 24, 2026
- Individual clients · 69 to 63Mar 25, 2025 to Mar 24, 2026
- Pension plan clients · 72 to 90Mar 25, 2025 to Mar 24, 2026
- Assets in custody · $47.9M to $68.2MMar 25, 2025 to Mar 24, 2026
- Employees · 39 to 35Mar 25, 2025 to Mar 24, 2026
- Discretionary RAUM · $122M to $85.3MMar 25, 2025 to Mar 24, 2026
- HNW RAUM · $18.8M to $71.2MMar 25, 2025 to Mar 24, 2026
- Individual RAUM · $10.5M to $48.6MMar 25, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $50.6M to $71.2MMar 25, 2025 to Mar 24, 2026
- Pension RAUM · $93.3M to $32.8MMar 25, 2025 to Mar 24, 2026
- RAUM · $173M to $156MMar 25, 2025 to Mar 24, 2026
- Accounts · 179 to 149Jan 2, 2025 to Mar 25, 2025
- Individual clients · 63 to 69Jan 2, 2025 to Mar 25, 2025
- Pension plan clients · 78 to 72Jan 2, 2025 to Mar 25, 2025
- Assets in custody · $12.1M to $47.9MJan 2, 2025 to Mar 25, 2025
- Employees · 34 to 39Jan 2, 2025 to Mar 25, 2025
- Financial planning clients · 0 to 0Jan 2, 2025 to Mar 25, 2025
- Discretionary RAUM · $110M to $122MJan 2, 2025 to Mar 25, 2025
- HNW RAUM · $30.0M to $18.8MJan 2, 2025 to Mar 25, 2025
- Individual RAUM · $18.8M to $10.5MJan 2, 2025 to Mar 25, 2025
- Non-discretionary RAUM · $30.0M to $50.6MJan 2, 2025 to Mar 25, 2025
- Pension RAUM · $90.7M to $93.3MJan 2, 2025 to Mar 25, 2025
- RAUM · $139M to $173MJan 2, 2025 to Mar 25, 2025
- Accounts · 205 to 179Nov 21, 2023 to Mar 27, 2024
- Advisory employees · 7 to 6Nov 21, 2023 to Mar 27, 2024
- HNW clients · 15.0 to unsetNov 21, 2023 to Mar 27, 2024
- Individual clients · 75 to 63Nov 21, 2023 to Mar 27, 2024
- Pension plan clients · 90 to 78Nov 21, 2023 to Mar 27, 2024
- Assets in custody · $7.4M to $12.1MNov 21, 2023 to Mar 27, 2024
- Employees · 35 to 34Nov 21, 2023 to Mar 27, 2024
- State-registered IARs · 7 to 6Nov 21, 2023 to Mar 27, 2024
- Discretionary RAUM · $109M to $110MNov 21, 2023 to Mar 27, 2024
- HNW RAUM · $8.0M to $30.0MNov 21, 2023 to Mar 27, 2024
- Individual RAUM · $14.0M to $18.8MNov 21, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $21.9M to $30.0MNov 21, 2023 to Mar 27, 2024
- Pension RAUM · $94.6M to $90.7MNov 21, 2023 to Mar 27, 2024
- RAUM · $131M to $139MNov 21, 2023 to Mar 27, 2024
- Accounts · 225 to 205Nov 8, 2022 to Mar 28, 2023
- Advisory employees · 6 to 7Nov 8, 2022 to Mar 28, 2023
Signals
3 dated events
- Dawn Brenda Kincaid (Chief Operating Officer) appeared on Schedule A of 4••• G•••••••••Jul 24, 2020 · Control person joined · fact
- 4••• G••••••••• reported RAUM $270.4M, up 148% from $109.0M (2019-09-09 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Manuel Octavio Prieto-Izaguirre (Chief Operating Officer) no longer on Schedule A of 4••• G••••••••• (listed 2018-06-19, absent 2019-03-25)Mar 25, 2019 · Control person left · inference
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
- H••••://WWW.linkedin.COM/company/401kgenerationreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (866) 998-5879reportedpublic record, Form ADV, Mar 24, 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
- $26.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026