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
C•••••••• C•••••• W••••• M••••••••• L••
Latest filing May 7, 2026
First filing on the tape Aug 24, 2020 · 33 filings
SEC status approved since Oct 7, 2020
RAUM
$131M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$131M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$43.8M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$131M as of May 7, 2026
Mar 31, 2021$80.0M then
HNW client RAUM$103M as of May 7, 2026
Mar 31, 2021$23.7M then
State-registered IARs (5.B.3)3 as of May 7, 2026
Mar 31, 20216 then
Employees (5.A)5 as of May 7, 2026
Mar 31, 20216 then
Private funds: no history
RAUM +7.7% over the last fiscal year+15% a year over threeIARs 4 to 3offices 3 to 2
Practice profile
derived from the filing of May 7, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $43.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $232,001derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$103M78%
- Individuals$28.5M22%
- Individual clients
- 141reported
- HNW clients
- 66reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 566reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••••• W•••••• F••• | Tampa, Fl | Jun 9, 2015 | 37 y | 3 |
| M•••••• J••••• M•••••• | Tampa, Fl | Jan 3, 2018 | 25 y | 2 |
| G•••••• R•••••• B•••• | Boulder, Co | Jan 28, 2022 | 11 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount5 left over 36 months
Left, latest
- T••••• W•••••• M•••••••• to A••••••• M•••• M••••••••• L••Sep 30, 2025 · RIA to RIA
- A••••• L•• W•••• to G•••••• W••••• P•••••••• L••May 17, 2024 · RIA to RIA
- C•••••• M••••• F•••••• to G•••••• W••••• P•••••••• L••Apr 10, 2024 · RIA to RIA
- D•••••• M•••• W•••• to W•••• C•••••• M••••••••• L••Jan 5, 2024 · Other
- M••• D••••• S•••• to W•••• C•••••• M••••••••• L••Jan 5, 2024 · Other
- S••••• M••• M•••••• to V••• F•••••••• A•••••••• I•••Oct 26, 2020 · RIA to affiliated broker-dealer or bank
- W•••••• D••••• D•••••••• to D•••••••• F•••••••• W••••••• N••••••• L••Dec 6, 2017 · RIA to a state-registered adviser
- C••••• G•••• B•••• to S••••••••• W••••• S••••••••• L••Mar 15, 2017 · RIA to a state-registered adviser
Joined, latest
- T••••• W•••••• M•••••••• from H••••••• W••••• M••••••••• L••May 5, 2023 · RIA to RIA
- G•••••• R•••••• B•••• from P••••••••• I••••••••• L••Jan 28, 2022 · RIA to RIA
- D•••••• M•••• W•••• from U•• F•••••••• S••••••• I•••Dec 14, 2020 · Wirehouse to independent RIA
- M••• D••••• S•••• from U•• F•••••••• S••••••• I•••Dec 14, 2020 · Wirehouse to independent RIA
- M•••••• J••••• M•••••• from M•• I•••••••• S•••••••• L••Jan 3, 2018 · Other
- S••••• M••• M•••••• from C••••••• S••••••••• I•••Aug 24, 2017 · Other
- C•••••• M••••• F•••••• from J• W• C••• A•••••••• I•••Mar 8, 2016 · Other
- C••••• G•••• B•••• from J• W• C••• A•••••••• I•••Mar 8, 2016 · Other
- A••••• L•• W•••• from J• W• C••• A•••••••• I•••Mar 8, 2016 · Other
- L••••••• W•••••• F••• from I••••• F•••••••• C•••••••••Jun 9, 2015 · Other
- W•••••• D••••• D•••••••• from W••••• M••••••••• A•••••••• L••Jun 9, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for W•••• C•••••• M••••••••• L••Jan 5, 2024 · Tampa, Fl
- 3 joined from J• W• C••• A•••••••• I•••Mar 8, 2016 · Tampa, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• L•••••••• W•••••• · Chief Executive Officer, Ccocontrolsince 07/2013 · 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 |
|---|---|---|---|---|---|
| Tampa, Fl · principal | 3 | 0 | 0 | ||
| San Rafael, Ca | 0 | 0 | 1 | ||
| Branchburg, Nj | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boulder, CO1 employees
- Tampa, FL1 employees
- Westport, CT1 employees
What changed
consecutive filings, newest first
- Accounts · 609 to 566Aug 18, 2025 to Mar 27, 2026
- Advisory employees · 4 to 3Aug 18, 2025 to Mar 27, 2026
- HNW clients · 58 to 66Aug 18, 2025 to Mar 27, 2026
- Individual clients · 185 to 141Aug 18, 2025 to Mar 27, 2026
- Employees · 7 to 5Aug 18, 2025 to Mar 27, 2026
- State-registered IARs · 4 to 3Aug 18, 2025 to Mar 27, 2026
- Other offices · 3 to 2Aug 18, 2025 to Mar 27, 2026
- Discretionary RAUM · $122M to $131MAug 18, 2025 to Mar 27, 2026
- HNW RAUM · $86.9M to $103MAug 18, 2025 to Mar 27, 2026
- Individual RAUM · $35.1M to $28.5MAug 18, 2025 to Mar 27, 2026
- RAUM · $122M to $131MAug 18, 2025 to Mar 27, 2026
- Financial planning clients · 51-100 to 51-100May 22, 2025 to Jun 24, 2025
- Accounts · 693 to 609Oct 2, 2024 to Mar 26, 2025
- Advisory activities · 6 to 5Oct 2, 2024 to Mar 26, 2025
- HNW clients · 45 to 58Oct 2, 2024 to Mar 26, 2025
- Individual clients · 241 to 185Oct 2, 2024 to Mar 26, 2025
- Discretionary RAUM · $117M to $122MOct 2, 2024 to Mar 26, 2025
- HNW RAUM · $57.4M to $86.9MOct 2, 2024 to Mar 26, 2025
- Individual RAUM · $59.2M to $35.1MOct 2, 2024 to Mar 26, 2025
- RAUM · $117M to $122MOct 2, 2024 to Mar 26, 2025
- Advisory employees · 6 to 4Mar 22, 2024 to Apr 10, 2024
- BD registered reps · 3 to 1Mar 22, 2024 to Apr 10, 2024
- Employees · 9 to 7Mar 22, 2024 to Apr 10, 2024
- HQ city · WOODBURY to TAMPAMar 22, 2024 to Apr 10, 2024
- HQ state · NY to FLMar 22, 2024 to Apr 10, 2024
- State-registered IARs · 6 to 4Mar 22, 2024 to Apr 10, 2024
- Other offices · 4 to 3Mar 22, 2024 to Apr 10, 2024
- Accounts · 629 to 693Nov 17, 2023 to Mar 22, 2024
- Advisory employees · 8 to 6Nov 17, 2023 to Mar 22, 2024
- HNW clients · 35 to 45Nov 17, 2023 to Mar 22, 2024
- Individual clients · 233 to 241Nov 17, 2023 to Mar 22, 2024
- Employees · 8 to 9Nov 17, 2023 to Mar 22, 2024
- Insurance-licensed employees · 2 to 0Nov 17, 2023 to Mar 22, 2024
- State-registered IARs · 8 to 6Nov 17, 2023 to Mar 22, 2024
- Discretionary RAUM · $117M to $117MNov 17, 2023 to Mar 22, 2024
- HNW RAUM · $71.5M to $57.4MNov 17, 2023 to Mar 22, 2024
- Individual RAUM · $45.7M to $59.2MNov 17, 2023 to Mar 22, 2024
- RAUM · $117M to $117MNov 17, 2023 to Mar 22, 2024
- Accounts · 846 to 629Mar 29, 2023 to Sep 1, 2023
- Advisory employees · 5 to 8Mar 29, 2023 to Sep 1, 2023
Signals
7 dated events
- T••••• W•••••• M•••••••• left C•••••••• C•••••• W••••• M••••••••• L•• for A••••••• M•••• M••••••••• L•• (registered 2025-10-05)Sep 30, 2025 · Advisor changed firm · fact
- A••••• L•• W•••• left C•••••••• C•••••• W••••• M••••••••• L•• for G•••••• W••••• P•••••••• L•• (registered 2024-03-18)May 17, 2024 · Advisor changed firm · fact
- C•••••• M••••• F•••••• left C•••••••• C•••••• W••••• M••••••••• L•• for G•••••• W••••• P•••••••• L•• (registered 2024-03-19)Apr 10, 2024 · Advisor changed firm · fact
- D•••••• M•••• W•••• left C•••••••• C•••••• W••••• M••••••••• L•• for W•••• C•••••• M••••••••• L•• (registered 2021-03-19)Jan 5, 2024 · Advisor changed firm · fact
- M••• D••••• S•••• left C•••••••• C•••••• W••••• M••••••••• L•• for W•••• C•••••• M••••••••• L•• (registered 2021-03-19)Jan 5, 2024 · Advisor changed firm · fact
- 2 advisors left C•••••••• C•••••• W••••• M••••••••• L•• (Tampa, FL) for W•••• C•••••• M••••••••• L•• on the same dayJan 5, 2024 · Team lift-out · derived
- C•••••••• C•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 24, 2020 · 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
- Website
- consciouswealth.global, HTTPS://www.consciouscapitalwm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-659-8299reportedpublic record, Form ADV, May 7, 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
- $43.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026