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
R•••••••• A•••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Jun 6, 2013 · 28 filings
SEC status approved since Jun 17, 2013
RAUM
$184M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$184M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$92.2M
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
28 filings and snapshots on the tape
RAUM$184M as of Mar 24, 2026
Mar 6, 2014$131M then
HNW client RAUM$154M as of Mar 24, 2026
Mar 13, 2018$138M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Mar 6, 20141 then
Employees (5.A)3 as of Mar 24, 2026
Mar 6, 20142 then
Private funds: no history
RAUM +4.0% over the last fiscal year+4.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 24, 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
- $92.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.7MderivedHNW RAUM over HNW clients
- Average account
- $539,279derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $2.2M, 6 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$154M83%
- Individuals$30.6M17%
- Individual clients
- 80reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 342reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.2M for 6 clientsreported
- Compensation
- % of AUMreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••••• S•••••• R••• | Winter Park, Fl | Aug 5, 2013 | 31 y | 1 |
| L••• A•• G••••••••• | Winter Park, Fl | Dec 21, 2016 | 10 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
- T••••••• S•••••• R••• from P••••••••• I••••••••• L••Aug 5, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• T•••••••• S•••••• · President/Chief Compliance Officercontrolsince 01/2013 · 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 |
|---|---|---|---|---|---|
| Winter Park, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boulder, CO1 employees
What changed
consecutive filings, newest first
- Accounts · 346 to 342Mar 14, 2025 to Mar 24, 2026
- HNW clients · 22 to 23Mar 14, 2025 to Mar 24, 2026
- Individual clients · 86 to 80Mar 14, 2025 to Mar 24, 2026
- Assets in custody · $2.0M to $2.2MMar 14, 2025 to Mar 24, 2026
- Discretionary RAUM · $176M to $184MMar 14, 2025 to Mar 24, 2026
- HNW RAUM · $142M to $154MMar 14, 2025 to Mar 24, 2026
- Individual RAUM · $35.1M to $30.6MMar 14, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $1.2M to $636,803Mar 14, 2025 to Mar 24, 2026
- RAUM · $177M to $184MMar 14, 2025 to Mar 24, 2026
- Accounts · 333 to 346Nov 11, 2024 to Mar 14, 2025
- HNW clients · 24 to 22Nov 11, 2024 to Mar 14, 2025
- Individual clients · 76 to 86Nov 11, 2024 to Mar 14, 2025
- Assets in custody · $112,708 to $2.0MNov 11, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 0Nov 11, 2024 to Mar 14, 2025
- Other offices · 1 to 0Nov 11, 2024 to Mar 14, 2025
- Discretionary RAUM · $168M to $176MNov 11, 2024 to Mar 14, 2025
- HNW RAUM · $146M to $142MNov 11, 2024 to Mar 14, 2025
- Individual RAUM · $22.0M to $35.1MNov 11, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $992,834 to $1.2MNov 11, 2024 to Mar 14, 2025
- Pension RAUM · 738666.0 to unsetNov 11, 2024 to Mar 14, 2025
- RAUM · $169M to $177MNov 11, 2024 to Mar 14, 2025
- Accounts · 332 to 333Dec 7, 2023 to Mar 22, 2024
- Charity clients · 0.0 to unsetDec 7, 2023 to Mar 22, 2024
- Corporate clients · 0.0 to unsetDec 7, 2023 to Mar 22, 2024
- Individual clients · 68 to 76Dec 7, 2023 to Mar 22, 2024
- Pooled vehicle clients · 0.0 to unsetDec 7, 2023 to Mar 22, 2024
- Assets in custody · $569,556 to $112,708Dec 7, 2023 to Mar 22, 2024
- Financial planning clients · 1-10 to 0Dec 7, 2023 to Mar 22, 2024
- Discretionary RAUM · $160M to $168MDec 7, 2023 to Mar 22, 2024
- HNW RAUM · $135M to $146MDec 7, 2023 to Mar 22, 2024
- Individual RAUM · $26.4M to $22.0MDec 7, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $2.1M to $992,834Dec 7, 2023 to Mar 22, 2024
- Pension RAUM · $698,760 to $738,666Dec 7, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · 0.0 to unsetDec 7, 2023 to Mar 22, 2024
- RAUM · $162M to $169MDec 7, 2023 to Mar 22, 2024
- Accounts · 306 to 332Dec 7, 2022 to Mar 15, 2023
- HNW clients · 22 to 24Dec 7, 2022 to Mar 15, 2023
- Individual clients · 64 to 68Dec 7, 2022 to Mar 15, 2023
- Assets in custody · $239,455 to $569,556Dec 7, 2022 to Mar 15, 2023
- Discretionary RAUM · $169M to $160MDec 7, 2022 to Mar 15, 2023
Signals
1 dated events
- R•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 6, 2013 · 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
- t••@r••••••••.coreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 407-599-1104reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/16187425reportedpublic record, Form ADV, Sep 18, 2026
- Website
- r••••••••.coreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 407-599-1104reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- r••••••••.coreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- r••••••••.coreportedpublished 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
- $92.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026