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

M•••• I••••••••• S•••••••• L••

Independent wealth managerOldmar, FloridaCRD 156856SEC 801-136550websiteIAPD
Latest filing Jul 21, 2026
First filing on the tape Jun 1, 2026 · 2 filings
SEC status approved since Jun 22, 2026
RAUM
$154M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$154M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$51.3M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$154M as of Jul 21, 2026
Jun 1, 2026$154M then
HNW client RAUM$39.0M as of Jul 21, 2026
Jun 1, 2026$39.0M then
State-registered IARs (5.B.3)3 as of Jul 21, 2026
Jun 1, 20263 then
Employees (5.A)3 as of Jul 21, 2026
Jun 1, 20263 then
Private funds: no history
Practice profile
derived from the filing of Jul 21, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$51.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
172derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$299,029derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.8derived4 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$2.6M, 6 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$115M75%
  • High-net-worth individuals$39.0M25%
Individual clients
491reported
HNW clients
24reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
515reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$2.6M for 6 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••••••••• R••••• M••••Oldmar, FlApr 19, 201122 y0
J•••••• A•••• F••••Certified Financial PlannerArden Hills, Mn Apr 18, 201726 y3
S••••• K•••Oldmar, FlOct 10, 202524 y2
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M••••• C••••••••• R••••• · Chief Compliance Officer/Chief Executive Officercontrol
      since 01/2011 · owns less than 5%
    Entity owners
    • M•••• I••••••••• L•• · Member
      direct · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Oldmar, Fl · principal320
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    No event on the tape.
    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
    Website
    H•••://WWW.M••••TAX.COMreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    727-799-1701reportedpublic record, Form ADV, Jul 21, 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
    $51.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026