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.
SEC-registered adviser
C•••••• C•••••• A•••••••• L••
Latest filing Feb 3, 2026
First filing on the tape Jan 13, 2021 · 21 filings
SEC status approved since Feb 12, 2021
RAUM
$406M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$361M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$203M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$406M as of Feb 3, 2026
Mar 3, 2022$220M then
HNW client RAUM$357M as of Feb 3, 2026
Mar 3, 2022$167M then
State-registered IARs (5.B.3)2 as of Feb 3, 2026
Mar 3, 20222 then
Employees (5.A)2 as of Feb 3, 2026
Mar 3, 20222 then
Private funds: no history
RAUM +25% over the last fiscal year+20% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 3, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $203MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.5MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.8%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $23.8M, 10 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$357M88%
- Pension and profit-sharing plans$45.5M11%
- Individuals$4.4M1.1%
- Individual clients
- 8reported
- HNW clients
- 55reported
- Pension plan clients
- 11reported
- Charitable clients
- n/areported
- Accounts
- 274reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.8M for 10 clientsreported
- Compensation
- fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•• D•••• F•••••••Certified Financial Planner, Chartered Financial Analyst | Lakewood Ranch, Fl | Jun 1, 2018 | 15 y | 2 |
| C•••• A•• F•••••••Certified Financial Planner | Lakewood Ranch, Fl | Jun 1, 2018 | 32 y | 2 |
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
- C•••• A•• F••••••• from D••••••Jun 1, 2018 · Other
- J•• D•••• F••••••• from D••••••Jun 1, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• C••••• A•• · Managing Membercontrolsince 02/2016 · owns 50% to 75%
- F•••••••• J••• D•••• · Managing Member And Chief Compliance Officercontrolsince 02/2015 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Lakewood Ranch, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 262 to 274Jan 27, 2025 to Feb 3, 2026
- HNW clients · 49 to 55Jan 27, 2025 to Feb 3, 2026
- Individual clients · 10 to 8Jan 27, 2025 to Feb 3, 2026
- Pension plan clients · 12 to 11Jan 27, 2025 to Feb 3, 2026
- Assets in custody · $20.2M to $23.8MJan 27, 2025 to Feb 3, 2026
- Discretionary RAUM · $314M to $406MJan 27, 2025 to Feb 3, 2026
- HNW RAUM · $276M to $357MJan 27, 2025 to Feb 3, 2026
- Individual RAUM · $5.8M to $4.4MJan 27, 2025 to Feb 3, 2026
- Non-discretionary RAUM · $10.7M to $0Jan 27, 2025 to Feb 3, 2026
- Pension RAUM · $42.3M to $45.5MJan 27, 2025 to Feb 3, 2026
- RAUM · $324M to $406MJan 27, 2025 to Feb 3, 2026
- Accounts · 266 to 262Aug 20, 2024 to Jan 27, 2025
- HNW clients · 54 to 49Aug 20, 2024 to Jan 27, 2025
- Individual clients · 5 to 10Aug 20, 2024 to Jan 27, 2025
- Pension plan clients · 13 to 12Aug 20, 2024 to Jan 27, 2025
- Assets in custody · $16.1M to $20.2MAug 20, 2024 to Jan 27, 2025
- Financial planning clients · 0 to 0Aug 20, 2024 to Jan 27, 2025
- Discretionary RAUM · $273M to $314MAug 20, 2024 to Jan 27, 2025
- HNW RAUM · $241M to $276MAug 20, 2024 to Jan 27, 2025
- Individual RAUM · $1.8M to $5.8MAug 20, 2024 to Jan 27, 2025
- Non-discretionary RAUM · $21.2M to $10.7MAug 20, 2024 to Jan 27, 2025
- Pension RAUM · $51.2M to $42.3MAug 20, 2024 to Jan 27, 2025
- RAUM · $294M to $324MAug 20, 2024 to Jan 27, 2025
- Accounts · 232 to 266Oct 11, 2023 to Jan 31, 2024
- HNW clients · 47 to 54Oct 11, 2023 to Jan 31, 2024
- Individual clients · 6 to 5Oct 11, 2023 to Jan 31, 2024
- Pension plan clients · 12 to 13Oct 11, 2023 to Jan 31, 2024
- Assets in custody · $13.8M to $16.1MOct 11, 2023 to Jan 31, 2024
- Discretionary RAUM · $212M to $273MOct 11, 2023 to Jan 31, 2024
- HNW RAUM · $188M to $241MOct 11, 2023 to Jan 31, 2024
- Individual RAUM · $2.0M to $1.8MOct 11, 2023 to Jan 31, 2024
- Non-discretionary RAUM · $23.6M to $21.2MOct 11, 2023 to Jan 31, 2024
- Pension RAUM · $45.8M to $51.2MOct 11, 2023 to Jan 31, 2024
- RAUM · $236M to $294MOct 11, 2023 to Jan 31, 2024
- Succession · true to falseSep 15, 2023 to Oct 11, 2023
- HQ city · LAGUNA NIGUEL to LAKEWOOD RANCHJan 6, 2023 to Sep 15, 2023
- HQ state · CA to FLJan 6, 2023 to Sep 15, 2023
- Succession · false to trueJan 6, 2023 to Sep 15, 2023
- Accounts · 210 to 232Aug 10, 2022 to Jan 6, 2023
- HNW clients · 39 to 47Aug 10, 2022 to Jan 6, 2023
Signals
3 dated events
- C•••••• C•••••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 15, 2023 · Succession (Item 4) · fact
- C•••••• C•••••• A•••••••• L•• reported RAUM $220.0M, up 85% from $119.0M (2021-08-13 to 2022-02-24)Feb 24, 2022 · RAUM change · derived
- C•••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jan 13, 2021 · 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 phone
- 800-345-4635reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (800) 345-4635reportedpublic record, Form ADV, Feb 3, 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
- $203Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026