DFX Intelligence
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B••••••••• A•••••••• L••
Independent wealth manager, based in Tampa, Florida, reporting $304M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $304M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +9.8%
- Private clients
- 97% of RAUM, $293M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 4
Every filed figure, and the identifiersCRD 169806 · SEC 801-110500 · 19 filingsShowHide
CRD 169806SEC 801-110500First filing on the tape Apr 20, 2017, latest Mar 16, 2026SEC status approved since May 16, 2017IAPD
RAUM
$304M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
97%
$293M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$152M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$304M as of Mar 16, 2026
Mar 26, 2018$177M then
HNW client RAUM$264M as of Mar 16, 2026
Mar 26, 2018$131M then
State-registered IARs (5.B.3)2 as of Mar 16, 2026
Mar 26, 20182 then
Employees (5.A)5 as of Mar 16, 2026
Mar 26, 20185 then
Private funds: no history
RAUM +9.8% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $152MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 137derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $423,062derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $10.5MreportedItem 5.I
- Custody
- $218M, 256 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$264M87%
- Individuals$29.0M9.6%
- Charitable organizations$4.6M1.5%
- Pension and profit-sharing plans$3.1M1.0%
- Corporations and businesses$2.7M0.9%
- Individual clients
- 146reported
- HNW clients
- 127reported
- Pension plan clients
- 3reported
- Charitable clients
- 2reported
- Accounts
- 718reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $218M for 256 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| D•••• C••••• M••••• | Tampa, Fl | May 16, 2014 | 27 y | 3 |
| B•••• W• B•••••••Certified Financial Planner | Tampa, Fl | May 13, 2020 | 21 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
- D•••• C••••• M••••• from W•••• F•••• A•••••••May 16, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• D••••• C••••• · Managing Member, Chief Executive Officer, Chief Compliance Officer, And Chief Investment Officercontrolsince 05/2014 · owns 50% to 75%
- M•••••• K•••••••• N••••• · Member, Chief Financial Officercontrolsince 05/2014 · 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 |
|---|---|---|---|---|---|
| Tampa, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 712 to 718Mar 25, 2025 to Mar 16, 2026
- Corporate clients · 9 to 7Mar 25, 2025 to Mar 16, 2026
- HNW clients · 116 to 127Mar 25, 2025 to Mar 16, 2026
- Individual clients · 143 to 146Mar 25, 2025 to Mar 16, 2026
- Assets in custody · $205M to $218MMar 25, 2025 to Mar 16, 2026
- Employees · 6 to 5Mar 25, 2025 to Mar 16, 2026
- Discretionary RAUM · $261M to $293MMar 25, 2025 to Mar 16, 2026
- HNW RAUM · $229M to $264MMar 25, 2025 to Mar 16, 2026
- Individual RAUM · $38.8M to $29.0MMar 25, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $16.0M to $10.8MMar 25, 2025 to Mar 16, 2026
- Pension RAUM · $2.2M to $3.1MMar 25, 2025 to Mar 16, 2026
- RAUM · $277M to $304MMar 25, 2025 to Mar 16, 2026
- Accounts · 681 to 712Mar 22, 2024 to Mar 25, 2025
- Corporate clients · 6 to 9Mar 22, 2024 to Mar 25, 2025
- HNW clients · 111 to 116Mar 22, 2024 to Mar 25, 2025
- Individual clients · 159 to 143Mar 22, 2024 to Mar 25, 2025
- Assets in custody · $130M to $205MMar 22, 2024 to Mar 25, 2025
- Financial planning clients · 101-250 to 101-250Mar 22, 2024 to Mar 25, 2025
- Discretionary RAUM · $233M to $261MMar 22, 2024 to Mar 25, 2025
- HNW RAUM · $197M to $229MMar 22, 2024 to Mar 25, 2025
- Individual RAUM · $35.7M to $38.8MMar 22, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $7.2M to $16.0MMar 22, 2024 to Mar 25, 2025
- Pension RAUM · $1.7M to $2.2MMar 22, 2024 to Mar 25, 2025
- RAUM · $240M to $277MMar 22, 2024 to Mar 25, 2025
- Accounts · 664 to 681Mar 29, 2023 to Mar 22, 2024
- Corporate clients · 2 to 6Mar 29, 2023 to Mar 22, 2024
- HNW clients · 88 to 111Mar 29, 2023 to Mar 22, 2024
- Individual clients · 164 to 159Mar 29, 2023 to Mar 22, 2024
- Pension plan clients · 2 to 3Mar 29, 2023 to Mar 22, 2024
- Assets in custody · $129M to $130MMar 29, 2023 to Mar 22, 2024
- Discretionary RAUM · $203M to $233MMar 29, 2023 to Mar 22, 2024
- HNW RAUM · $152M to $197MMar 29, 2023 to Mar 22, 2024
- Individual RAUM · $53.2M to $35.7MMar 29, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $7.1M to $7.2MMar 29, 2023 to Mar 22, 2024
- Pension RAUM · $595,846 to $1.7MMar 29, 2023 to Mar 22, 2024
- RAUM · $211M to $240MMar 29, 2023 to Mar 22, 2024
- Accounts · 618 to 664Mar 25, 2022 to Mar 29, 2023
- Corporate clients · 4 to 2Mar 25, 2022 to Mar 29, 2023
- HNW clients · 80 to 88Mar 25, 2022 to Mar 29, 2023
- Individual clients · 158 to 164Mar 25, 2022 to Mar 29, 2023
Signals
1 dated events
- ••• LockedApr 20, 2017 · 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 phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 16, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- ••• Lockedreportedpublished 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
- $152Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026