DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

F•••••••• W••••• A•••••••• L••

Former SEC-registered adviserSarasota, FloridaCRD 170709SEC 801-113149website IAPD

Latest filing Feb 21, 2025

First filing on the tape Apr 4, 2018 · 19 filings

SEC status approved since May 4, 2018

RAUM

$114M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

98%

$111M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$114M as of Feb 21, 2025

Feb 19, 2019$108M then

HNW client RAUM$109M as of Feb 21, 2025

Feb 19, 2019$104M then

State-registered IARs (5.B.3)1 as of Feb 21, 2025

Feb 19, 20191 then

Employees (5.A)1 as of Feb 21, 2025

Feb 19, 20192 then

Private funds: no history

RAUM +13% over the last fiscal year+16% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Feb 21, 2025; every figure names its basis

RAUM per advisor: $114MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 53derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.4MderivedHNW RAUM over HNW clients
Average account: $1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +13%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +13%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Custody: $112M, 53 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$109M95%
Individuals$2.6M2.3%
Charitable organizations$2.3M2.0%
Corporations and businesses$529,8130.5%

Individual clients: 8reported
HNW clients: 45reported
Pension plan clients: n/areported
Charitable clients: 1reported
Accounts: 103reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $112M for 53 clientsreported
Compensation: % of AUM, fixedreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

R••••• S•••• C•••••• to W•••••• A•••••••• L••
Jul 16, 2025 · RIA to RIA

Joined, latest

R••••• S•••• C•••••• from P•• W••••• M•••••••••
Jul 2, 2014 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••••• R••••• S•••• · Principal And Chief Compliance Officercontrol
since 03/2014 · 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
Sarasota, Fl · principal	0	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 87 to 103
May 28, 2024 to Feb 21, 2025
HNW clients · 38 to 45
May 28, 2024 to Feb 21, 2025
Individual clients · 9 to 8
May 28, 2024 to Feb 21, 2025
Assets in custody · $99.3M to $112M
May 28, 2024 to Feb 21, 2025
HQ city · unset to SARASOTA
May 28, 2024 to Feb 21, 2025
HQ state · unset to FL
May 28, 2024 to Feb 21, 2025
Discretionary RAUM · $101M to $114M
May 28, 2024 to Feb 21, 2025
HNW RAUM · $95.8M to $109M
May 28, 2024 to Feb 21, 2025
Individual RAUM · $1.9M to $2.6M
May 28, 2024 to Feb 21, 2025
RAUM · $101M to $114M
May 28, 2024 to Feb 21, 2025
HQ city · SARASOTA to unset
Feb 7, 2024 to May 1, 2024
HQ state · FL to unset
Feb 7, 2024 to May 1, 2024
Accounts · 80 to 87
Mar 29, 2023 to Feb 7, 2024
Corporate clients · unset to 1.0
Mar 29, 2023 to Feb 7, 2024
HNW clients · 39 to 38
Mar 29, 2023 to Feb 7, 2024
Individual clients · 7 to 9
Mar 29, 2023 to Feb 7, 2024
Assets in custody · $83.6M to $99.3M
Mar 29, 2023 to Feb 7, 2024
Discretionary RAUM · $91.8M to $101M
Mar 29, 2023 to Feb 7, 2024
HNW RAUM · $87.3M to $95.8M
Mar 29, 2023 to Feb 7, 2024
Individual RAUM · $1.7M to $1.9M
Mar 29, 2023 to Feb 7, 2024
RAUM · $91.8M to $101M
Mar 29, 2023 to Feb 7, 2024
HNW clients · 35 to 39
Feb 10, 2023 to Mar 29, 2023
Discretionary RAUM · $91.0M to $91.8M
Feb 10, 2023 to Mar 29, 2023
HNW RAUM · $86.4M to $87.3M
Feb 10, 2023 to Mar 29, 2023
Individual RAUM · $1.6M to $1.7M
Feb 10, 2023 to Mar 29, 2023
RAUM · $91.0M to $91.8M
Feb 10, 2023 to Mar 29, 2023
Accounts · 79 to 80
Oct 5, 2022 to Feb 10, 2023
Charity clients · unset to 1.0
Oct 5, 2022 to Feb 10, 2023
HNW clients · 40 to 35
Oct 5, 2022 to Feb 10, 2023
Assets in custody · $72.2M to $83.6M
Oct 5, 2022 to Feb 10, 2023
Discretionary RAUM · $72.2M to $91.0M
Oct 5, 2022 to Feb 10, 2023
HNW RAUM · $69.0M to $86.4M
Oct 5, 2022 to Feb 10, 2023
Individual RAUM · $3.3M to $1.6M
Oct 5, 2022 to Feb 10, 2023
RAUM · $72.2M to $91.0M
Oct 5, 2022 to Feb 10, 2023
Advisory activities · 3 to 2
Sep 29, 2022 to Oct 5, 2022
Advisory activities · 2 to 3
Aug 11, 2022 to Sep 29, 2022
Accounts · 67 to 79
Feb 17, 2021 to Mar 14, 2022
HNW clients · 26 to 40
Feb 17, 2021 to Mar 14, 2022
Individual clients · 12 to 7
Feb 17, 2021 to Mar 14, 2022
Assets in custody · $59.0M to $72.2M
Feb 17, 2021 to Mar 14, 2022

Signals

4 dated events

F•••••••• W••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $114.1M)
Aug 1, 2025 · Left the SEC roster · derived
R••••• S•••• C•••••• left F•••••••• W••••• A•••••••• L•• for W•••••• A•••••••• L•• (registered 2025-04-24)
Jul 16, 2025 · Advisor changed firm · fact
F•••••••• W••••• A•••••••• L•• reported RAUM $72.2M, down 70% from $238.5M (2021-02-17 to 2022-03-14)
Mar 14, 2022 · RAUM change · derived
F•••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Apr 4, 2018 · 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.

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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026