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
R•• W••••• M•••••••••
Legal name R•• W••••• M••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Aug 5, 2014 · 7 filings
SEC status approved since May 28, 2025
RAUM
$197M
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
74%
$147M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$197M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$197M as of Mar 20, 2026
Mar 20, 2015$55.6M then
HNW client RAUM$144M as of Mar 20, 2026
Apr 25, 2025$110M then
State-registered IARs (5.B.3)1 as of Mar 20, 2026
Mar 20, 20151 then
Employees (5.A)2 as of Mar 20, 2026
Mar 20, 20152 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $197MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.1MderivedHNW RAUM over HNW clients
- Average account
- $3.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 75%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $197M, 60 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$144M73%
- Insurance companies$48.3M25%
- Individuals$2.4M1.2%
- Pension and profit-sharing plans$1.6M0.8%
- Charitable organizations$303,8330.2%
- Corporations and businesses$1,5270.0%
- Individual clients
- 10reported
- HNW clients
- 11reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 60reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $197M for 60 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.74 fund_share=0.0 institutional_share=0.26 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• E••••• I•••• | Tampa, Fl | Nov 4, 2014 | 25 y | 4 |
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
- R•••••• E••••• I•••• from B•• M••••• S••••••••• C•••••••••Nov 4, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I••••• R••••••• E••••• · President, Chief Executive Officer And Chief Compliance Officercontrolsince 06/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 53 to 60Apr 25, 2025 to Mar 20, 2026
- Charity clients · unset to 1.0Apr 25, 2025 to Mar 20, 2026
- Corporate clients · unset to 1.0Apr 25, 2025 to Mar 20, 2026
- HNW clients · 9 to 11Apr 25, 2025 to Mar 20, 2026
- Individual clients · 13 to 10Apr 25, 2025 to Mar 20, 2026
- Assets in custody · $163M to $197MApr 25, 2025 to Mar 20, 2026
- Discretionary RAUM · $117M to $148MApr 25, 2025 to Mar 20, 2026
- HNW RAUM · $110M to $144MApr 25, 2025 to Mar 20, 2026
- Individual RAUM · $5.1M to $2.4MApr 25, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $46.2M to $48.3MApr 25, 2025 to Mar 20, 2026
- Pension RAUM · $1.3M to $1.6MApr 25, 2025 to Mar 20, 2026
- RAUM · $163M to $197MApr 25, 2025 to Mar 20, 2026
- Accounts · 4 to 53Jun 10, 2015 to Apr 25, 2025
- HNW clients · unset to 9.0Jun 10, 2015 to Apr 25, 2025
- Individual clients · unset to 13.0Jun 10, 2015 to Apr 25, 2025
- Pension plan clients · unset to 2.0Jun 10, 2015 to Apr 25, 2025
- Assets in custody · $0 to $163MJun 10, 2015 to Apr 25, 2025
- Financial planning clients · 0 to Jun 10, 2015 to Apr 25, 2025
- HQ city · TAMPA to Jun 10, 2015 to Apr 25, 2025
- HQ state · FL to Jun 10, 2015 to Apr 25, 2025
- Other offices · unset to 0.0Jun 10, 2015 to Apr 25, 2025
- Discretionary RAUM · $51.0M to $117MJun 10, 2015 to Apr 25, 2025
- HNW RAUM · unset to 110497385.0Jun 10, 2015 to Apr 25, 2025
- Individual RAUM · unset to 5053081.0Jun 10, 2015 to Apr 25, 2025
- Non-discretionary RAUM · $4.6M to $46.2MJun 10, 2015 to Apr 25, 2025
- Pension RAUM · unset to 1264373.0Jun 10, 2015 to Apr 25, 2025
- RAUM · $55.6M to $163MJun 10, 2015 to Apr 25, 2025
- Business name · R•• W••••• M••••••••• L•• to R•• W••••• M•••••••••Mar 20, 2015 to Jun 10, 2015
- Accounts · 5 to 4Jan 12, 2015 to Mar 20, 2015
- Discretionary RAUM · $19.0M to $51.0MJan 12, 2015 to Mar 20, 2015
- Non-discretionary RAUM · $5.0M to $4.6MJan 12, 2015 to Mar 20, 2015
- RAUM · $24.0M to $55.6MJan 12, 2015 to Mar 20, 2015
- Advisory activities · 3 to 4Dec 11, 2014 to Jan 12, 2015
- Custody of client assets · false to trueDec 11, 2014 to Jan 12, 2015
- Accounts · unset to 5.0Aug 5, 2014 to Dec 11, 2014
- Employees · 1 to 2Aug 5, 2014 to Dec 11, 2014
- Financial planning clients · unset to 0Aug 5, 2014 to Dec 11, 2014
- State-registered IARs · 0 to 1Aug 5, 2014 to Dec 11, 2014
- Discretionary RAUM · unset to 19000000.0Aug 5, 2014 to Dec 11, 2014
- Non-discretionary RAUM · unset to 5000000.0Aug 5, 2014 to Dec 11, 2014
Signals
2 dated events
- R•• W••••• M••••••••• reported RAUM $163.0M, up 193% from $55.6M (2015-06-10 to 2025-04-25)Apr 25, 2025 · RAUM change · derived
- R•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 5, 2014 · 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
- 813-335-1757reportedpublic record, Form ADV, Mar 20, 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
- $197Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026