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
P••••• W••••• M•••••••••
Legal name B•••••••• W••••• M••••••••• L••
Latest filing Aug 31, 2026
First filing on the tape Dec 10, 2021 · 23 filings
SEC status approved since Jan 10, 2022
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$143M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$36.4M
derived; firm RAUM over IAPD count
Employees
19
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$146M as of Aug 31, 2026
Jun 2, 2022$108M then
HNW client RAUM$16.9M as of Aug 31, 2026
Jun 2, 2022$22.8M then
State-registered IARs (5.B.3)5 as of Aug 31, 2026
Jun 2, 20223 then
Employees (5.A)19 as of Aug 31, 2026
Jun 2, 20225 then
Private funds: no history
RAUM -6.6% over the last fiscal year+16% a year over threeIARs 2 to 5offices 1 to 3
Practice profile
derived from the filing of Aug 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $36.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 315derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $50,652derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.8derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +150%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +34%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$126M87%
- High-net-worth individuals$16.9M12%
- Charitable organizations$1.7M1.2%
- Pension and profit-sharing plans$658,7790.5%
- Corporations and businesses$147,7870.1%
- Individual clients
- 1,249reported
- HNW clients
- 12reported
- Pension plan clients
- 21reported
- Charitable clients
- n/areported
- Accounts
- 2,877reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••••••• A••• L••••••Certified Financial Planner | The Villages, Fl | May 2, 2014 | 33 y | 2 |
| K•••• E••••• B•••••••Certified Financial Planner | Yalaha, Fl | Apr 30, 2015 | 21 y | 2 |
| J•••• R•••• V••• | The Villages, Fl | Feb 28, 2025 | 12 y | 2 |
| M•••••• W•••••• S•••• | The Villages, Fl | Mar 9, 2026 | 12 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
- L••• L••••••• S••••••• to C••••••••• W•••••• L••Jan 11, 2021 · RIA to RIA
- S•••••• J•••• S•••••••• to C••••••••• W•••••• L••Nov 2, 2020 · RIA to RIA
- B•••• R••••• W••• to A••••••••• F•••••••• S•••••••• L••Sep 19, 2019 · RIA to affiliated broker-dealer or bank
- B••• A••• P•••••••• to G••••• R•••••• R••••••••• L••Jun 26, 2018 · RIA to RIA
- C•••••••• C•••• H••••• to A••••••••• F•••••••• S•••••••• L••May 16, 2017 · RIA to affiliated broker-dealer or bank
Joined, latest
- J•••• R•••• V••• from W•••• F•••• A•••••••Feb 28, 2025 · Wirehouse to independent RIA
- L••• L••••••• S••••••• from M•• S••••••••• L••Oct 6, 2020 · Other
- B•••• R••••• W••• from W•••• F•••• A•••••••Aug 13, 2019 · Wirehouse to independent RIA
- B••• A••• P•••••••• from B••••• H••• I••••••••• A•••••••• L••Jun 6, 2016 · Other
- C•••••••• C•••• H••••• from A••••••••• F•••••••• S•••••••• L••Feb 23, 2016 · Affiliated broker-dealer or bank to independent RIA
- K•••• E••••• B••••••• from S•••••••• A••••••• L••Apr 30, 2015 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• J•••• B••••• · Managercontrolsince 08/2023 · owns less than 5%
- A•••••••• S••••• E•••••••• · Chief Compliance Officersince 04/2023 · owns less than 5%
- E••••••• S•••••• H••••• · Treasurersince 08/2023 · owns less than 5%
Entity owners
- R•• I•••••••• B••••••••• I••• · Ownerdirect · owns 75% or more
- A•••••••• R••• M••••••••• G••••• I••• · Shareholderindirect · owns 75% or more of R•• I•••••••• B••••••••• I•••
- K•••• •••• I•••••••• L••• · Shareholderindirect · owns 50% to 75% of R•• T••••• I•••
- K•••• G• X• L•• · General Partnerindirect · owns F of K•••• •••• I•••••••• L•••
- R•• H•••••• I••• · Shareholderindirect · owns 75% or more of R•• P•••••• I•••
- R•• P•••••• I••• · Shareholderindirect · owns 75% or more of A•••••••• R••• M••••••••• G••••• I•••
- R•• T••••• I••• · Shareholderindirect · owns 75% or more of R•• H•••••• I•••
Related persons
Schedule D 7.A
- K••••••• L•••••• C••• L••insurancen
- P••••• F•••••••• G••••• L••real estaten
- P••••• T•• S•••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| The Villages, Fl · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Aug 31, 2026private clients per advisor of 315.2 against a peer median of 57.3 (3076 comparable advisers, 99.0th percentile, 7.4 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 99% percentile
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 32.0% to 12.0% between the annual amendments of 2025-04-04 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,940 to 2,877Feb 24, 2026 to Mar 31, 2026
- Advisory employees · 2 to 5Feb 24, 2026 to Mar 31, 2026
- HNW clients · 50 to 12Feb 24, 2026 to Mar 31, 2026
- Individual clients · 888 to 1,249Feb 24, 2026 to Mar 31, 2026
- Pension plan clients · unset to 21.0Feb 24, 2026 to Mar 31, 2026
- Employees · 14 to 19Feb 24, 2026 to Mar 31, 2026
- State-registered IARs · 2 to 5Feb 24, 2026 to Mar 31, 2026
- Other offices · 2 to 3Feb 24, 2026 to Mar 31, 2026
- Discretionary RAUM · $156M to $146MFeb 24, 2026 to Mar 31, 2026
- HNW RAUM · $50.2M to $16.9MFeb 24, 2026 to Mar 31, 2026
- Individual RAUM · $103M to $126MFeb 24, 2026 to Mar 31, 2026
- Pension RAUM · $875,459 to $658,779Feb 24, 2026 to Mar 31, 2026
- RAUM · $156M to $146MFeb 24, 2026 to Mar 31, 2026
- Other offices · 1 to 2Aug 29, 2025 to Jan 15, 2026
- Financial planning clients · unset to Apr 4, 2025 to May 5, 2025
- Other offices · 0 to 1Feb 26, 2025 to Apr 4, 2025
- Accounts · 1,644 to 1,940Oct 30, 2024 to Feb 26, 2025
- Advisory activities · 4 to 2Oct 30, 2024 to Feb 26, 2025
- Business name · B•••••••• W••••• M••••••••• to P••••• W••••• M•••••••••Oct 30, 2024 to Feb 26, 2025
- HNW clients · 8 to 50Oct 30, 2024 to Feb 26, 2025
- Individual clients · 752 to 888Oct 30, 2024 to Feb 26, 2025
- Employees · 9 to 14Oct 30, 2024 to Feb 26, 2025
- Financial planning clients · 0 to unsetOct 30, 2024 to Feb 26, 2025
- Discretionary RAUM · $109M to $156MOct 30, 2024 to Feb 26, 2025
- HNW RAUM · $11.2M to $50.2MOct 30, 2024 to Feb 26, 2025
- Individual RAUM · $95.7M to $103MOct 30, 2024 to Feb 26, 2025
- Pension RAUM · $183,944 to $875,459Oct 30, 2024 to Feb 26, 2025
- RAUM · $109M to $156MOct 30, 2024 to Feb 26, 2025
- Accounts · 1,236 to 1,644Nov 22, 2023 to Mar 29, 2024
- HNW clients · 10 to 8Nov 22, 2023 to Mar 29, 2024
- Individual clients · 810 to 752Nov 22, 2023 to Mar 29, 2024
- Employees · 8 to 9Nov 22, 2023 to Mar 29, 2024
- Discretionary RAUM · $94.0M to $109MNov 22, 2023 to Mar 29, 2024
- HNW RAUM · $24.6M to $11.2MNov 22, 2023 to Mar 29, 2024
- Individual RAUM · $68.8M to $95.7MNov 22, 2023 to Mar 29, 2024
- Pension RAUM · $652,134 to $183,944Nov 22, 2023 to Mar 29, 2024
- RAUM · $94.0M to $109MNov 22, 2023 to Mar 29, 2024
- Advisory activities · 3 to 4Nov 3, 2023 to Nov 22, 2023
- Financial planning clients · unset to 0Nov 3, 2023 to Nov 22, 2023
- Employees · 6 to 8May 19, 2023 to Sep 29, 2023
Signals
8 dated events
- Marie Natalie Logan (Secretary) no longer on Schedule A of P••••• W••••• M••••••••• (listed 2024-03-29, absent 2024-09-16)Sep 16, 2024 · Control person left · inference
- H••••• S••••• E•••••• (Treasurer) appeared on Schedule A of P••••• W••••• M•••••••••Sep 29, 2023 · Control person joined · fact
- Barton John Greenbaum (Manager) appeared on Schedule A of P••••• W••••• M•••••••••Sep 29, 2023 · Control person joined · fact
- Marie Natalie Logan (Secretary) appeared on Schedule A of P••••• W••••• M•••••••••Sep 29, 2023 · Control person joined · fact
- Jacques Gregory Parady (Manager) no longer on Schedule A of P••••• W••••• M••••••••• (listed 2023-05-19, absent 2023-09-29)Sep 29, 2023 · Control person left · inference
- Lynn Hillary Grandbois-Goecke (Chief Compliance Officer) no longer on Schedule A of P••••• W••••• M••••••••• (listed 2023-03-30, absent 2023-05-19)May 19, 2023 · Control person left · inference
- Elisabeth Sarah Alderman (Chief Compliance Officer) appeared on Schedule A of P••••• W••••• M•••••••••May 19, 2023 · Control person joined · fact
- B•••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Dec 10, 2021 · 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
- Principal office phone
- 352-674-3911reportedpublic record, Form ADV, Aug 31, 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
- $36.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026