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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••••••• W••••• M••••••••• C••••
Latest filing Jul 2, 2026
First filing on the tape Apr 29, 2021 · 9 filings
SEC status approved since Jun 1, 2021
RAUM
$109M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$108M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$27.4M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$109M as of Jul 2, 2026
Mar 31, 2022$148M then
HNW client RAUM$55.9M as of Jul 2, 2026
Mar 31, 2022$68.1M then
State-registered IARs (5.B.3)3 as of Jul 2, 2026
Mar 31, 20223 then
Employees (5.A)5 as of Jul 2, 2026
Mar 31, 20225 then
Private funds: no history
RAUM +19% over the last fiscal year-3.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 2, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $27.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $300,679derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.6%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publications, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$55.9M51%
- Individuals$52.3M48%
- Pension and profit-sharing plans$1.2M1.1%
- Individual clients
- 262reported
- HNW clients
- 24reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 364reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• D••• K•••• | Lakeland, Fl | Jan 29, 2024 | 31 y | 3 |
| J••••••• T••••• S••••Chartered Financial Analyst | Lakeland, Fl | Nov 13, 2024 | 13 y | 0 |
| A•••• R•• M••••••••• | Lakeland, Fl | Jan 2, 2025 | 39 y | 4 |
| Z•••••••• D•••• K•••• | San Jose, Ca | Jul 14, 2026 | 12 y | 0 |
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
- A•••• R•• M••••••••• from C••••••••• S••••••••• L••Jan 2, 2025 · RIA to RIA
- C••••••••• D••• K•••• from C••••••••• S••••••••• L••Jan 29, 2024 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• A••••• R•• · President/Ccocontrolsince 08/2012 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Lakeland, Fl · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Prairie Du Sac, WI1 employees
What changed
consecutive filings, newest first
- Accounts · 314 to 364Mar 27, 2025 to Mar 30, 2026
- HNW clients · 14 to 24Mar 27, 2025 to Mar 30, 2026
- Individual clients · 299 to 262Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $91.0M to $108MMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $33.6M to $55.9MMar 27, 2025 to Mar 30, 2026
- Individual RAUM · $57.4M to $52.3MMar 27, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.1M to $1.2MMar 27, 2025 to Mar 30, 2026
- Pension RAUM · $1.1M to $1.2MMar 27, 2025 to Mar 30, 2026
- RAUM · $92.1M to $109MMar 27, 2025 to Mar 30, 2026
- Accounts · 329 to 314Mar 13, 2024 to Mar 27, 2025
- Corporate clients · unset to 0.0Mar 13, 2024 to Mar 27, 2025
- HNW clients · 23 to 14Mar 13, 2024 to Mar 27, 2025
- Individual clients · 308 to 299Mar 13, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 13, 2024 to Mar 27, 2025
- Discretionary RAUM · $88.4M to $91.0MMar 13, 2024 to Mar 27, 2025
- HNW RAUM · $38.8M to $33.6MMar 13, 2024 to Mar 27, 2025
- Individual RAUM · $49.6M to $57.4MMar 13, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $2.4M to $1.1MMar 13, 2024 to Mar 27, 2025
- Pension RAUM · $1.0M to $1.1MMar 13, 2024 to Mar 27, 2025
- RAUM · $90.8M to $92.1MMar 13, 2024 to Mar 27, 2025
- Accounts · 347 to 329Mar 31, 2023 to Mar 13, 2024
- HNW clients · 20 to 23Mar 31, 2023 to Mar 13, 2024
- Individual clients · 325 to 308Mar 31, 2023 to Mar 13, 2024
- Discretionary RAUM · $121M to $88.4MMar 31, 2023 to Mar 13, 2024
- HNW RAUM · $58.1M to $38.8MMar 31, 2023 to Mar 13, 2024
- Individual RAUM · $62.7M to $49.6MMar 31, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $2.4M to $2.4MMar 31, 2023 to Mar 13, 2024
- Pension RAUM · $1.1M to $1.0MMar 31, 2023 to Mar 13, 2024
- RAUM · $123M to $90.8MMar 31, 2023 to Mar 13, 2024
- Accounts · 376 to 347Dec 22, 2022 to Mar 31, 2023
- HNW clients · 16 to 20Dec 22, 2022 to Mar 31, 2023
- Individual clients · 360 to 325Dec 22, 2022 to Mar 31, 2023
- Discretionary RAUM · $146M to $121MDec 22, 2022 to Mar 31, 2023
- HNW RAUM · $68.1M to $58.1MDec 22, 2022 to Mar 31, 2023
- Individual RAUM · $77.1M to $62.7MDec 22, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $1.6M to $2.4MDec 22, 2022 to Mar 31, 2023
- Pension RAUM · $1.4M to $1.1MDec 22, 2022 to Mar 31, 2023
- RAUM · $148M to $123MDec 22, 2022 to Mar 31, 2023
- Accounts · 350 to 376Dec 23, 2021 to Mar 31, 2022
- Corporate clients · 0.0 to unsetDec 23, 2021 to Mar 31, 2022
Signals
1 dated events
- C••••••• W••••• M••••••••• C•••• filed its initial SEC registration (Form ADV)Apr 29, 2021 · 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
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-596-9886reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (866) 596-9886reportedpublic record, Form ADV, Jul 2, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $27.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026