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
F••••
Legal name F•••• W•••••• I••
Latest filing Jul 31, 2026
First filing on the tape Nov 29, 2016 · 91 filings
SEC status approved since Dec 15, 2016
RAUM
$7.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$7.6B individuals and HNW
Advisors
87
registered through the firm on IAPD
RAUM per advisor
$87.4M
derived; firm RAUM over IAPD count
Employees
238
77 advisory (5.B.1)
Offices
25
beyond the principal office
Private funds
0
reported on Schedule D
History
91 filings and snapshots on the tape
RAUM$7.6B as of Jul 31, 2026
Mar 30, 2017$0 then
HNW client RAUM$5.2B as of Jul 31, 2026
Mar 16, 2018$15.4M then
State-registered IARs (5.B.3)77 as of Jul 31, 2026
Mar 30, 20171 then
Employees (5.A)238 as of Jul 31, 2026
Mar 30, 20177 then
Private funds: no history
RAUM +97% over the last fiscal year+67% a year over threeIARs 58 to 77offices 0 to 25
Practice profile
derived from the filing of Jul 31, 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
- Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $88.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 171derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $173,071derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 3.3derived26 offices incl. principal (1.F.5)
- RAUM growth, one year
- +56%derivedbetween the last two annual amendments
- Advisor growth, one year
- -5.2%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.6%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 16,000reportedItem 5.H
- Custody
- $7.6B, 14,741 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$5.2B69%
- Individuals$2.4B31%
- Individual clients
- 11,813reported
- HNW clients
- 2,928reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 43,934reported
- Financial planning clients
- 16,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.6B for 14,741 clientsreported
- Compensation
- fixedreported
- 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
87 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• F•••• W••••Certified Financial Planner | Manassas, Va | Nov 7, 2017 | 28 y | 3 |
| R•••••• L••••••• E••••••Certified Financial Planner | Ft. Meyers, Fl | Jan 16, 2020 | 28 y | 3 |
| M•••• R••••••• M••••••Certified Financial Planner | West Palm Beach, Fl | Aug 7, 2020 | 29 y | 5 |
| B•••• C••••••••• W•••••Certified Financial Planner | Spokane, Wa | Sep 15, 2020 | 15 y | 4 |
| T••••• K••••Certified Financial Planner | Arvada, Co | Sep 15, 2020 | 29 y | 4 |
| A•••••••• V••••••• W•••••Certified Financial Planner | West Palm Beach, Fl | Sep 24, 2020 | 10 y | 1 |
| E••• K••• R••••••• M••••Certified Financial Planner | Davis, Ca | Oct 9, 2020 | 14 y | 1 |
| J••••• A•••• S••••Certified Financial Planner | Memphis, Tn | Oct 13, 2020 | 28 y | 3 |
| B•••• M••••••• W••••Certified Financial Planner, Chartered Financial Consultant | St Petersburg, Fl | Mar 1, 2021 | 20 y | 2 |
| K••••••• B• D•••••••••Certified Financial Planner | Thornton, Nh | Mar 1, 2021 | 23 y | 3 |
| N••••• B••••••Certified Financial Planner | West Palm Beach, Fl | Mar 2, 2021 | 17 y | 3 |
| S•••••• L••Certified Financial Planner | West Palm Beach, Fl | Mar 4, 2021 | 13 y | 2 |
| E••• T••••• B••••Certified Financial Planner | Azle, Tx | Mar 11, 2021 | 11 y | 1 |
| M••••• L•••••• W•••••Certified Financial Planner | St. Louis, Mo | Apr 7, 2021 | 11 y | 0 |
| M•••••• J••• F••••••Certified Financial Planner | Stonington, Ct | May 13, 2021 | 21 y | 2 |
| P•••••• C•••••• S••••Certified Financial Planner | Springfield, Pa | Sep 1, 2021 | 10 y | 2 |
| J••••• M•••••• F•••••Certified Financial Planner | Severance, Co | Sep 1, 2021 | 10 y | 2 |
| B••••• R••••• M•••••Certified Financial Planner | Westminster, Co | Sep 20, 2021 | 16 y | 1 |
| C••••••••• J•••• M••••••Certified Financial Planner | West Palm Beach, Fl | Oct 8, 2021 | 10 y | 2 |
| S••• W•••••• P•••••Certified Financial Planner | Charlotte, Nc | Jan 21, 2022 | 10 y | 1 |
| J••••• T••••• B••••••Certified Financial Planner, Chartered Financial Consultant | West Palm Beach, Fl | Jan 21, 2022 | 16 y | 1 |
| G••• D• J•••••••Certified Financial Planner | West Palm Beach, Fl | Mar 30, 2022 | 11 y | 1 |
| S•••• E• G••••••••Certified Financial Planner | West Palm Beach, Fl | Jun 22, 2022 | 24 y | 5 |
| T••••• D•••••• D•••• G••••Chartered Financial Analyst | Phoenix, Md | Sep 28, 2022 | 16 y | 1 |
| A•••••• E••••• C•••••Certified Financial Planner | Altoona, Wi | Oct 3, 2022 | 10 y | 0 |
| J••••••• C••••••• T•••Certified Financial Planner | Boca Raton, Fl | Oct 6, 2022 | 25 y | 1 |
| B••••••• T•••••Certified Financial Planner | Ft. Collins, Co | Oct 6, 2022 | 11 y | 0 |
| T••• M•••••• M•••••••Certified Financial Planner | Lexington, Ky | May 17, 2023 | 25 y | 6 |
| S•••••• B•••••• G•••••••Certified Financial Planner | Chandler, Az | May 17, 2023 | 23 y | 9 |
| A••• W•••••••••Certified Financial Planner | Capitol Heights, Md | Jun 9, 2023 | 16 y | 0 |
| J••••••• W•••••• H•••••Certified Financial Planner | Ardmore, Pa | Jul 25, 2023 | 10 y | 1 |
| J••••• M• H••••Certified Financial Planner | West Palm Beach, Fl | Aug 2, 2023 | 19 y | 2 |
| K•••••••• E••• D•••••Certified Financial Planner | West Palm Beach, Fl | Sep 6, 2023 | 11 y | 0 |
| Z•••••• F•••• M••••Certified Financial Planner | Lake Ronkonkoma, Ny | Nov 7, 2023 | 10 y | 1 |
| M•••••• T••••• D•••••••Certified Financial Planner | Durham, Nc | Nov 7, 2023 | 10 y | 1 |
| D•••• M••••••••Certified Financial Planner | Orem, Ut | Nov 8, 2023 | 26 y | 3 |
| P••••• R• J••••••Certified Financial Planner | Menifee, Ca | Nov 13, 2023 | 11 y | 1 |
| H••••• K•••••• C••••Certified Financial Planner | C••••••Ton, Sc | Jan 9, 2024 | 13 y | 1 |
| L•••• C••••••••• K••••Certified Financial Planner | West Palm Beach, Fl | Jan 11, 2024 | 26 y | 2 |
| S••••• M••••••• G•••••••Certified Financial Planner | Hillsboro, Or | May 7, 2024 | 12 y | 1 |
Advisor movement
15 left, 41 joined in 12 months
net +26 in 12 months2 left in 90 days17 joined in 90 daysdeparture rate 17% of current headcount69 left over 36 months
Left, latest
- A••••••• L• S•••• to B••••• A•••••••Jul 23, 2026 · Other
- K••• A•••••••• D•••• to D••••••••Jul 6, 2026 · RIA to RIA
- E••••• G•••••• W••••••• to B••••• A•••••••Jun 3, 2026 · RIA to a newly registered adviser
- B•••• A••••• T••••• to D••••• M•••• A•••••••• L••Apr 21, 2026 · Other
- A••• G••••• M••••••• to D••••• M•••• A•••••••• L••Apr 13, 2026 · Other
- K••••••• M• G•••••• to M••••• S••••••Mar 23, 2026 · RIA to wirehouse
- R••••• C••••• D••••• to N••••••••• M••••• I••••••••• S•••••••••Feb 5, 2026 · Other
- G•••••• E••••• L••• to Q• A•••••••• L••Feb 2, 2026 · Other
- J•••• S•••••• to S••••• W••••• A•••••••• I•••Jan 8, 2026 · Other
- M•••••• J•• F••••• to I••••••••• A•••••• A•••••••• L••Dec 8, 2025 · RIA to RIA
- D••••••• M•••• R•••• to A•••• W••••• M••••••••• L••Nov 17, 2025 · RIA to RIA
- J•••• J••• S••••• to V••••••• A•••••••• I•••Nov 14, 2025 · RIA to affiliated broker-dealer or bank
- G••••• J•••• N••••• to E•••••• A••••••• G••••• L••Oct 10, 2025 · RIA to affiliated broker-dealer or bank
- J•••••• P••••• G••••••• to W••••••••• A••••••• P••••••• L••Oct 10, 2025 · RIA to affiliated broker-dealer or bank
- M•••••• A•••• K••••••••• to C••• P•••••••Sep 19, 2025 · RIA to RIA
Joined, latest
- N••••••• D•••••••• from S•••••••• A••••••• L••Aug 20, 2026 · Affiliated broker-dealer or bank to independent RIA
- R•••••• S• H••••••• from E••••• J••••Aug 19, 2026 · Affiliated broker-dealer or bank to independent RIA
- A•••••• A••••••••• R••••••• from S••••• W••••• A•••••••• I•••Aug 18, 2026 · Other
- P••••• T••••• A••••• from O• I••••••••• M••••••••• C•Aug 18, 2026 · Affiliated broker-dealer or bank to independent RIA
- A•••• R•••••• V••• from K••••• A••••••• S•••••••• L••Aug 18, 2026 · Affiliated broker-dealer or bank to independent RIA
- D••••• L•• W•••• from C•••••• S••••• • C••• I•••Aug 10, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••••• W•••••••• from C•••••••Jul 30, 2026 · Other
- H••••• L••• T••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 30, 2026 · Affiliated broker-dealer or bank to independent RIA
- D•••• A••• F••••• from S•••••••• A•••••••Jul 30, 2026 · Other
- S•••• R••••• from A••••••••• F•••••••• S•••••••• L••Jul 30, 2026 · Affiliated broker-dealer or bank to independent RIA
- D•••• M• G••• from E•••• • Y•••• I••••••••• A••••••• L••Jul 21, 2026 · Other
- K•••• S•••••• from D•• W••••• M•••••••••Jul 15, 2026 · RIA to RIA
- D•••• E•••• W•••• from I••••••••• A•••••• A•••••••• L••Jul 9, 2026 · RIA to RIA
- C••• C••••• F•••• from P••• R••••••••• P•••••••• I•••Jul 9, 2026 · RIA to RIA
- C••••• N••••• A•••• from V••••••• A•••••••• I•••Jun 23, 2026 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S•••••••• A••••••• L••Jun 18, 2026 · Boston, Ma
- 2 joined from V••••••• A•••••••• I•••Nov 9, 2023 · Charlotte, Nc
- 3 joined from V••••••• A•••••••• I•••Aug 5, 2021 · Charlotte, Nc
- 4 joined from A••••• A•• P••••••• S•••••••Nov 13, 2020 · Chicago, Il
- 2 joined from S•••••••• A•••••••Sep 4, 2020 · Atlanta, Ga
- 2 joined from C•••••• S••••• • C••• I•••Mar 27, 2020 · Lone Tree, Co
- 2 joined from G••••Sep 6, 2019 · San Francisco, Ca
- 2 joined from V••••••• A•••••••• I•••Jul 23, 2019 · S••••Sdale, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• T•••••• D•••••• D•••• · Chief Investment Officercontrolsince 05/2022 · owns less than 5%
- H•••••• C••••••••• J••• · Chief Admin Officer/Chief Compliance Officercontrolsince 06/2018 · owns less than 5%
- J••••• A•••••••• E••• · Chief Executive Officer And Directorcontrolsince 11/2016 · owns 5% to 10%
- J••••• S•••••• S••••• · Chief Operating Officer, Directorcontrolsince 08/2021 · owns less than 5%
- M••••••• P••••••• R•••• · Executive Chairman And Directorcontrolsince 11/2016 · owns 5% to 10%
- P••••• D••••••• B•••••••• · Chief Financial Officercontrolsince 03/2024 · owns less than 5%
- R••••• C••••••• M•••••• · Directorcontrolsince 08/2018 · owns less than 5%
- S•••••• T•••• M••••••• · Directorcontrolsince 08/2018 · owns less than 5%
- S••••• J••••••• S•••• · Directorcontrolsince 08/2018 · owns less than 5%
- W••••• B••••• M••••••• · Co-Foundercontrolsince 11/2016 · owns less than 5%
Entity owners
- W•••••• P••••• F•••••••• S••••• G•• L••• · General Partnerindirect · owns F of W•••••• P••••• F•••••••• S•••••• L•
- W•••••• P••••• X••• L••• · General Partnerindirect · owns F of W•••••• P••••• P•••••• E••••• X••• L•
- D•••••• C•••••• M••••• F••• L• · Shareholderdirect · owns 10% to 25%
- W•••••• P••••• F•••••••• · Shareholderdirect · owns 10% to 25%
- W•••••• P••••• F•••••••• S•••••• L• · Shareholderdirect · owns 10% to 25%
- W•••••• P••••• P•••••• E••••• · Shareholderdirect · owns 10% to 25%
- W•••••• P••••• P•••••• E••••• X••• L• · Shareholderdirect · owns 10% to 25%
- D•••••• C•••••• A••••••••• L•• · General Partnerindirect · owns F of D•••••• C•••••• M••••• F••• L•
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 |
|---|---|---|---|---|---|
| West Palm Beach, Fl · principal | 86 | 42 | 7 | ||
| Austin, Tx | 3 | 3 | 0 | ||
| Denver, Co | 2 | 1 | 0 | ||
| Pittsburgh, Pa | 1 | 1 | 1 | ||
| Brooklyn, Ny | 1 | 1 | 0 | ||
| Westminster, Co | 1 | 0 | 0 | ||
| Nashville, Tn | 1 | 1 | 1 | ||
| Charlotte, Nc | 1 | 0 | 1 | ||
| Jenks, Ok | 0 | 0 | 0 | ||
| Jupiter, Fl | 0 | 0 | 1 | ||
| Lewisberry, Pa | 0 | 0 | 0 | ||
| Los Angeles, Ca | 0 | 0 | 0 | ||
| Minnetonka, Mn | 0 | 0 | 0 | ||
| Mt Juliet, Tn | 0 | 0 | 0 | ||
| New Market, Md | 0 | 0 | 0 | ||
| New York, Ny | 0 | 0 | 0 | ||
| North Port, Fl | 0 | 0 | 0 | ||
| Oxnard, Ca | 0 | 0 | 0 | ||
| Philad••••Ia, Pa | 0 | 0 | 1 | ||
| Phoenix, Az | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 31, 2026G••••• T•••••• D•••••• D•••• (CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2024-07-22 and 2026-07-31peers: WEALTH_I•••••••••, $5B to $20B (289)
- RAUM up 50 %Change between filings · filing Feb 4, 2026RAUM (Item 5.F) moved from $3,865,037,052 to $6,037,907,630 (+56.0%) between the annual amendments of 2025-04-15 and 2026-02-04; the peer median change was +18.0% (271 comparable advisers, 91.0th percentile of changes)peers: WEALTH_I•••••••••, $5B to $20B (271) · 91% percentile
What changed
consecutive filings, newest first
- Accounts · 39,720 to 43,934Feb 4, 2026 to Jul 31, 2026
- Advisory employees · 55 to 77Feb 4, 2026 to Jul 31, 2026
- HNW clients · 2,228 to 2,928Feb 4, 2026 to Jul 31, 2026
- Individual clients · 11,103 to 11,813Feb 4, 2026 to Jul 31, 2026
- Assets in custody · $6.0B to $7.6BFeb 4, 2026 to Jul 31, 2026
- Employees · 168 to 238Feb 4, 2026 to Jul 31, 2026
- State-registered IARs · 55 to 77Feb 4, 2026 to Jul 31, 2026
- Discretionary RAUM · $6.0B to $7.6BFeb 4, 2026 to Jul 31, 2026
- HNW RAUM · $3.9B to $5.2BFeb 4, 2026 to Jul 31, 2026
- Individual RAUM · $2.1B to $2.4BFeb 4, 2026 to Jul 31, 2026
- RAUM · $6.0B to $7.6BFeb 4, 2026 to Jul 31, 2026
- Accounts · 36,817 to 39,720Oct 1, 2025 to Jan 30, 2026
- Advisory employees · 63 to 55Oct 1, 2025 to Jan 30, 2026
- HNW clients · 1,667 to 2,228Oct 1, 2025 to Jan 30, 2026
- Individual clients · 10,684 to 11,103Oct 1, 2025 to Jan 30, 2026
- Assets in custody · $4.8B to $6.0BOct 1, 2025 to Jan 30, 2026
- Employees · 174 to 168Oct 1, 2025 to Jan 30, 2026
- HQ city · BALTIMORE to WEST PALM BEACHOct 1, 2025 to Jan 30, 2026
- HQ state · MD to FLOct 1, 2025 to Jan 30, 2026
- State-registered IARs · 63 to 55Oct 1, 2025 to Jan 30, 2026
- Other offices · 0 to 25Oct 1, 2025 to Jan 30, 2026
- Discretionary RAUM · $4.8B to $6.0BOct 1, 2025 to Jan 30, 2026
- HNW RAUM · $2.8B to $3.9BOct 1, 2025 to Jan 30, 2026
- Individual RAUM · $1.9B to $2.1BOct 1, 2025 to Jan 30, 2026
- RAUM · $4.8B to $6.0BOct 1, 2025 to Jan 30, 2026
- Accounts · 34,597 to 36,817Apr 15, 2025 to Aug 11, 2025
- Advisory employees · 58 to 63Apr 15, 2025 to Aug 11, 2025
- HNW clients · 1,287 to 1,667Apr 15, 2025 to Aug 11, 2025
- Individual clients · 11,105 to 10,684Apr 15, 2025 to Aug 11, 2025
- Assets in custody · $3.9B to $4.8BApr 15, 2025 to Aug 11, 2025
- Employees · 150 to 174Apr 15, 2025 to Aug 11, 2025
- State-registered IARs · 58 to 63Apr 15, 2025 to Aug 11, 2025
- Discretionary RAUM · $3.9B to $4.8BApr 15, 2025 to Aug 11, 2025
- HNW RAUM · $2.1B to $2.8BApr 15, 2025 to Aug 11, 2025
- Individual RAUM · $1.8B to $1.9BApr 15, 2025 to Aug 11, 2025
- RAUM · $3.9B to $4.8BApr 15, 2025 to Aug 11, 2025
- Financial planning clients · More than 500 to More than 500Jan 14, 2025 to Apr 15, 2025
- Accounts · 32,588 to 34,597Dec 3, 2024 to Jan 14, 2025
- Advisory employees · 86 to 58Dec 3, 2024 to Jan 14, 2025
- HNW clients · 1,114 to 1,287Dec 3, 2024 to Jan 14, 2025
Signals
60 dated events
- K••••••• C••••••••• no longer holds an investment adviser registration (last listed at F•••• on the 2026-09-15 feed)Sep 15, 2026 · a•••••• registration ended · derived
- F•••• reported 77 state-registered advisory representatives, up from 55 (2026-02-04 to 2026-07-31)Jul 31, 2026 · ria a•••••• headcount change · derived
- F•••• reported RAUM $7.6B, up 26% from $6.0B (2026-02-04 to 2026-07-31)Jul 31, 2026 · RAUM change · derived
- A••••••• L• S•••• left F•••• for B••••• A••••••• (registered 2026-09-03)Jul 23, 2026 · a•••••• firm change · fact
- K••• A•••••••• D•••• left F•••• for Deerfield (registered 2026-07-17)Jul 6, 2026 · a•••••• firm change · fact
- 2 advisors left S•••••••• A••••••• L•• (Boston, MA) for F•••• within 7 daysJun 18, 2026 · Team lift-out · derived
- E••••• G•••••• W••••••• left F•••• for B••••• A••••••• (registered 2026-06-12)Jun 3, 2026 · a•••••• firm change · fact
- B•••• A••••• T••••• left F•••• for D••••• M•••• A•••••••• L•• (registered 2026-04-24)Apr 21, 2026 · a•••••• firm change · fact
- A••• G••••• M••••••• left F•••• for D••••• M•••• A•••••••• L•• (registered 2026-04-28)Apr 13, 2026 · a•••••• firm change · fact
- K••••••• M• G•••••• left F•••• for M••••• S•••••• (registered 2026-06-18)Mar 23, 2026 · a•••••• firm change · fact
- R••••• C••••• D••••• left F•••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2026-05-21)Feb 5, 2026 · a•••••• firm change · fact
- G•••••• E••••• L••• left F•••• for Q• A•••••••• L•• (registered 2026-02-12)Feb 2, 2026 · a•••••• firm change · fact
- F•••• reported 25 offices beyond its principal office, up from 0 (2025-10-01 to 2026-01-30)Jan 30, 2026 · Office count change · derived
- F•••• reported RAUM $6.0B, up 27% from $4.8B (2025-10-01 to 2026-01-30)Jan 30, 2026 · RAUM change · derived
- J•••• S•••••• left F•••• for S••••• W••••• A•••••••• I••• (registered 2026-04-25)Jan 8, 2026 · a•••••• firm change · fact
- M•••••• J•• F••••• left F•••• for I••••••••• A•••••• A•••••••• L•• (registered 2026-04-10)Dec 8, 2025 · a•••••• firm change · fact
- D••••••• M•••• R•••• left F•••• for A•••• W••••• M••••••••• L•• (registered 2026-06-11)Nov 17, 2025 · a•••••• firm change · fact
- J•••• J••• S••••• left F•••• for V••••••• A•••••••• I••• (registered 2026-02-05)Nov 14, 2025 · a•••••• firm change · fact
- J•••••• P••••• G••••••• left F•••• for W••••••••• A••••••• P••••••• L•• (registered 2026-05-28)Oct 10, 2025 · a•••••• firm change · fact
- G••••• J•••• N••••• left F•••• for E•••••• A••••••• G••••• L•• (registered 2026-02-10)Oct 10, 2025 · a•••••• firm change · fact
- M•••••• A•••• K••••••••• left F•••• for C••• P••••••• (registered 2025-10-08)Sep 19, 2025 · a•••••• firm change · fact
- J••••••• L••• B••••• left F•••• for E••••• W••••• A•••••••• L•• (registered 2025-08-28)Aug 15, 2025 · a•••••• firm change · fact
- E••••• N•••••••• S•••••• left F•••• for W•••••• P•••••• C•••••• (registered 2025-10-09)May 21, 2025 · a•••••• firm change · fact
- Z•••••• S•••• N•••• left F•••• for C••• P••••••• (registered 2025-05-09)Apr 10, 2025 · a•••••• firm change · fact
- A•••••• E•••••••• N•••• left F•••• for V••••••• A•••••••• I••• (registered 2025-06-17)Mar 18, 2025 · a•••••• firm change · fact
- H••••••• W•••••• M•••••• left F•••• for C••• P••••••• (registered 2025-03-17)Mar 4, 2025 · a•••••• firm change · fact
- F•••• reported 58 state-registered advisory representatives, down from 86 (2024-12-03 to 2025-01-14)Jan 14, 2025 · ria a•••••• headcount change · derived
- C•••• C••• G••••• left F•••• for B••••••• W••••• P••••••• L•• (registered 2025-03-04)Jan 13, 2025 · a•••••• firm change · fact
- C••••• D••••• R••• left F•••• for P•••• W••••• A••••••• (registered 2025-02-28)Jan 6, 2025 · a•••••• firm change · fact
- A••••• H•••••• B••••• left F•••• for P••• R••••••••• P•••••••• I••• (registered 2025-01-09)Jan 6, 2025 · a•••••• firm change · 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
- Firm profile
- linkedin.com/company/joinfacetreportedpublic record, Form ADV, Sep 18, 2026
- Website
- joinfacet.bsky.socialreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (443)376-6222reportedpublic record, Form ADV, Jul 31, 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
- $87.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026