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•• R••• A••••••• L••
Latest filing Jul 16, 2026
First filing on the tape May 19, 2025 · 5 filings
SEC status approved since May 13, 2025
RAUM
$135M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
89%
$120M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$45.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$135M as of Jul 16, 2026
May 19, 2025$125M then
HNW client RAUM$104M as of Jul 16, 2026
May 19, 2025$98.6M then
State-registered IARs (5.B.3)3 as of Jul 16, 2026
May 19, 20253 then
Employees (5.A)3 as of Jul 16, 2026
May 19, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 16, 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
- $45.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $417,877derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 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, selection of other advisersreportedItem 5.G
- Custody
- $1.5M, 5 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$104M77%
- Individuals$15.9M12%
- Pension and profit-sharing plans$14.7M11%
- Charitable organizations$469,3250.3%
- Individual clients
- 44reported
- HNW clients
- 43reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 323reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5M for 5 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• C••••••Certified Financial Planner | Boca Raton, Fl | Feb 11, 2015 | 33 y | 4 |
| M•••••• C•••• T•••Certified Financial Planner | Chapel Hill, Nc | Jun 7, 2016 | 13 y | 2 |
| L••••••• C•••••• | Boca Raton, Fl | May 2, 2025 | 32 y | 0 |
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
- B••••• O••••• to L•••• F••• A••••••• S•••••••Apr 24, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- B••••• O••••• from M••••• S••••••Sep 1, 2016 · Wirehouse to independent RIA
- M•••••• C•••• T••• from D•••• W••••• M•••••••••Jun 7, 2016 · Other
- J•••• C•••••• from M••••• S••••••Feb 11, 2015 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Boca Raton, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 319 to 323Feb 6, 2026 to Mar 26, 2026
- Charity clients · 1 to 2Feb 6, 2026 to Mar 26, 2026
- Corporate clients · 1 to 0Feb 6, 2026 to Mar 26, 2026
- HNW clients · 46 to 43Feb 6, 2026 to Mar 26, 2026
- Individual clients · 50 to 44Feb 6, 2026 to Mar 26, 2026
- Pension plan clients · 0 to 2Feb 6, 2026 to Mar 26, 2026
- Assets in custody · unset to 1488873.0Feb 6, 2026 to Mar 26, 2026
- Custody of client assets · false to trueFeb 6, 2026 to Mar 26, 2026
- Financial planning clients · 51-100 to 26-50Feb 6, 2026 to Mar 26, 2026
- Discretionary RAUM · $111M to $120MFeb 6, 2026 to Mar 26, 2026
- HNW RAUM · $98.6M to $104MFeb 6, 2026 to Mar 26, 2026
- Individual RAUM · $26.8M to $15.9MFeb 6, 2026 to Mar 26, 2026
- Non-discretionary RAUM · $14.6M to $14.7MFeb 6, 2026 to Mar 26, 2026
- Pension RAUM · $0 to $14.7MFeb 6, 2026 to Mar 26, 2026
- RAUM · $125M to $135MFeb 6, 2026 to Mar 26, 2026
- Assets in custody · 110887103.0 to unsetJun 17, 2025 to Feb 6, 2026
- Custody of client assets · true to falseJun 17, 2025 to Feb 6, 2026
- Financial planning clients · 51-100 to 51-100May 19, 2025 to Jun 17, 2025
Signals
1 dated events
- B••••• O••••• left R•• R••• A••••••• L•• for L•••• F••• A••••••• S••••••• (registered 2023-04-05)Apr 24, 2023 · Advisor changed firm · 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
- Business phone
- 561-400-3285reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/red-reef-advisors-llc/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- redreefadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 561-400-3285reportedpublic record, Form ADV, Jul 16, 2026
- Contact form
- redreefadvisors.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $45.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026