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
A••••••••• I••••••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jul 30, 2019 · 17 filings
SEC status approved since Aug 27, 2019
RAUM
$386M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$375M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$38.6M
derived; firm RAUM over IAPD count
Employees
15
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$386M as of Mar 27, 2026
Mar 9, 2020$141M then
HNW client RAUM$125M as of Mar 27, 2026
Mar 9, 2020$30.9M then
State-registered IARs (5.B.3)11 as of Mar 27, 2026
Mar 9, 20207 then
Employees (5.A)15 as of Mar 27, 2026
Mar 9, 20207 then
Private funds: no history
RAUM +13% over the last fiscal year+21% a year over threeIARs 9 to 11
Practice profile
derived from the filing of Mar 27, 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
- $38.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 142derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $136,978derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%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 advisers, educational seminarsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$251M65%
- High-net-worth individuals$125M32%
- Pension and profit-sharing plans$10.4M2.7%
- Individual clients
- 1,349reported
- HNW clients
- 69reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 2,817reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• M••• K•••••• | Maitland, Fl | Sep 23, 2013 | 18 y | 4 |
| J•••••• M•••••• S•••••• | Maitland, Fl | Sep 27, 2013 | 26 y | 3 |
| D••••• L•• D••••••Chartered Financial Consultant | Maitland, Fl | Oct 2, 2013 | 39 y | 5 |
| M•••••• G••••• T••••• | Maitland, Fl | Oct 10, 2017 | 29 y | 4 |
| B••••• L•• S•••• | Maitland, Fl | Jul 24, 2018 | 11 y | 2 |
| M••• A••• K•••• | Maitland, Fl | Jul 30, 2019 | 26 y | 1 |
| T••••• H••• | Maitland, Fl | May 6, 2021 | 17 y | 2 |
| L••• R••• P••••••• | Maitland, Fl | Oct 13, 2023 | 15 y | 0 |
| K•••••• G•••• T•••••• | Sioux Falls, Sd | Nov 5, 2024 | 12 y | 0 |
| R••• C••••••••• W•••••• | Sioux Falls, Sd | Apr 3, 2025 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 10% of current headcount1 left over 36 months
Left, latest
- E••• H••••••• to T••••• W•••••• L•••••Aug 10, 2026 · RIA to RIA
- M•••••• C•••••• M•••••• to A•••• W••••• M••••••••• L••Sep 4, 2018 · Other
- M•••••• G••••• T••••• to A•••• W••••• M••••••••• L••Jun 9, 2014 · Other
Joined, latest
- T••••• H••• from F•• S••••••••• C•••••••••May 6, 2021 · Other
- M••• A••• K•••• from G••••••• A•••••••• L••Jul 30, 2019 · RIA to RIA
- M•••••• G••••• T••••• from A•••• W••••• M••••••••• L••Oct 10, 2017 · RIA to RIA
- B••••• L•• S•••• from A•••• W••••• M••••••••• L••Aug 18, 2016 · Other
- D••••• L•• D•••••• from F•• S••••••••• C•••••••••Oct 2, 2013 · Other
- M•••••• G••••• T••••• from K•••••••• W••••• M••••••••• L••Oct 2, 2013 · Other
- J•••••• M•••••• S•••••• from C••••• A••••••• G••••• L••Sep 27, 2013 · Other
- T••••• M••• K•••••• from K•••••••• W••••• M••••••••• L••Sep 23, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• T•••••• W•••••• · Managing Member, Chief Compliance Officercontrolsince 07/2017 · owns 50% to 75%
- S••••••• J••••••• M•••••• · Managing Membercontrolsince 07/2017 · 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 | 10 | 0 | 1 | ||
| Sioux Falls, Sd | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Sioux Falls, SD4 employees
What changed
consecutive filings, newest first
- Accounts · 2,604 to 2,817Sep 5, 2025 to Mar 27, 2026
- Advisory employees · 9 to 11Sep 5, 2025 to Mar 27, 2026
- HNW clients · 52 to 69Sep 5, 2025 to Mar 27, 2026
- Individual clients · 1,282 to 1,349Sep 5, 2025 to Mar 27, 2026
- Pension plan clients · 8 to 6Sep 5, 2025 to Mar 27, 2026
- Employees · 12 to 15Sep 5, 2025 to Mar 27, 2026
- State-registered IARs · 9 to 11Sep 5, 2025 to Mar 27, 2026
- Discretionary RAUM · $313M to $375MSep 5, 2025 to Mar 27, 2026
- HNW RAUM · $93.4M to $125MSep 5, 2025 to Mar 27, 2026
- Individual RAUM · $220M to $251MSep 5, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $27.8M to $10.4MSep 5, 2025 to Mar 27, 2026
- Pension RAUM · $27.8M to $10.4MSep 5, 2025 to Mar 27, 2026
- RAUM · $341M to $386MSep 5, 2025 to Mar 27, 2026
- Accounts · 2,716 to 2,604Mar 29, 2024 to Mar 28, 2025
- Advisory activities · 4 to 5Mar 29, 2024 to Mar 28, 2025
- HNW clients · 38 to 52Mar 29, 2024 to Mar 28, 2025
- Individual clients · 1,186 to 1,282Mar 29, 2024 to Mar 28, 2025
- Pension plan clients · 11 to 8Mar 29, 2024 to Mar 28, 2025
- Employees · 13 to 12Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 1-10Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $266M to $313MMar 29, 2024 to Mar 28, 2025
- HNW RAUM · $64.9M to $93.4MMar 29, 2024 to Mar 28, 2025
- Individual RAUM · $202M to $220MMar 29, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $30.0M to $27.8MMar 29, 2024 to Mar 28, 2025
- Pension RAUM · $30.0M to $27.8MMar 29, 2024 to Mar 28, 2025
- RAUM · $296M to $341MMar 29, 2024 to Mar 28, 2025
- Accounts · 2,412 to 2,716Feb 24, 2023 to Mar 29, 2024
- Advisory employees · 6 to 9Feb 24, 2023 to Mar 29, 2024
- Corporate clients · 8.0 to unsetFeb 24, 2023 to Mar 29, 2024
- HNW clients · 21 to 38Feb 24, 2023 to Mar 29, 2024
- Individual clients · 1,187 to 1,186Feb 24, 2023 to Mar 29, 2024
- Pension plan clients · unset to 11.0Feb 24, 2023 to Mar 29, 2024
- Employees · 12 to 13Feb 24, 2023 to Mar 29, 2024
- State-registered IARs · 6 to 9Feb 24, 2023 to Mar 29, 2024
- Discretionary RAUM · $211M to $266MFeb 24, 2023 to Mar 29, 2024
- HNW RAUM · $33.6M to $64.9MFeb 24, 2023 to Mar 29, 2024
- Individual RAUM · $181M to $202MFeb 24, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $5.2M to $30.0MFeb 24, 2023 to Mar 29, 2024
- Pension RAUM · $1.3M to $30.0MFeb 24, 2023 to Mar 29, 2024
- RAUM · $217M to $296MFeb 24, 2023 to Mar 29, 2024
Signals
2 dated events
- E••• H••••••• left A••••••••• I••••••••• A•••••••• L•• for T••••• W•••••• L••••• (registered 2026-08-11)Aug 10, 2026 · Advisor changed firm · fact
- A••••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jul 30, 2019 · 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
- 407-313-9313reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-374-4858reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ffs1.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 407-261-4242reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- ffs1.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ffs1.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $38.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026