DFX Intelligence
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G•••••••• P•••••• C•••••• M••••••••• I•••
Wealth manager with institutional or fund businessSEC-registered· Sarasota, Florida
Wealth manager with institutional or fund business, based in Sarasota, Florida, reporting $208M 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
- $208M
- Advisors
- 2
- Net advisor flow, 12 months
- +1 (1 in, 0 out)
- RAUM change, last fiscal year
- +29%
- Private clients
- 49% of RAUM, $101M
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
- RAUM a year earlier $162MRAUM now $208M
- Contact points 1
Every filed figure, and the identifiersCRD 172205 · SEC 801-106675 · 18 filingsShowHide
CRD 172205SEC 801-106675First filing on the tape Sep 14, 2015, latest Mar 18, 2026SEC status approved since Sep 29, 2015IAPD
RAUM
$208M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
49%
$101M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$208M as of Mar 18, 2026
Feb 26, 2016$114M then
HNW client RAUM$101M as of Mar 18, 2026
Mar 21, 2018$66.9M then
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Feb 26, 20161 then
Employees (5.A)3 as of Mar 18, 2026
Feb 26, 20161 then
Private funds: no history
RAUM +29% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 37%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
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $33.5M, 10 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)
- 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$101M49%
- Charitable organizations$77.2M37%
- Corporations and businesses$29.8M14%
- Individuals$3,7010.0%
- Individual clients
- n/areported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 101reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $33.5M for 10 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.49 fund_share=0.0 institutional_share=0.37 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 |
|---|---|---|---|---|
| R•••••• T••••• A••••• | Sarasota, Fl | Oct 10, 2025 | 31 y | 2 |
| J•••••• R• M•••••• | Sarasota, Fl | Dec 22, 2025 | 25 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- R•••••• T••••• A••••• from F•••••••• S••••••• N••••••• I••Oct 10, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• J••••••• R• · President; Chief Compliance Officercontrolsince 05/2014 · 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 | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 99 to 101Mar 27, 2025 to Mar 18, 2026
- Charity clients · unset to 5.0Mar 27, 2025 to Mar 18, 2026
- Corporate clients · 9 to 7Mar 27, 2025 to Mar 18, 2026
- HNW clients · 24 to 25Mar 27, 2025 to Mar 18, 2026
- Assets in custody · $10.0M to $33.5MMar 27, 2025 to Mar 18, 2026
- Employees · 2 to 3Mar 27, 2025 to Mar 18, 2026
- Discretionary RAUM · $150M to $208MMar 27, 2025 to Mar 18, 2026
- HNW RAUM · $83.0M to $101MMar 27, 2025 to Mar 18, 2026
- Individual RAUM · $488,207 to $3,701Mar 27, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $11.1M to $0Mar 27, 2025 to Mar 18, 2026
- RAUM · $162M to $208MMar 27, 2025 to Mar 18, 2026
- Accounts · 101 to 99Mar 14, 2024 to Mar 27, 2025
- Corporate clients · 8 to 9Mar 14, 2024 to Mar 27, 2025
- HNW clients · 26 to 24Mar 14, 2024 to Mar 27, 2025
- Assets in custody · unset to 10048806.0Mar 14, 2024 to Mar 27, 2025
- Custody of client assets · false to trueMar 14, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Mar 14, 2024 to Mar 27, 2025
- Discretionary RAUM · $133M to $150MMar 14, 2024 to Mar 27, 2025
- HNW RAUM · $79.2M to $83.0MMar 14, 2024 to Mar 27, 2025
- Individual RAUM · $550,903 to $488,207Mar 14, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $15.1M to $11.1MMar 14, 2024 to Mar 27, 2025
- RAUM · $148M to $162MMar 14, 2024 to Mar 27, 2025
- Accounts · 102 to 101Mar 23, 2023 to Mar 14, 2024
- Corporate clients · 5 to 8Mar 23, 2023 to Mar 14, 2024
- HNW clients · 24 to 26Mar 23, 2023 to Mar 14, 2024
- Individual clients · 14.0 to unsetMar 23, 2023 to Mar 14, 2024
- Discretionary RAUM · $117M to $133MMar 23, 2023 to Mar 14, 2024
- HNW RAUM · $68.7M to $79.2MMar 23, 2023 to Mar 14, 2024
- Individual RAUM · $12.0M to $550,903Mar 23, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $14.1M to $15.1MMar 23, 2023 to Mar 14, 2024
- RAUM · $131M to $148MMar 23, 2023 to Mar 14, 2024
- Accounts · 99 to 102Mar 30, 2022 to Mar 23, 2023
- Charity clients · 5.0 to unsetMar 30, 2022 to Mar 23, 2023
- Corporate clients · 6 to 5Mar 30, 2022 to Mar 23, 2023
- HNW clients · 28 to 24Mar 30, 2022 to Mar 23, 2023
- Individual clients · 13 to 14Mar 30, 2022 to Mar 23, 2023
- Discretionary RAUM · $118M to $117MMar 30, 2022 to Mar 23, 2023
- HNW RAUM · $78.2M to $68.7MMar 30, 2022 to Mar 23, 2023
- Individual RAUM · $8.1M to $12.0MMar 30, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $23.5M to $14.1MMar 30, 2022 to Mar 23, 2023
Signals
1 dated events
- ••• LockedSep 14, 2015 · 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
- ••• Lockedreportedpublic record, Form ADV, Mar 18, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026