DFX Intelligence
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SEC-registered adviser
R•• C•••••• M••••••••• I•••
Latest filing Feb 24, 2026
First filing on the tape May 7, 2024 · 7 filings
SEC status approved since Jun 14, 2024
RAUM
$161M
reported, Item 5.F
Discretionary
5.0%
of RAUM
Private clients
5.0%
$8.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$161M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$161M as of Feb 24, 2026
Mar 31, 2025$138M then
HNW client RAUM$5.9M as of Feb 24, 2026
Mar 31, 2025$1.3M then
State-registered IARs (5.B.3)1 as of Feb 24, 2026
Mar 31, 20251 then
Employees (5.A)3 as of Feb 24, 2026
Mar 31, 20253 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $161MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $3.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 5.0%derivedof RAUM
- Institutional
- 95%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%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
- financial planning, portfolio management for individuals, pension consulting, educational seminars, otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$153M95%
- High-net-worth individuals$5.9M3.7%
- Individuals$2.1M1.3%
- Individual clients
- 7reported
- HNW clients
- 5reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 41reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.05 fund_share=0.0 institutional_share=0.95 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• R• B••••••• | Sarasota, Fl | Nov 6, 2012 | 27 y | 2 |
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
- R•••• R• B••••••• from M••••••••• A•••• M••••••••• L••Nov 6, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• R••••• R• · President/Senior Portfolio Manager/Ccocontrolsince 05/2012 · 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
- Accounts · 30 to 41Nov 3, 2025 to Feb 24, 2026
- Discretionary RAUM · $3.3M to $8.0MNov 3, 2025 to Feb 24, 2026
- HNW RAUM · $1.3M to $5.9MNov 3, 2025 to Feb 24, 2026
- Individual RAUM · $1.7M to $2.1MNov 3, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $135M to $153MNov 3, 2025 to Feb 24, 2026
- Pension RAUM · $135M to $153MNov 3, 2025 to Feb 24, 2026
- RAUM · $138M to $161MNov 3, 2025 to Feb 24, 2026
- Financial planning clients · 0 to 0Jul 10, 2025 to Nov 3, 2025
- Succession · true to falseMar 31, 2025 to Jul 10, 2025
- Accounts · 25 to 30Aug 31, 2024 to Mar 31, 2025
- Corporate clients · 2.0 to unsetAug 31, 2024 to Mar 31, 2025
- HNW clients · 6 to 5Aug 31, 2024 to Mar 31, 2025
- Individual clients · 8 to 7Aug 31, 2024 to Mar 31, 2025
- Pension plan clients · 9 to 6Aug 31, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 0Aug 31, 2024 to Mar 31, 2025
- Discretionary RAUM · $4.4M to $3.3MAug 31, 2024 to Mar 31, 2025
- HNW RAUM · $2.2M to $1.3MAug 31, 2024 to Mar 31, 2025
- Individual RAUM · $1.9M to $1.7MAug 31, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $103M to $135MAug 31, 2024 to Mar 31, 2025
- Pension RAUM · $103M to $135MAug 31, 2024 to Mar 31, 2025
- RAUM · $107M to $138MAug 31, 2024 to Mar 31, 2025
- Succession · false to trueAug 31, 2024 to Mar 31, 2025
Signals
2 dated events
- ••• LockedMar 31, 2025 · Succession (Item 4) · fact
- ••• LockedMay 7, 2024 · 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
- Website
- r•••••••••.comreportedpublic record, Form ADV, Feb 24, 2026
- Principal office phone
- 941-870-1944reportedpublic record, Form ADV, Feb 24, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $161Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026