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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Former SEC-registered adviser
C••••••••• F•••••••• P•••••••
Legal name B•• F•••••••• P••••••• • T•• S•••••••• L••
Latest filing Jan 27, 2025
First filing on the tape Nov 14, 2019 · 13 filings
SEC status approved since Dec 13, 2019
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
2
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
13 filings and snapshots on the tape
RAUM$0 as of Jan 27, 2025
Mar 17, 2020$114M then
HNW client RAUM$71.2M as of Mar 18, 2024
Mar 17, 2020$42.3M then
State-registered IARs (5.B.3)2 as of Jan 27, 2025
Mar 17, 20202 then
Employees (5.A)6 as of Jan 27, 2025
Mar 17, 20205 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 27, 2025; 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
- -100%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -100%derived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, pension consulting, 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
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
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 headcount1 left over 36 months
Left, latest
- M•••••• C••••••• B•••••• to L•••••• L••••• W••••• M••••••••• L••Oct 18, 2023 · RIA to a state-registered adviser
Joined, latest
- M•••••• C••••••• B•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 18, 2019 · Affiliated broker-dealer or bank to independent RIA
- E•••••••• M• B•••••• from S•••••••• F••••••••• I•••Aug 18, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• E••••••••• M• · Member, Chief Compliance Officercontrolsince 04/2016 · 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 |
|---|---|---|---|---|---|
| Annapolis, Md · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boca Raton, FL1 employees
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Oct 28, 2024 to Jan 27, 2025
- Discretionary RAUM · unset to 0.0Oct 28, 2024 to Jan 27, 2025
- Non-discretionary RAUM · unset to 0.0Oct 28, 2024 to Jan 27, 2025
- RAUM · unset to 0.0Oct 28, 2024 to Jan 27, 2025
- Advisory activities · 1 to 3Sep 3, 2024 to Oct 28, 2024
- Succession · true to falseAug 2, 2024 to Sep 3, 2024
- Discretionary RAUM · 152913196.0 to unsetMar 18, 2024 to Aug 2, 2024
- HNW RAUM · 71216756.0 to unsetMar 18, 2024 to Aug 2, 2024
- Individual RAUM · 80161575.0 to unsetMar 18, 2024 to Aug 2, 2024
- Non-discretionary RAUM · 0.0 to unsetMar 18, 2024 to Aug 2, 2024
- RAUM · 152913196.0 to unsetMar 18, 2024 to Aug 2, 2024
- Succession · false to trueMar 18, 2024 to Aug 2, 2024
- Wrap assets (manager) · 52640072.0 to unsetMar 18, 2024 to Aug 2, 2024
- Wrap assets (sponsor) · 0.0 to unsetMar 18, 2024 to Aug 2, 2024
- Accounts · 820.0 to unsetMar 18, 2024 to Aug 2, 2024
- Advisory activities · 4 to 1Mar 18, 2024 to Aug 2, 2024
- Corporate clients · unset to 0.0Mar 18, 2024 to Aug 2, 2024
- HNW clients · 37 to 0Mar 18, 2024 to Aug 2, 2024
- Individual clients · 286 to 0Mar 18, 2024 to Aug 2, 2024
- Insurance-licensed employees · 0 to 2Mar 18, 2024 to Aug 2, 2024
- Accounts · 849 to 820Sep 7, 2023 to Mar 18, 2024
- Advisory employees · 3 to 2Sep 7, 2023 to Mar 18, 2024
- BD registered reps · 3 to 2Sep 7, 2023 to Mar 18, 2024
- HNW clients · 35 to 37Sep 7, 2023 to Mar 18, 2024
- Individual clients · 454 to 286Sep 7, 2023 to Mar 18, 2024
- State-registered IARs · 3 to 2Sep 7, 2023 to Mar 18, 2024
- Other offices · 4 to 1Sep 7, 2023 to Mar 18, 2024
- Discretionary RAUM · $154M to $153MSep 7, 2023 to Mar 18, 2024
- HNW RAUM · $58.3M to $71.2MSep 7, 2023 to Mar 18, 2024
- Individual RAUM · $94.0M to $80.2MSep 7, 2023 to Mar 18, 2024
- RAUM · $154M to $153MSep 7, 2023 to Mar 18, 2024
- Accounts · 807 to 849Nov 28, 2022 to Mar 22, 2023
- BD registered reps · 1 to 3Nov 28, 2022 to Mar 22, 2023
- HNW clients · 45 to 35Nov 28, 2022 to Mar 22, 2023
- Individual clients · 392 to 454Nov 28, 2022 to Mar 22, 2023
- State-registered IARs · 2 to 3Nov 28, 2022 to Mar 22, 2023
- Discretionary RAUM · $171M to $154MNov 28, 2022 to Mar 22, 2023
- HNW RAUM · $65.9M to $58.3MNov 28, 2022 to Mar 22, 2023
- Individual RAUM · $103M to $94.0MNov 28, 2022 to Mar 22, 2023
- RAUM · $171M to $154MNov 28, 2022 to Mar 22, 2023
Signals
4 dated events
- C••••••••• F•••••••• P••••••• no longer on the SEC adviser roster (last listed 2025-03-06)May 2, 2025 · Left the SEC roster · derived
- C••••••••• F•••••••• P••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 2, 2024 · Succession (Item 4) · fact
- M•••••• C••••••• B•••••• left C••••••••• F•••••••• P••••••• for L•••••• L••••• W••••• M••••••••• L•• (registered 2023-10-24)Oct 18, 2023 · Advisor changed firm · fact
- C••••••••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)Nov 14, 2019 · 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
- intercoastalwealthplanning.comreportedpublic record, Form ADV, Sep 18, 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
- 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