DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

S••••••••• W••••• M••••••••• L•••••

Independent wealth managerSEC-registered· Tampa, Floridawebsite

Independent wealth manager, based in Tampa, Florida, reporting $173M of regulatory assets across 2 registered advisors.

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

As of 2026-03-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $173M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +15%
Private clients: 99% of RAUM, $172M

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-03-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 9 Mar 2026, RAUM $150M to $173M (+15.3%) on the Form ADV filed 9 Mar 2026, while advisors on the filing rose 2 to 2.

Every filed figure, and the identifiersCRD 161194 · SEC 801-126054 · 11 filingsShow

CRD 161194SEC 801-126054First filing on the tape Jun 9, 2022, latest Mar 9, 2026SEC status approved since Jul 25, 2022IAPD

RAUM

$173M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$172M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$86.5M

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 +13% a year over three years · the tape starts Jun 9, 2022

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$173M as of Mar 9, 2026

Mar 15, 2023$120M then

HNW client RAUM$136M as of Mar 9, 2026

Mar 15, 2023$84.7M then

State-registered IARs (5.B.3)2 as of Mar 9, 2026

Mar 15, 20232 then

Employees (5.A)2 as of Mar 9, 2026

Mar 15, 20232 then

Private funds: no history

RAUM +15% over the last fiscal year+13% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 9, 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: $86.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 72derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.1MderivedHNW RAUM over HNW clients
Average account: $298,649derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +15%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.4%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program: $90.7MreportedItem 5.I
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

79% high-net-worth individuals, 21% individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$136M79%
Individuals$35.9M21%
Charitable organizations$852,3920.5%
Corporations and businesses$320,7890.2%

Individual clients: 99reported
HNW clients: 44reported
Pension plan clients: 0reported
Charitable clients: 1reported
Accounts: 579reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

R•••••• H••••••• A•••• from A••••••••• F•••••••• S•••••••• L••
Jul 9, 2016 · Affiliated broker-dealer or bank to independent RIA
K•••• E••••• D••••• from H•••••• A•••••••• L•••••
Aug 13, 2012 · Other

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
K•••• E••••• D•••••Certified Financial Planner, Chartered Financial Consultant	Tampa, Fl	Aug 13, 2012	28 y	4
R•••••• H••••••• A••••Chartered Financial Analyst	Tampa, Fl	Jul 9, 2016	30 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A••••• R••••••• H••••••• · Member And Chief Compliance Officercontrol
since 07/2016 · owns 25% to 50%
D•••••• K••••• E••••• · Membercontrol
since 03/2012 · 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
Tampa, Fl · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 572 to 579
Mar 4, 2025 to Mar 9, 2026
HNW clients · 40 to 44
Mar 4, 2025 to Mar 9, 2026
Individual clients · 101 to 99
Mar 4, 2025 to Mar 9, 2026
Discretionary RAUM · $150M to $173M
Mar 4, 2025 to Mar 9, 2026
HNW RAUM · $115M to $136M
Mar 4, 2025 to Mar 9, 2026

Full history · 33 changes

Individual RAUM · $34.3M to $35.9M
Mar 4, 2025 to Mar 9, 2026
RAUM · $150M to $173M
Mar 4, 2025 to Mar 9, 2026
Accounts · 558 to 572
Mar 6, 2024 to Mar 4, 2025
HNW clients · 38 to 40
Mar 6, 2024 to Mar 4, 2025
Individual clients · 100 to 101
Mar 6, 2024 to Mar 4, 2025
Financial planning clients · 0 to 0
Mar 6, 2024 to Mar 4, 2025
Discretionary RAUM · $136M to $150M
Mar 6, 2024 to Mar 4, 2025
HNW RAUM · $103M to $115M
Mar 6, 2024 to Mar 4, 2025
Individual RAUM · $32.1M to $34.3M
Mar 6, 2024 to Mar 4, 2025
RAUM · $136M to $150M
Mar 6, 2024 to Mar 4, 2025
Accounts · 541 to 558
Jun 28, 2023 to Feb 28, 2024
HNW clients · 34 to 38
Jun 28, 2023 to Feb 28, 2024
Individual clients · 101 to 100
Jun 28, 2023 to Feb 28, 2024
Financial planning clients · 1-10 to 0
Jun 28, 2023 to Feb 28, 2024
Discretionary RAUM · $120M to $136M
Jun 28, 2023 to Feb 28, 2024
HNW RAUM · $84.7M to $103M
Jun 28, 2023 to Feb 28, 2024
Individual RAUM · $34.5M to $32.1M
Jun 28, 2023 to Feb 28, 2024
RAUM · $120M to $136M
Jun 28, 2023 to Feb 28, 2024
Accounts · 513 to 541
Oct 28, 2022 to Mar 15, 2023
Advisory activities · 6 to 5
Oct 28, 2022 to Mar 15, 2023
Charity clients · 0 to 1
Oct 28, 2022 to Mar 15, 2023
Individual clients · 100 to 101
Oct 28, 2022 to Mar 15, 2023
Assets in custody · 104938344.0 to unset
Oct 28, 2022 to Mar 15, 2023
Custody of client assets · true to false
Oct 28, 2022 to Mar 15, 2023
Discretionary RAUM · $127M to $120M
Oct 28, 2022 to Mar 15, 2023
HNW RAUM · $90.7M to $84.7M
Oct 28, 2022 to Mar 15, 2023
Individual RAUM · $36.0M to $34.5M
Oct 28, 2022 to Mar 15, 2023
RAUM · $127M to $120M
Oct 28, 2022 to Mar 15, 2023

Signals

1 dated events

••• Locked
Jun 9, 2022 · 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 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
Website: ••• Lockedreportedpublic record, Form ADV, Mar 9, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 9, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $86.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026