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

U••• P•••••• W•••••• L••

Independent wealth managerPalm Beach Gardens, FloridaCRD 167288SEC 801-135084websiteIAPD
Latest filing Mar 20, 2026
First filing on the tape Dec 3, 2025 · 2 filings
SEC status approved since Jan 5, 2026
RAUM
$200M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$200M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$200M as of Mar 20, 2026
Dec 3, 2025$174M then
HNW client RAUM$151M as of Mar 20, 2026
Dec 3, 2025$110M then
State-registered IARs (5.B.3)3 as of Mar 20, 2026
Dec 3, 20253 then
Employees (5.A)3 as of Mar 20, 2026
Dec 3, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 20, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$66.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
63derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$409,667derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 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
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
  • High-net-worth individuals$151M75%
  • Individuals$49.8M25%
Individual clients
127reported
HNW clients
62reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
489reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 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
2 left, 0 joined in 12 months
net -2 in 12 months2 left in 90 days0 joined in 90 days2 left over 36 months
Joined, latest
none on the tape
    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
      • H•••••• D•••••• J•••• · Ccocontrol
        since 04/2025 · 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
      Palm Beach Gardens, Fl · principal0021
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • custody status changedChange between filings · filing Mar 20, 2026
        custody of client assets (Item 9.A): yes on the filing of 2025-12-03, no on the filing of 2026-03-20
        peers: independent wealth managers, $100M to $500M (5,676)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 463 to 489
        Dec 3, 2025 to Mar 20, 2026
      • HNW clients · 50 to 62
        Dec 3, 2025 to Mar 20, 2026
      • Individual clients · 120 to 127
        Dec 3, 2025 to Mar 20, 2026
      • Assets in custody · 107892710.0 to unset
        Dec 3, 2025 to Mar 20, 2026
      • Custody of client assets · true to false
        Dec 3, 2025 to Mar 20, 2026
      • Financial planning clients · 11-25 to 1-10
        Dec 3, 2025 to Mar 20, 2026
      • Discretionary RAUM · $174M to $200M
        Dec 3, 2025 to Mar 20, 2026
      • HNW RAUM · $110M to $151M
        Dec 3, 2025 to Mar 20, 2026
      • Individual RAUM · $63.7M to $49.8M
        Dec 3, 2025 to Mar 20, 2026
      • RAUM · $174M to $200M
        Dec 3, 2025 to Mar 20, 2026
      Signals
      4 dated events
      • D••••• J•••• H••••• left U••• P•••••• W•••••• L•• for 1••• W•••••• L•• (registered 2026-08-06)
        Aug 28, 2026 · Advisor changed firm · fact
      • S••••• M•••••• S•••••• left U••• P•••••• W•••••• L•• for 1••• W•••••• L•• (registered 2026-08-06)
        Aug 28, 2026 · Advisor changed firm · fact
      • 2 advisors left U••• P•••••• W•••••• L•• (Palm Beach Gardens, FL) for 1••• W•••••• L•• on the same day
        Aug 28, 2026 · Team lift-out · derived
      • J••••• M•••••• F••••••••• left U••• P•••••• W•••••• L•• for S••••••••• W••••• M••••••••• G•••• L•• (registered 2022-07-29)
        Jul 26, 2022 · Advisor changed firm · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026