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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

I•• C•••••• A•••••••• L••

Former SEC-registered adviserLakeland, FloridaCRD 172408SEC 801-80231IAPD
Latest filing Oct 22, 2018
First filing on the tape Aug 14, 2014 · 9 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$3.2M as of Mar 1, 2018
Feb 3, 2015$832,420 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 1, 2018
Feb 3, 20153 then
Employees (5.A)6 as of Mar 1, 2018
Feb 3, 20157 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Oct 22, 2018; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-18%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 fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for investment companiesreportedItem 5.G
Custody
yesreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• G•••••• L•••• · Managing Member, Ccocontrol
      since 08/2005 · owns 50% to 75%
    • D•••• J••••••• M••••• · Managing Membercontrol
      since 01/2006 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Tampa, FL1 employees
    What changed
    consecutive filings, newest first
    • Assets in custody · unset to 0.0
      Aug 30, 2018 to Oct 4, 2018
    • Custody of client assets · false to true
      Aug 30, 2018 to Oct 4, 2018
    • Accounts · 1 to 0
      Mar 1, 2018 to Aug 30, 2018
    • Advisory activities · 1 to 3
      Mar 1, 2018 to Aug 30, 2018
    • Financial planning clients · unset to 0
      Mar 1, 2018 to Aug 30, 2018
    • Discretionary RAUM · $3.2M to $0
      Mar 1, 2018 to Aug 30, 2018
    • RAUM · $3.2M to $0
      Mar 1, 2018 to Aug 30, 2018
    • Other offices · unset to 1.0
      Feb 14, 2017 to Mar 1, 2018
    • Discretionary RAUM · $3.9M to $3.2M
      Feb 14, 2017 to Mar 1, 2018
    • RAUM · $3.9M to $3.2M
      Feb 14, 2017 to Mar 1, 2018
    • BD registered reps · 3 to 4
      Mar 9, 2016 to Jan 26, 2017
    • Discretionary RAUM · $10.0M to $3.9M
      Mar 9, 2016 to Jan 26, 2017
    • RAUM · $10.0M to $3.9M
      Mar 9, 2016 to Jan 26, 2017
    • Advisory employees · 3 to 2
      Feb 3, 2015 to Mar 9, 2016
    • BD registered reps · 5 to 3
      Feb 3, 2015 to Mar 9, 2016
    • Employees · 7 to 6
      Feb 3, 2015 to Mar 9, 2016
    • State-registered IARs · 3 to 2
      Feb 3, 2015 to Mar 9, 2016
    • Discretionary RAUM · $832,420 to $10.0M
      Feb 3, 2015 to Mar 9, 2016
    • RAUM · $832,420 to $10.0M
      Feb 3, 2015 to Mar 9, 2016
    • Accounts · 0 to 1
      Aug 14, 2014 to Feb 3, 2015
    • Discretionary RAUM · $0 to $832,420
      Aug 14, 2014 to Feb 3, 2015
    • RAUM · $0 to $832,420
      Aug 14, 2014 to Feb 3, 2015
    Signals
    1 dated events
    • I•• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Aug 14, 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.
    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