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
S••••••• W••••• M•••••••••
Legal name S••••••• W••••• M••••••••• L•••
Latest filing Apr 1, 2026
First filing on the tape May 18, 2016 · 25 filings
SEC status approved since Jun 3, 2016
RAUM
$112M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$112M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$112M as of Apr 1, 2026
Feb 2, 2017$100M then
HNW client RAUM$110M as of Apr 1, 2026
Apr 2, 2018$113M then
State-registered IARs (5.B.3)1 as of Apr 1, 2026
Feb 2, 20172 then
Employees (5.A)3 as of Apr 1, 2026
Feb 2, 20172 then
Private funds: no history
RAUM -8.4% over the last fiscal year+1.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 6derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $27.6MderivedHNW RAUM over HNW clients
- Average account
- $16.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$110M99%
- Individuals$1.3M1.2%
- Individual clients
- 2reported
- HNW clients
- 4reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• E••••• J••••• | Tampa, Fl | Apr 27, 2022 | 31 y | 6 |
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
- D•••• E••••• J••••• from C••••• I••••••••• A••••••• L••Aug 11, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• K••••• C•••••••• · President, Cco, Managing Membercontrolsince 03/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 7Mar 28, 2025 to Apr 1, 2026
- HNW clients · unset to 4.0Mar 28, 2025 to Apr 1, 2026
- Individual clients · 0 to 2Mar 28, 2025 to Apr 1, 2026
- Employees · 2 to 3Mar 28, 2025 to Apr 1, 2026
- Discretionary RAUM · $122M to $112MMar 28, 2025 to Apr 1, 2026
- HNW RAUM · $121M to $110MMar 28, 2025 to Apr 1, 2026
- Individual RAUM · $847,994 to $1.3MMar 28, 2025 to Apr 1, 2026
- RAUM · $122M to $112MMar 28, 2025 to Apr 1, 2026
- Accounts · 7 to 3Mar 28, 2024 to Mar 28, 2025
- HNW clients · 7.0 to unsetMar 28, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 28, 2025
- HQ city · unset to Mar 28, 2024 to Mar 28, 2025
- HQ state · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $0 to $122MMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $112M to $121MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $0 to $847,994Mar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $112M to $0Mar 28, 2024 to Mar 28, 2025
- RAUM · $112M to $122MMar 28, 2024 to Mar 28, 2025
- Accounts · 3 to 7Mar 31, 2023 to Mar 28, 2024
- HNW clients · 0 to 7Mar 31, 2023 to Mar 28, 2024
- HNW RAUM · $108M to $112MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · unset to 0.0Mar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $108M to $112MMar 31, 2023 to Mar 28, 2024
- Pension RAUM · unset to 0.0Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · unset to 0.0Mar 31, 2023 to Mar 28, 2024
- RAUM · $108M to $112MMar 31, 2023 to Mar 28, 2024
- Accounts · 7 to 3Dec 20, 2022 to Mar 31, 2023
- Financial planning clients · unset to 0Dec 20, 2022 to Mar 31, 2023
- Discretionary RAUM · $117M to $0Dec 20, 2022 to Mar 31, 2023
- HNW RAUM · $117M to $108MDec 20, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $0 to $108MDec 20, 2022 to Mar 31, 2023
- RAUM · $117M to $108MDec 20, 2022 to Mar 31, 2023
- Advisory activities · 2 to 1Mar 31, 2022 to Dec 20, 2022
- HNW clients · 4 to 0Mar 31, 2022 to Dec 20, 2022
- Accounts · 6 to 7Jun 7, 2021 to Mar 31, 2022
- State-registered IARs · 2 to 1Jun 7, 2021 to Mar 31, 2022
- Discretionary RAUM · $111M to $117MJun 7, 2021 to Mar 31, 2022
- HNW RAUM · $110M to $117MJun 7, 2021 to Mar 31, 2022
- Individual RAUM · 785000.0 to unsetJun 7, 2021 to Mar 31, 2022
- RAUM · $111M to $117MJun 7, 2021 to Mar 31, 2022
Signals
1 dated events
- S••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)May 18, 2016 · 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
- Principal office phone
- 813-318-1526reportedpublic record, Form ADV, Apr 1, 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
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026