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

I••••••••• F•••••••• S••••••••• L••

No RAUM reportedFort Lauderdale, FloridaCRD 165007SEC 801-106490IAPD
Latest filing Aug 28, 2026
First filing on the tape Jul 29, 2015 · 34 filings
SEC status approved since Aug 10, 2015
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
5
0 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$0 as of Aug 28, 2026
Feb 18, 2016$187M then
HNW client RAUM$0 as of Aug 28, 2026
Feb 8, 2018$150M then
State-registered IARs (5.B.3)5 as of Aug 28, 2026
Feb 18, 20166 then
Employees (5.A)5 as of Aug 28, 2026
Feb 18, 20169 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 6 to 5
Practice profile
derived from the filing of Aug 28, 2026; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
1.0derivedItem 5.A over advisors
Advisors per office
1.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year
-29%derivedbetween the last two annual amendments
Advisor growth, one year
-17%derivedItem 5.B.3 between annual amendments
Client growth, one year
-21%derived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
participatesreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
6 left, 0 joined in 12 months
net -6 in 12 months5 left in 90 days0 joined in 90 days6 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••• K••••• G••• · Managing Membercontrol
    since 10/2007 · owns 75% or more
  • P••••• K•••••••• M•••• · Chief Compliance Officercontrol
    since 03/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Fort Lauderdale, Fl · principal0031
Charlotte, Nc0021
Pompano Beach, Fl001
Offices
Schedule D 1.F, the 25 largest
  • Concord, NC2 employees
  • Charlotte, NC1 employees
  • , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • discretionary share shiftChange between filings · filing Mar 31, 2026
    discretionary share of RAUM moved from 84.0% to 100.0% between the annual amendments of 2025-03-28 and 2026-03-31
    peers: other advisers, under $100M (671)
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 46 to 0
    Jun 16, 2026 to Aug 28, 2026
  • Advisory employees · 5 to 0
    Jun 16, 2026 to Aug 28, 2026
  • HNW clients · 152 to 0
    Jun 16, 2026 to Aug 28, 2026
  • Individual clients · 322 to 0
    Jun 16, 2026 to Aug 28, 2026
  • Assets in custody · 322000000.0 to unset
    Jun 16, 2026 to Aug 28, 2026
  • Financial planning clients · 101-250 to 0
    Jun 16, 2026 to Aug 28, 2026
  • Discretionary RAUM · $322M to $0
    Jun 16, 2026 to Aug 28, 2026
  • HNW RAUM · $200M to $0
    Jun 16, 2026 to Aug 28, 2026
  • Individual RAUM · $122M to $0
    Jun 16, 2026 to Aug 28, 2026
  • RAUM · $322M to $0
    Jun 16, 2026 to Aug 28, 2026
  • Wrap assets (manager) · $12.0M to $0
    Jun 16, 2026 to Aug 28, 2026
  • Wrap assets (sponsor) · $12.0M to $0
    Jun 16, 2026 to Aug 28, 2026
  • Related broker-dealer · false to true
    Mar 31, 2026 to Jun 16, 2026
  • Accounts · 1,400 to 46
    Feb 25, 2026 to Mar 31, 2026
  • Advisory employees · 6 to 5
    Feb 25, 2026 to Mar 31, 2026
  • BD registered reps · 2 to 3
    Feb 25, 2026 to Mar 31, 2026
  • HNW clients · 250 to 152
    Feb 25, 2026 to Mar 31, 2026
  • Individual clients · 350 to 322
    Feb 25, 2026 to Mar 31, 2026
  • Assets in custody · $380M to $322M
    Feb 25, 2026 to Mar 31, 2026
  • Employees · 6 to 5
    Feb 25, 2026 to Mar 31, 2026
  • State-registered IARs · 6 to 5
    Feb 25, 2026 to Mar 31, 2026
  • Other offices · 4 to 3
    Feb 25, 2026 to Mar 31, 2026
  • Discretionary RAUM · $380M to $322M
    Feb 25, 2026 to Mar 31, 2026
  • HNW RAUM · $320M to $200M
    Feb 25, 2026 to Mar 31, 2026
  • Individual RAUM · $135M to $122M
    Feb 25, 2026 to Mar 31, 2026
  • Non-discretionary RAUM · $75.0M to $0
    Feb 25, 2026 to Mar 31, 2026
  • RAUM · $455M to $322M
    Feb 25, 2026 to Mar 31, 2026
  • Financial planning clients · 101-250 to 101-250
    Mar 28, 2025 to May 2, 2025
  • Other offices · 3 to 4
    Mar 28, 2025 to May 2, 2025
  • Accounts · 1,297 to 1,400
    Nov 4, 2024 to Mar 28, 2025
  • HNW clients · 150 to 250
    Nov 4, 2024 to Mar 28, 2025
  • Individual clients · 425 to 350
    Nov 4, 2024 to Mar 28, 2025
  • Assets in custody · $327M to $380M
    Nov 4, 2024 to Mar 28, 2025
  • Insurance-licensed employees · 0 to 1
    Nov 4, 2024 to Mar 28, 2025
  • HQ city · unset to FORT LAUDERDALE
    Nov 4, 2024 to Mar 28, 2025
  • HQ state · unset to FL
    Nov 4, 2024 to Mar 28, 2025
  • State-registered IARs · 5 to 6
    Nov 4, 2024 to Mar 28, 2025
  • Discretionary RAUM · $327M to $380M
    Nov 4, 2024 to Mar 28, 2025
  • HNW RAUM · $162M to $320M
    Nov 4, 2024 to Mar 28, 2025
  • Individual RAUM · $235M to $135M
    Nov 4, 2024 to Mar 28, 2025
Signals
13 dated events
  • I••••••••• F•••••••• S••••••••• L•• reported RAUM $0, down 100% from $322.0M (2026-06-16 to 2026-08-28)
    Aug 28, 2026 · RAUM change · derived
  • W••••• J••••• M••••• left I••••••••• F•••••••• S••••••••• L•• for E••••• W•••••• L•• (registered 2026-03-05)
    Jul 31, 2026 · Advisor changed firm · fact
  • K•••••• W•••• M••••• left I••••••••• F•••••••• S••••••••• L•• for E••••• W•••••• L•• (registered 2026-02-25)
    Jul 31, 2026 · Advisor changed firm · fact
  • R•• L•••••• M••••• left I••••••••• F•••••••• S••••••••• L•• for E••••• W•••••• L•• (registered 2026-06-26)
    Jul 31, 2026 · Advisor changed firm · fact
  • K•••• G••• B•••• left I••••••••• F•••••••• S••••••••• L•• for F•••••••• P••••••• S•••••••• I••• (registered 2021-06-09)
    Jul 31, 2026 · Advisor changed firm · fact
  • P••••• C•••••• M••••• left I••••••••• F•••••••• S••••••••• L•• for E••••• W•••••• L•• (registered 2026-02-25)
    Jul 31, 2026 · Advisor changed firm · fact
  • 2 advisors left I••••••••• F•••••••• S••••••••• L•• (Fort Lauderdale, FL) for E••••• W•••••• L•• on the same day
    Jul 31, 2026 · Team lift-out · derived
  • 2 advisors left I••••••••• F•••••••• S••••••••• L•• (Charlotte, NC) for E••••• W•••••• L•• on the same day
    Jul 31, 2026 · Team lift-out · derived
  • I••••••••• F•••••••• S••••••••• L•• reported RAUM $322.0M, down 29% from $455.0M (2026-02-25 to 2026-03-31)
    Mar 31, 2026 · RAUM change · derived
  • C••••••••• R•••••• F••••• left I••••••••• F•••••••• S••••••••• L•• for F•••••••• P••••••• S•••••••• I••• (registered 2024-03-21)
    Nov 11, 2025 · Advisor changed firm · fact
  • I••••••••• F•••••••• S••••••••• L•• reported RAUM $397.7M, up 36% from $292.0M (2023-11-30 to 2024-03-29)
    Mar 29, 2024 · RAUM change · derived
  • Marie Kathleen Pratt (Chief Compliance Officer) appeared on Schedule A of I••••••••• F•••••••• S••••••••• L••
    Mar 29, 2024 · Control person joined · fact
  • I••••••••• F•••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
    Jul 29, 2015 · 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
954-526-8339reportedpublic record, Form ADV, Aug 28, 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