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.
Former SEC-registered adviser
Avalon
Legal name Rowe Wealth Management LLC
Latest filing Apr 27, 2026
First filing on the tape Apr 27, 2026 · 1 filings
RAUM
$31.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$31.4M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Apr 27, 2026; every figure names its basis
- RAUM per advisor
- $31.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $296,627derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $30.1M, 37 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$19.1M61%
- Individuals$12.3M39%
- Individual clients
- 26reported
- HNW clients
- 15reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 106reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.1M for 37 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Eugene SchmidtChartered Financial Analyst | Boca Raton, Fl | Mar 4, 2025 | 32 y | 1 |
Advisor movement
Left, latest
- Douglas Bontempo Frawley to Gwn Securities Inc.Mar 25, 2025 · Other
- Michael James Reilly to Mint Asset Management LLCSep 23, 2024 · Other
- Tyler Thomas Bashaw to Nfsg CorporationJun 16, 2015 · Other
Joined, latest
- Michael Eugene Schmidt from Coastal Asset ManagementMar 4, 2025 · Other
- Douglas Bontempo Frawley from Fisher InvestmentsMar 28, 2024 · RIA to a state-registered adviser
- Michael James Reilly from Unified Wealth Management, LLCJan 4, 2016 · Other
- Tyler Thomas Bashaw from Gunnallen Financial, IncFeb 20, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Boca Raton, Fl · principal | 1 | 0 | 0 | ||
| Avon, Ct | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
2 dated events
- Douglas Bontempo Frawley left Avalon for Gwn Securities Inc. (registered 2025-03-20)Mar 25, 2025 · Advisor changed firm · fact
- Michael James Reilly left Avalon for Mint Asset Management Llc (registered 2024-04-15)Sep 23, 2024 · 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.
How to reach
public business contact points only, each with its source
- Website
- avaloninvest.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (866) 711-2836reportedpublic record, Form ADV, Apr 27, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026