DFX Intelligence

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M•••••••• W••••• M••••••••• L••

Independent wealth managerSEC-registered· Delray Beach, Floridawebsite

Independent wealth manager, based in Delray Beach, Florida, reporting $130M of regulatory assets across 2 registered advisors.

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

As of 2026-07-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $130M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: -0.1%
Private clients: 100% of RAUM, $130M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-07-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 157819 · SEC 801-72376 · 35 filingsShow

CRD 157819SEC 801-72376First filing on the tape Mar 29, 2012, latest Jul 30, 2026SEC status approved since Jun 7, 2011IAPD

RAUM

$130M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$130M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$64.8M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

35 filings and snapshots on the tape

RAUM$130M as of Jul 30, 2026

Mar 29, 2012$145M then

HNW client RAUM$124M as of Jul 30, 2026

Jan 12, 2018$162M then

State-registered IARs (5.B.3)2 as of Jul 30, 2026

Mar 1, 20133 then

Employees (5.A)3 as of Jul 30, 2026

Mar 1, 20135 then

Private funds: no history

RAUM -0.1% over the last fiscal year+3.8% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Jul 30, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

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
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $64.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 16derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.7MderivedHNW RAUM over HNW clients
Average account: $3.8MderivedRAUM 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: 1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: -0.1%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +3.2%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program: $130MreportedItem 5.I
Custody: $16.8M, 3 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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
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$124M96%
Individuals$5.1M3.9%
Corporations and businesses$64,1870.0%

Individual clients: 10reported
HNW clients: 22reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 34reported
Financial planning clients: 11-25reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $16.8M for 3 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

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

J••••• S•••• O••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Jun 21, 2011 · Other

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the 10 longest tenured

Name	Branch	Here since	In industry	Prior firms
J••••• S•••• O•••••Certified Financial Planner, Chartered Financial Consultant	Delray Beach, Fl	Jun 21, 2011	24 y	1
K•••••• S••••••Personal Financial Specialist	Delray Beach, Fl	Jun 14, 2024	14 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

O•••••• J•••••• S•••• · Principalcontrol
since 06/2011 · owns 75% or more
S••••••• K•••••• · Chief Compliance O•••••Rcontrol
since 01/2024 · owns less than 5%

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
Delray Beach, Fl · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Accounts · 120 to 34
Mar 12, 2025 to Mar 31, 2026
Corporate clients · 2 to 1
Mar 12, 2025 to Mar 31, 2026
Individual clients · 9 to 10
Mar 12, 2025 to Mar 31, 2026
Assets in custody · $13.2M to $16.8M
Mar 12, 2025 to Mar 31, 2026
Discretionary RAUM · $130M to $130M
Mar 12, 2025 to Mar 31, 2026

Full history · 80 changes

HNW RAUM · $126M to $124M
Mar 12, 2025 to Mar 31, 2026
Individual RAUM · $3.5M to $5.1M
Mar 12, 2025 to Mar 31, 2026
RAUM · $130M to $130M
Mar 12, 2025 to Mar 31, 2026
Accounts · 123 to 120
Jul 10, 2024 to Mar 12, 2025
BD registered reps · 2 to 1
Jul 10, 2024 to Mar 12, 2025
Charity clients · 1.0 to unset
Jul 10, 2024 to Mar 12, 2025
HNW clients · 20 to 22
Jul 10, 2024 to Mar 12, 2025
Assets in custody · $12.4M to $13.2M
Jul 10, 2024 to Mar 12, 2025
Employees · 4 to 3
Jul 10, 2024 to Mar 12, 2025
Financial planning clients · 11-25 to 11-25
Jul 10, 2024 to Mar 12, 2025
Discretionary RAUM · $123M to $130M
Jul 10, 2024 to Mar 12, 2025
HNW RAUM · $118M to $126M
Jul 10, 2024 to Mar 12, 2025
Individual RAUM · $4.3M to $3.5M
Jul 10, 2024 to Mar 12, 2025
RAUM · $123M to $130M
Jul 10, 2024 to Mar 12, 2025
Accounts · 157 to 123
Mar 28, 2023 to Mar 27, 2024
HNW clients · 18 to 20
Mar 28, 2023 to Mar 27, 2024
Individual clients · 11 to 9
Mar 28, 2023 to Mar 27, 2024
Assets in custody · $2.2M to $12.4M
Mar 28, 2023 to Mar 27, 2024
Employees · 3 to 4
Mar 28, 2023 to Mar 27, 2024
Discretionary RAUM · $116M to $123M
Mar 28, 2023 to Mar 27, 2024
HNW RAUM · $111M to $118M
Mar 28, 2023 to Mar 27, 2024
Individual RAUM · $3.4M to $4.3M
Mar 28, 2023 to Mar 27, 2024
RAUM · $116M to $123M
Mar 28, 2023 to Mar 27, 2024
Accounts · 176 to 157
Mar 31, 2022 to Mar 28, 2023
Corporate clients · 4 to 2
Mar 31, 2022 to Mar 28, 2023
HNW clients · 17 to 18
Mar 31, 2022 to Mar 28, 2023
Individual clients · 10 to 11
Mar 31, 2022 to Mar 28, 2023
Assets in custody · $3.2M to $2.2M
Mar 31, 2022 to Mar 28, 2023
Discretionary RAUM · $170M to $116M
Mar 31, 2022 to Mar 28, 2023
HNW RAUM · $163M to $111M
Mar 31, 2022 to Mar 28, 2023
Individual RAUM · $3.9M to $3.4M
Mar 31, 2022 to Mar 28, 2023
RAUM · $170M to $116M
Mar 31, 2022 to Mar 28, 2023
Accounts · 132 to 176
Mar 23, 2021 to Mar 31, 2022
HNW clients · 19 to 17
Mar 23, 2021 to Mar 31, 2022
Individual clients · 14 to 10
Mar 23, 2021 to Mar 31, 2022
Assets in custody · $4.8M to $3.2M
Mar 23, 2021 to Mar 31, 2022
Employees · 2 to 3
Mar 23, 2021 to Mar 31, 2022
Other offices · 0 to 1
Mar 23, 2021 to Mar 31, 2022
Discretionary RAUM · $173M to $170M
Mar 23, 2021 to Mar 31, 2022
HNW RAUM · $162M to $163M
Mar 23, 2021 to Mar 31, 2022
Individual RAUM · $6.6M to $3.9M
Mar 23, 2021 to Mar 31, 2022
RAUM · $173M to $170M
Mar 23, 2021 to Mar 31, 2022
Accounts · 111 to 132
Jun 22, 2020 to Mar 18, 2021
HNW clients · 22 to 19
Jun 22, 2020 to Mar 18, 2021
Individual clients · 10 to 14
Jun 22, 2020 to Mar 18, 2021
Assets in custody · $3.2M to $4.8M
Jun 22, 2020 to Mar 18, 2021
Discretionary RAUM · $144M to $173M
Jun 22, 2020 to Mar 18, 2021
HNW RAUM · $137M to $162M
Jun 22, 2020 to Mar 18, 2021
Individual RAUM · $3.2M to $6.6M
Jun 22, 2020 to Mar 18, 2021
RAUM · $144M to $173M
Jun 22, 2020 to Mar 18, 2021
Accounts · 97 to 111
Nov 12, 2019 to Mar 6, 2020
BD registered reps · 3 to 2
Nov 12, 2019 to Mar 6, 2020
Corporate clients · 8 to 4
Nov 12, 2019 to Mar 6, 2020
HNW clients · 19 to 22
Nov 12, 2019 to Mar 6, 2020
Individual clients · 15 to 10
Nov 12, 2019 to Mar 6, 2020
Assets in custody · $3.0M to $3.2M
Nov 12, 2019 to Mar 6, 2020
Employees · 4 to 2
Nov 12, 2019 to Mar 6, 2020
Discretionary RAUM · $129M to $144M
Nov 12, 2019 to Mar 6, 2020
HNW RAUM · $124M to $137M
Nov 12, 2019 to Mar 6, 2020
Individual RAUM · $5.1M to $3.2M
Nov 12, 2019 to Mar 6, 2020
RAUM · $129M to $144M
Nov 12, 2019 to Mar 6, 2020
Employees · 3 to 4
Feb 7, 2019 to Feb 21, 2019
Accounts · 165 to 97
Aug 29, 2018 to Feb 7, 2019
BD registered reps · 2 to 3
Aug 29, 2018 to Feb 7, 2019
Charity clients · unset to 1.0
Aug 29, 2018 to Feb 7, 2019
Corporate clients · unset to 8.0
Aug 29, 2018 to Feb 7, 2019
HNW clients · 27 to 19
Aug 29, 2018 to Feb 7, 2019
Individual clients · 11 to 15
Aug 29, 2018 to Feb 7, 2019
Assets in custody · unset to 3015268.0
Aug 29, 2018 to Feb 7, 2019
Custody of client assets · false to true
Aug 29, 2018 to Feb 7, 2019
Employees · 4 to 3
Aug 29, 2018 to Feb 7, 2019
Discretionary RAUM · $165M to $129M
Aug 29, 2018 to Feb 7, 2019
HNW RAUM · $162M to $124M
Aug 29, 2018 to Feb 7, 2019
Individual RAUM · $3.0M to $5.1M
Aug 29, 2018 to Feb 7, 2019
RAUM · $165M to $129M
Aug 29, 2018 to Feb 7, 2019

Signals

4 dated events

••• Locked
Mar 27, 2024 · Control person joined · fact
••• Locked
Mar 27, 2024 · Control person left · inference
••• Locked
Mar 31, 2022 · Control person left · inference
••• Locked
Mar 31, 2022 · Control person joined · 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 email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jul 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 30, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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: $64.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026