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
N••• W••••• M••••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Apr 18, 2022 · 17 filings
SEC status approved since May 19, 2023
RAUM
$248M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
100%
$248M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$35.4M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$248M as of Mar 30, 2026
Mar 18, 2024$152M then
HNW client RAUM$194M as of Mar 30, 2026
Mar 18, 2024$102M then
State-registered IARs (5.B.3)7 as of Mar 30, 2026
Mar 18, 20245 then
Employees (5.A)7 as of Mar 30, 2026
Mar 18, 20247 then
Private funds: no history
RAUM +30% over the last fiscal yearIARs 6 to 7offices 1 to 2
Practice profile
derived from the filing of Mar 30, 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
- $35.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $334,923derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%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
- 2.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$194M78%
- Individuals$53.7M22%
- Individual clients
- 203reported
- HNW clients
- 65reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 739reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•• N•••••••••Certified Financial Planner | Bonita Springs, Fl | Jun 1, 2021 | 19 y | 2 |
| J•••• P•••• N••••••••• | Bonita Springs, Fl | Nov 16, 2022 | 24 y | 3 |
| J••• J• G•••••• | Dallas, Tx | Mar 18, 2024 | 18 y | 1 |
| S•••• T•••• N••••• | Bonita Springs, Fl | Jan 1, 2025 | 13 y | 0 |
| T••••• L•••• C•••••• | Bonita Springs, Fl | Jan 1, 2025 | 11 y | 0 |
| S•••••• A•••••••• H•••••••••Certified Financial Planner | Bonita Springs, Fl | Feb 18, 2025 | 10 y | 1 |
| S•••••••• G•••• | Bonita Springs, Fl | Feb 19, 2026 | 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
- C•••••• M•••••• C•••••• to A•••••• C•••••• P••••••• L••Aug 10, 2023 · RIA to RIA
Joined, latest
- S•••••• A•••••••• H••••••••• from W•••• F•••• A•••••••Feb 18, 2025 · Wirehouse to independent RIA
- C•••••• M•••••• C•••••• from E••••• W•••••Apr 13, 2023 · RIA to RIA
- J•••• P•••• N••••••••• from L•• F•••••••• L••Nov 16, 2022 · Other
- A•• N••••••••• from L•• F•••••••• L••Jun 1, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••••• A••• C•••••••• · Chief Compliance Officer/Ceocontrolsince 11/2013 · owns 50% to 75%
- N••••••••• J••••• P•••• · Presidentcontrolsince 11/2013 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Bonita Springs, Fl · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 30, 2026insurance affiliate (Item 7.A.10): yes on the filing of 2026-01-07, no on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Mar 30, 2026wrap fee program participation (Item 5.I): yes on the filing of 2026-01-07, no on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
- custody status changedChange between filings · filing Mar 30, 2026custody of client assets (Item 9.A): yes on the filing of 2026-01-07, no on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 682 to 739Jan 7, 2026 to Mar 30, 2026
- Advisory employees · 6 to 7Jan 7, 2026 to Mar 30, 2026
- HNW clients · 49 to 65Jan 7, 2026 to Mar 30, 2026
- Individual clients · 219 to 203Jan 7, 2026 to Mar 30, 2026
- Assets in custody · $21,902 to $25,000Jan 7, 2026 to Mar 30, 2026
- Custody of client assets · true to falseJan 7, 2026 to Mar 30, 2026
- State-registered IARs · 6 to 7Jan 7, 2026 to Mar 30, 2026
- Discretionary RAUM · $174M to $222MJan 7, 2026 to Mar 30, 2026
- HNW RAUM · $125M to $194MJan 7, 2026 to Mar 30, 2026
- Individual RAUM · $65.6M to $53.7MJan 7, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $16.7M to $25.2MJan 7, 2026 to Mar 30, 2026
- RAUM · $191M to $248MJan 7, 2026 to Mar 30, 2026
- Related insurance company · true to falseJan 7, 2026 to Mar 30, 2026
- Wrap assets (manager) · 0.0 to unsetJan 7, 2026 to Mar 30, 2026
- Wrap assets (sponsor) · 0.0 to unsetJan 7, 2026 to Mar 30, 2026
- Other offices · 1 to 2Jul 31, 2025 to Jan 7, 2026
- Financial planning clients · 1-10 to 1-10Mar 27, 2025 to Jul 31, 2025
- Accounts · 623 to 682Sep 6, 2024 to Mar 27, 2025
- Advisory employees · 5 to 6Sep 6, 2024 to Mar 27, 2025
- BD registered reps · 1 to 0Sep 6, 2024 to Mar 27, 2025
- HNW clients · 43 to 49Sep 6, 2024 to Mar 27, 2025
- Individual clients · 210 to 219Sep 6, 2024 to Mar 27, 2025
- Assets in custody · $500,000 to $21,902Sep 6, 2024 to Mar 27, 2025
- Financial planning clients · 11-25 to 1-10Sep 6, 2024 to Mar 27, 2025
- State-registered IARs · 5 to 6Sep 6, 2024 to Mar 27, 2025
- Discretionary RAUM · $135M to $174MSep 6, 2024 to Mar 27, 2025
- HNW RAUM · $102M to $125MSep 6, 2024 to Mar 27, 2025
- Individual RAUM · $50.3M to $65.6MSep 6, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $16.7M to $16.7MSep 6, 2024 to Mar 27, 2025
- RAUM · $152M to $191MSep 6, 2024 to Mar 27, 2025
- Assets in custody · $0 to $500,000Aug 7, 2024 to Sep 6, 2024
- Custody of client assets · false to trueAug 7, 2024 to Sep 6, 2024
- Custody of client assets · true to falseMar 18, 2024 to Jun 26, 2024
- Other offices · 0 to 1Mar 18, 2024 to Jun 26, 2024
- Accounts · 607 to 623Dec 14, 2023 to Mar 18, 2024
- HNW clients · 31 to 43Dec 14, 2023 to Mar 18, 2024
- Individual clients · 223 to 210Dec 14, 2023 to Mar 18, 2024
- Financial planning clients · 1-10 to 11-25Dec 14, 2023 to Mar 18, 2024
- Discretionary RAUM · $100M to $135MDec 14, 2023 to Mar 18, 2024
- HNW RAUM · $66.1M to $102MDec 14, 2023 to Mar 18, 2024
Signals
2 dated events
- C•••••• M•••••• C•••••• left N••• W••••• M••••••••• I••• for A•••••• C•••••• P••••••• L•• (registered 2024-01-22)Aug 10, 2023 · Advisor changed firm · fact
- N••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Apr 18, 2022 · 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
- Website
- nova.wealth.mgmtreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 239-444-1794reportedpublic record, Form ADV, Mar 30, 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
- $35.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026