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••• F•••••• • S••••• L••
Latest filing May 20, 2026
First filing on the tape Jul 12, 2012 · 26 filings
SEC status approved since Jul 31, 2012
RAUM
$368M
reported, Item 5.F
Discretionary
11%
of RAUM
Private clients
59%
$217M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$184M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$368M as of May 20, 2026
Mar 28, 2013$429M then
HNW client RAUM$217M as of May 20, 2026
Mar 30, 2018$197M then
State-registered IARs (5.B.3)2 as of May 20, 2026
Mar 28, 20130 then
Employees (5.A)2 as of May 20, 2026
Mar 28, 20134 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $184MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $36.2MderivedHNW RAUM over HNW clients
- Average account
- $14.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 11%derivedof RAUM
- Institutional
- 39%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
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$217M59%
- Charitable organizations$145M39%
- Corporations and businesses$6.1M1.7%
- Individual clients
- 0reported
- HNW clients
- 6reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.59 fund_share=0.0 institutional_share=0.39 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- J••••• D•••• F•••••• to V•••••• S••• I•••Feb 9, 2017 · Other
Joined, latest
- J••••• D•••• F•••••• from A••• F•••••• A•• C••••••• I•••Aug 10, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••• L••••• N••••• · Member/Chief Compliance Officercontrolsince 01/2012 · owns less than 5%
- S••••• C••••••• T••••••• · President/Principal/Managing Membercontrolsince 01/2012 · owns 75% or more
- S••••• J••••• G••••• · Owner/Membercontrolsince 01/2012 · owns 25% to 50%
Related persons
Schedule D 7.A
- A••• F•••••• A•• C••••••• I•••investment advisernRAUM $259M
Advisers that list A••• F•••••• • S••••• L•• as a related person
- 137404 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Valrico, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing May 20, 2026institutional share of RAUM of 39% against a peer median of 0% (5676 comparable advisers, 98.0th percentile, 13.2 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 24 to 26Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $27.5M to $39.6MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $187M to $217MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $296M to $329MMar 31, 2025 to Mar 31, 2026
- RAUM · $324M to $368MMar 31, 2025 to Mar 31, 2026
- Accounts · 9 to 24Oct 21, 2024 to Mar 31, 2025
- HNW clients · 7 to 6Oct 21, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Oct 21, 2024 to Mar 31, 2025
- Discretionary RAUM · $31.6M to $27.5MOct 21, 2024 to Mar 31, 2025
- HNW RAUM · $163M to $187MOct 21, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $251M to $296MOct 21, 2024 to Mar 31, 2025
- RAUM · $282M to $324MOct 21, 2024 to Mar 31, 2025
- Accounts · 11 to 9Mar 31, 2023 to Mar 5, 2024
- HNW clients · 9 to 7Mar 31, 2023 to Mar 5, 2024
- Discretionary RAUM · $33.8M to $31.6MMar 31, 2023 to Mar 5, 2024
- HNW RAUM · $141M to $163MMar 31, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $214M to $251MMar 31, 2023 to Mar 5, 2024
- RAUM · $248M to $282MMar 31, 2023 to Mar 5, 2024
- Accounts · 29 to 11Mar 29, 2022 to Mar 31, 2023
- HNW clients · 12 to 9Mar 29, 2022 to Mar 31, 2023
- Employees · 3 to 2Mar 29, 2022 to Mar 31, 2023
- Insurance-licensed employees · 1 to 0Mar 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $42.0M to $33.8MMar 29, 2022 to Mar 31, 2023
- HNW RAUM · $166M to $141MMar 29, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $253M to $214MMar 29, 2022 to Mar 31, 2023
- RAUM · $295M to $248MMar 29, 2022 to Mar 31, 2023
- HNW clients · 10 to 12Sep 20, 2021 to Mar 29, 2022
- Employees · 2 to 3Sep 20, 2021 to Mar 29, 2022
- Insurance-licensed employees · 2 to 1Sep 20, 2021 to Mar 29, 2022
- Discretionary RAUM · $34.5M to $42.0MSep 20, 2021 to Mar 29, 2022
- HNW RAUM · $135M to $166MSep 20, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $215M to $253MSep 20, 2021 to Mar 29, 2022
- RAUM · $250M to $295MSep 20, 2021 to Mar 29, 2022
- Accounts · 30 to 29Jun 11, 2020 to Mar 31, 2021
- Corporate clients · 0.0 to unsetJun 11, 2020 to Mar 31, 2021
- HNW clients · 19 to 10Jun 11, 2020 to Mar 31, 2021
- Employees · 3 to 2Jun 11, 2020 to Mar 31, 2021
- Insurance-licensed employees · 1 to 2Jun 11, 2020 to Mar 31, 2021
- Discretionary RAUM · $48.2M to $34.5MJun 11, 2020 to Mar 31, 2021
- HNW RAUM · $158M to $135MJun 11, 2020 to Mar 31, 2021
Signals
1 dated events
- A••• F•••••• • S••••• L•• filed its initial SEC registration (Form ADV)Jul 12, 2012 · 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
- 813-684-9218reportedpublic record, Form ADV, May 20, 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
- $184Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026