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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Latest filing Mar 18, 2026
First filing on the tape Mar 28, 2012 · 20 filings
SEC status approved since Apr 17, 2012
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$0 as of Mar 18, 2026
Jan 29, 2013$338M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Jan 29, 20130 then
Employees (5.A)1 as of Mar 18, 2026
Jan 29, 20131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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
- hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• N•••• · Presidentcontrolsince 08/1995 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Corporate clients · unset to 1.0Mar 12, 2025 to Mar 18, 2026
- Pension plan clients · 3 to 4Mar 12, 2025 to Mar 18, 2026
- Accounts · unset to 0.0Jan 19, 2024 to Mar 12, 2025
- Pension plan clients · 5 to 3Jan 19, 2024 to Mar 12, 2025
- Financial planning clients · unset to Jan 19, 2024 to Mar 12, 2025
- HQ city · unset to Jan 19, 2024 to Mar 12, 2025
- HQ state · unset to Jan 19, 2024 to Mar 12, 2025
- Discretionary RAUM · unset to 0.0Jan 19, 2024 to Mar 12, 2025
- Non-discretionary RAUM · unset to 0.0Jan 19, 2024 to Mar 12, 2025
- RAUM · unset to 0.0Jan 19, 2024 to Mar 12, 2025
- Pension plan clients · 4 to 5Mar 29, 2023 to Jan 19, 2024
- Pension plan clients · unset to 4.0Mar 16, 2022 to Mar 29, 2023
- Pension plan clients · 5.0 to unsetJan 29, 2021 to Mar 16, 2022
- Pension plan clients · unset to 5.0Mar 13, 2020 to Jan 29, 2021
- Pension RAUM · unset to 0.0Dec 8, 2017 to Mar 15, 2018
- HQ city · TAMPA to unsetFeb 2, 2017 to Dec 8, 2017
- HQ state · FL to unsetFeb 2, 2017 to Dec 8, 2017
- Other offices · unset to 0.0Feb 2, 2017 to Dec 8, 2017
- HQ city · unset to TAMPAMar 13, 2014 to Mar 13, 2015
- HQ state · unset to FLMar 13, 2014 to Mar 13, 2015
- Accounts · 4.0 to unsetJan 29, 2013 to Mar 26, 2013
- Discretionary RAUM · 0.0 to unsetJan 29, 2013 to Mar 26, 2013
- Non-discretionary RAUM · 338215915.0 to unsetJan 29, 2013 to Mar 26, 2013
- RAUM · 338215915.0 to unsetJan 29, 2013 to Mar 26, 2013
- Accounts · unset to 4.0Mar 28, 2012 to Jan 29, 2013
- Advisory employees · unset to 1.0Mar 28, 2012 to Jan 29, 2013
- BD registered reps · unset to 0.0Mar 28, 2012 to Jan 29, 2013
- Employees · unset to 1.0Mar 28, 2012 to Jan 29, 2013
- State-registered IARs · unset to 0.0Mar 28, 2012 to Jan 29, 2013
- Discretionary RAUM · unset to 0.0Mar 28, 2012 to Jan 29, 2013
- Non-discretionary RAUM · unset to 338215915.0Mar 28, 2012 to Jan 29, 2013
- RAUM · unset to 338215915.0Mar 28, 2012 to Jan 29, 2013
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
- Principal office phone
- 813-251-2198reportedpublic record, Form ADV, Mar 18, 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
- No RAUM reportedderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026