DFX Intelligence

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R• L•••• W••••• M•••••••••

Independent wealth managerSEC-registered· Maitland, Florida

Independent wealth manager, based in Maitland, Florida, reporting $257M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-06-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $257M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +19%
Private clients: 100% of RAUM, $257M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-06-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+19.3%
RAUM, one year
RAUM $215M to $257M (+19.3%) on the Form ADV filed 3 Jun 2026, while advisors on the filing rose 2 to 2.
Assets holding up while advisors and offices fall means the departures have not yet shown in the assets; the next filing will.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 156073 · SEC 801-119654 · 11 filingsShow

CRD 156073SEC 801-119654Legal name R• L•••• H•••••••• I•••First filing on the tape Sep 18, 2020, latest Jun 3, 2026SEC status approved since Oct 20, 2020IAPD

RAUM

$257M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$257M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$128M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM$257M as of Jun 3, 2026

Mar 22, 2021$140M then

HNW client RAUM$177M as of Jun 3, 2026

Mar 22, 2021$93.5M then

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

Mar 22, 20212 then

Employees (5.A)8 as of Jun 3, 2026

Mar 22, 20213 then

Private funds: no history

RAUM +19% over the last fiscal year+19% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Jun 3, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $128MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 226derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.5MderivedHNW RAUM over HNW clients
Average account: $301,394derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 4.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +0.9%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$177M69%
Individuals$79.6M31%

Individual clients: 330reported
HNW clients: 121reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 852reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, hourlyreported
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

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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

3 on IAPD today; the 10 longest tenured

Name	Branch	Here since	In industry	Prior firms
D•••••• D••••••• L••••	Maitland, Fl	Mar 15, 2011	16 y	1
R••••• S••••• B•••••••••	Maitland, Fl	May 21, 2019	14 y	0
C•••• L•••••••	Maitland, Fl	Sep 22, 2026	13 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

L••••• D••••••• D••••••• · Presidentcontrol
since 12/2010 · owns 50% to 75%
L••••• M•••••• S••••• · Chief Compliance Officercontrol
since 01/2024 · owns less than 5%
L••••• R••••••• A•••••• · Coo & Business Development Executivecontrol
since 12/2010 · 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
Maitland, Fl · principal	3	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 838 to 852
Nov 17, 2025 to Mar 6, 2026
HNW clients · 96 to 121
Nov 17, 2025 to Mar 6, 2026
Individual clients · 351 to 330
Nov 17, 2025 to Mar 6, 2026
Employees · 7 to 8
Nov 17, 2025 to Mar 6, 2026
Discretionary RAUM · $215M to $257M
Nov 17, 2025 to Mar 6, 2026

Full history · 55 changes

HNW RAUM · $120M to $177M
Nov 17, 2025 to Mar 6, 2026
Individual RAUM · $95.4M to $79.6M
Nov 17, 2025 to Mar 6, 2026
RAUM · $215M to $257M
Nov 17, 2025 to Mar 6, 2026
Financial planning clients · 0 to 0
Mar 19, 2025 to Nov 17, 2025
Accounts · 750 to 838
Jun 18, 2024 to Mar 19, 2025
HNW clients · 56 to 96
Jun 18, 2024 to Mar 19, 2025
Individual clients · 384 to 351
Jun 18, 2024 to Mar 19, 2025
Employees · 8 to 7
Jun 18, 2024 to Mar 19, 2025
Discretionary RAUM · $184M to $215M
Jun 18, 2024 to Mar 19, 2025
HNW RAUM · $73.9M to $120M
Jun 18, 2024 to Mar 19, 2025
Individual RAUM · $110M to $95.4M
Jun 18, 2024 to Mar 19, 2025
Non-discretionary RAUM · $149,000 to $0
Jun 18, 2024 to Mar 19, 2025
RAUM · $184M to $215M
Jun 18, 2024 to Mar 19, 2025
Accounts · 748 to 750
Feb 24, 2023 to Mar 21, 2024
HNW clients · 84 to 56
Feb 24, 2023 to Mar 21, 2024
Individual clients · 315 to 384
Feb 24, 2023 to Mar 21, 2024
Employees · 5 to 8
Feb 24, 2023 to Mar 21, 2024
HQ city · ORLANDO to MAITLAND
Feb 24, 2023 to Mar 21, 2024
Discretionary RAUM · $152M to $184M
Feb 24, 2023 to Mar 21, 2024
HNW RAUM · $89.9M to $73.9M
Feb 24, 2023 to Mar 21, 2024
Individual RAUM · $62.4M to $110M
Feb 24, 2023 to Mar 21, 2024
Non-discretionary RAUM · $0 to $149,000
Feb 24, 2023 to Mar 21, 2024
RAUM · $152M to $184M
Feb 24, 2023 to Mar 21, 2024
Accounts · 668 to 748
Jun 22, 2022 to Feb 24, 2023
HNW clients · 74 to 84
Jun 22, 2022 to Feb 24, 2023
Individual clients · 278 to 315
Jun 22, 2022 to Feb 24, 2023
Discretionary RAUM · $173M to $152M
Jun 22, 2022 to Feb 24, 2023
HNW RAUM · $101M to $89.9M
Jun 22, 2022 to Feb 24, 2023
Individual RAUM · $72.8M to $62.4M
Jun 22, 2022 to Feb 24, 2023
RAUM · $173M to $152M
Jun 22, 2022 to Feb 24, 2023
Accounts · 557 to 668
Mar 22, 2021 to Feb 25, 2022
Business name · R• L•••• H•••••••• I••• to R• L•••• W••••• M•••••••••
Mar 22, 2021 to Feb 25, 2022
HNW clients · 76 to 74
Mar 22, 2021 to Feb 25, 2022
Individual clients · 212 to 278
Mar 22, 2021 to Feb 25, 2022
Employees · 3 to 5
Mar 22, 2021 to Feb 25, 2022
Discretionary RAUM · $140M to $173M
Mar 22, 2021 to Feb 25, 2022
HNW RAUM · $93.5M to $101M
Mar 22, 2021 to Feb 25, 2022
Individual RAUM · $46.4M to $72.8M
Mar 22, 2021 to Feb 25, 2022
RAUM · $140M to $173M
Mar 22, 2021 to Feb 25, 2022
Accounts · 535 to 557
Sep 18, 2020 to Mar 22, 2021
Advisory activities · 1 to 2
Sep 18, 2020 to Mar 22, 2021
HNW clients · 56 to 76
Sep 18, 2020 to Mar 22, 2021
Individual clients · 208 to 212
Sep 18, 2020 to Mar 22, 2021
Assets in custody · 40000000.0 to unset
Sep 18, 2020 to Mar 22, 2021
Custody of client assets · true to false
Sep 18, 2020 to Mar 22, 2021
Employees · 4 to 3
Sep 18, 2020 to Mar 22, 2021
Discretionary RAUM · $118M to $140M
Sep 18, 2020 to Mar 22, 2021
HNW RAUM · $67.8M to $93.5M
Sep 18, 2020 to Mar 22, 2021
Individual RAUM · $50.3M to $46.4M
Sep 18, 2020 to Mar 22, 2021
RAUM · $118M to $140M
Sep 18, 2020 to Mar 22, 2021

Signals

3 dated events

••• Locked
Sep 22, 2026 · Advisor registered · fact
••• Locked
Jun 18, 2024 · Control person joined · fact
••• Locked
Sep 18, 2020 · 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jun 3, 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: $128Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026