DFX Intelligence

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F•••• W••••• M•••••••••

Independent wealth managerSEC-registered· Sarasota, Floridawebsite

Independent wealth manager, based in Sarasota, Florida, reporting $422M of regulatory assets across 4 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $422M
Advisors: 4
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +32%
Private clients: 96% of RAUM, $407M

Advisors (4)Advisor movement Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +32% over the last fiscal year, to $422M.
2026-03-30
RAUM a year earlier $321MRAUM now $422M
7 published business contact points are on record, each with its source.
Contact points 7

Every filed figure, and the identifiersCRD 281075 · SEC 801-119396 · 16 filingsShow

CRD 281075SEC 801-119396Legal name F•••• W••••• M••••••••• L••First filing on the tape Aug 4, 2020, latest Mar 30, 2026SEC status approved since Sep 4, 2020IAPD

RAUM

$422M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

96%

$407M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$106M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM$422M as of Mar 30, 2026

Mar 5, 2021$116M then

HNW client RAUM$376M as of Mar 30, 2026

Mar 5, 2021$95.2M then

State-registered IARs (5.B.3)4 as of Mar 30, 2026

Mar 5, 20213 then

Employees (5.A)4 as of Mar 30, 2026

Mar 5, 20213 then

Private funds: no history

RAUM +32% over the last fiscal year+23% a year over threeIARs 4 to 4

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

Archetypes, each a printed rule

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: $106MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 32derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.9MderivedHNW RAUM over HNW clients
Average account: $1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +32%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +11%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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

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)
compensates non-employees for client referrals (8.G.2)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$376M89%
Individuals$31.2M7.4%
Corporations and businesses$7.3M1.7%
Charitable organizations$6.6M1.6%
Pension and profit-sharing plans$1.0M0.2%

Individual clients: 52reported
HNW clients: 77reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 356reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, hourlyreported
Class basis: private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

4 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M•••••• E••••• D••••••Certified Financial Planner, Chartered Financial Analyst	Sarasota, Fl	Oct 2, 2015	27 y	3
T•••••• J••••• V••••••Certified Financial Planner, Chartered Financial Analyst	Sarasota, Fl	Jun 23, 2017	26 y	0
K••••••• E•••••	Sarasota, Fl	Sep 20, 2022	10 y	0
D•••• M•••• H••••••Chartered Financial Analyst	Sarasota, Fl	Jan 17, 2025	15 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

none on the tape

Joined, latest

M•••••• E••••• D•••••• from G••••• F•••••••• P•••••• C••••••• I•••
Oct 2, 2015 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D••••••• M••••••• E••••• · Managing Membercontrol
since 06/2015 · owns 50% to 75%
V••••••• T••••••• J••••• · Managing Member/Chief Compliance Officercontrol
since 09/2016 · owns 50% to 75%

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	4	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 352 to 356
Feb 10, 2026 to Mar 30, 2026
Discretionary RAUM · $393M to $422M
Feb 10, 2026 to Mar 30, 2026
HNW RAUM · $353M to $376M
Feb 10, 2026 to Mar 30, 2026
Individual RAUM · $29.0M to $31.2M
Feb 10, 2026 to Mar 30, 2026
Pension RAUM · $988,107 to $1.0M
Feb 10, 2026 to Mar 30, 2026
RAUM · $393M to $422M
Feb 10, 2026 to Mar 30, 2026
Accounts · 340 to 352
Oct 2, 2025 to Feb 10, 2026
HNW clients · 67 to 77
Oct 2, 2025 to Feb 10, 2026
Discretionary RAUM · $375M to $393M
Oct 2, 2025 to Feb 10, 2026
HNW RAUM · $339M to $353M
Oct 2, 2025 to Feb 10, 2026
Individual RAUM · $27.3M to $29.0M
Oct 2, 2025 to Feb 10, 2026
Pension RAUM · unset to 988107.0
Oct 2, 2025 to Feb 10, 2026
RAUM · $375M to $393M
Oct 2, 2025 to Feb 10, 2026
Accounts · 314 to 340
Aug 25, 2025 to Oct 2, 2025
HNW clients · 65 to 67
Aug 25, 2025 to Oct 2, 2025
Individual clients · 51 to 52
Aug 25, 2025 to Oct 2, 2025
Discretionary RAUM · $321M to $375M
Aug 25, 2025 to Oct 2, 2025
HNW RAUM · $289M to $339M
Aug 25, 2025 to Oct 2, 2025
Individual RAUM · $23.1M to $27.3M
Aug 25, 2025 to Oct 2, 2025
RAUM · $321M to $375M
Aug 25, 2025 to Oct 2, 2025
Accounts · 282 to 314
Feb 2, 2024 to Mar 17, 2025
Advisory employees · 3 to 4
Feb 2, 2024 to Mar 17, 2025
HNW clients · 63 to 65
Feb 2, 2024 to Mar 17, 2025
Individual clients · 53 to 51
Feb 2, 2024 to Mar 17, 2025
Employees · 3 to 4
Feb 2, 2024 to Mar 17, 2025
Financial planning clients · 26-50 to 51-100
Feb 2, 2024 to Mar 17, 2025
State-registered IARs · 3 to 4
Feb 2, 2024 to Mar 17, 2025
Discretionary RAUM · $277M to $321M
Feb 2, 2024 to Mar 17, 2025
HNW RAUM · $252M to $289M
Feb 2, 2024 to Mar 17, 2025
Individual RAUM · $19.5M to $23.1M
Feb 2, 2024 to Mar 17, 2025
RAUM · $277M to $321M
Feb 2, 2024 to Mar 17, 2025
Accounts · 284 to 282
Sep 27, 2023 to Jan 31, 2024
HNW clients · 66 to 63
Sep 27, 2023 to Jan 31, 2024
Individual clients · 56 to 53
Sep 27, 2023 to Jan 31, 2024
Discretionary RAUM · $284M to $277M
Sep 27, 2023 to Jan 31, 2024
HNW RAUM · $263M to $252M
Sep 27, 2023 to Jan 31, 2024
Individual RAUM · $16.1M to $19.5M
Sep 27, 2023 to Jan 31, 2024
Non-discretionary RAUM · $1.2M to $0
Sep 27, 2023 to Jan 31, 2024
RAUM · $285M to $277M
Sep 27, 2023 to Jan 31, 2024
Advisory employees · 4 to 3
Mar 24, 2023 to Sep 27, 2023

Signals

1 dated events

••• Locked
Aug 4, 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

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 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: $106Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026