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••••• L••• F••••••••• L••
Latest filing May 3, 2022
First filing on the tape Feb 15, 2017 · 28 filings
RAUM
$35,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$35,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$35,000 as of Mar 21, 2022
Feb 5, 2018$30.0M then
HNW client RAUM$0 as of Mar 21, 2022
Feb 5, 2018$2.0M then
State-registered IARs (5.B.3)4 as of Mar 21, 2022
Feb 5, 20182 then
Employees (5.A)4 as of Mar 21, 2022
Feb 5, 20183 then
Private funds: no history
RAUM -100% over the last fiscal year-89% a year over threeIARs 4 to 2
Practice profile
derived from the filing of May 3, 2022; every figure names its basis
- RAUM per advisor
- $17,500derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $11,667derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 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
- -99%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $35,000reportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$35,000100%
- Individual clients
- 3reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $35,000 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
Left, latest
- D••••• C•••••••• K••••• to L•• F•••••••• L••Dec 22, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- D••••• C•••••••• K••••• from S••••• F•••••••• G•••• I••Feb 19, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• D•••••• C•••••••• · Managing Member & Chief Compliance Officercontrolsince 07/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Dade City, FL1 employees
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Mar 24, 2022 to May 3, 2022
- BD registered reps · 3 to 2Mar 24, 2022 to May 3, 2022
- Employees · 3 to 2Mar 24, 2022 to May 3, 2022
- Insurance-licensed employees · 3 to 2Mar 24, 2022 to May 3, 2022
- State-registered IARs · 3 to 2Mar 24, 2022 to May 3, 2022
- Advisory employees · 4 to 3Mar 21, 2022 to Mar 24, 2022
- BD registered reps · 4 to 3Mar 21, 2022 to Mar 24, 2022
- Employees · 4 to 3Mar 21, 2022 to Mar 24, 2022
- Insurance-licensed employees · 4 to 3Mar 21, 2022 to Mar 24, 2022
- State-registered IARs · 4 to 3Mar 21, 2022 to Mar 24, 2022
- Accounts · 1,112 to 3Mar 26, 2021 to Mar 21, 2022
- Individual clients · 410 to 3Mar 26, 2021 to Mar 21, 2022
- Financial planning clients · 26-50 to 251-500Mar 26, 2021 to Mar 21, 2022
- Discretionary RAUM · $39.9M to $35,000Mar 26, 2021 to Mar 21, 2022
- Individual RAUM · $98.2M to $35,000Mar 26, 2021 to Mar 21, 2022
- Non-discretionary RAUM · $58.3M to $0Mar 26, 2021 to Mar 21, 2022
- RAUM · $98.2M to $35,000Mar 26, 2021 to Mar 21, 2022
- Wrap assets (manager) · $0 to $35,000Mar 26, 2021 to Mar 21, 2022
- Accounts · 900 to 1,112Jun 25, 2020 to Mar 26, 2021
- Advisory activities · 1 to 2Jun 25, 2020 to Mar 26, 2021
- HNW clients · 16 to 0Jun 25, 2020 to Mar 26, 2021
- Individual clients · 379 to 410Jun 25, 2020 to Mar 26, 2021
- Financial planning clients · unset to 26-50Jun 25, 2020 to Mar 26, 2021
- Discretionary RAUM · $38.3M to $39.9MJun 25, 2020 to Mar 26, 2021
- HNW RAUM · $23.8M to $0Jun 25, 2020 to Mar 26, 2021
- Individual RAUM · $69.0M to $98.2MJun 25, 2020 to Mar 26, 2021
- Non-discretionary RAUM · $54.5M to $58.3MJun 25, 2020 to Mar 26, 2021
- RAUM · $92.8M to $98.2MJun 25, 2020 to Mar 26, 2021
- BD registered reps · 5 to 4May 22, 2020 to May 29, 2020
- Employees · 7 to 4May 22, 2020 to May 29, 2020
- Advisory employees · 8 to 4Mar 19, 2020 to May 22, 2020
- Employees · 9 to 7Mar 19, 2020 to May 22, 2020
- State-registered IARs · 8 to 4Mar 19, 2020 to May 22, 2020
- Accounts · 205 to 900Mar 2, 2020 to Mar 19, 2020
- HNW clients · 6 to 16Mar 2, 2020 to Mar 19, 2020
- Individual clients · 199 to 379Mar 2, 2020 to Mar 19, 2020
- Discretionary RAUM · $29.4M to $38.3MMar 2, 2020 to Mar 19, 2020
- HNW RAUM · $6.7M to $23.8MMar 2, 2020 to Mar 19, 2020
- Individual RAUM · $22.7M to $69.0MMar 2, 2020 to Mar 19, 2020
- Non-discretionary RAUM · $0 to $54.5MMar 2, 2020 to Mar 19, 2020
Signals
2 dated events
- D••••• C•••••••• K••••• left C••••• L••• F••••••••• L•• for L•• F•••••••• L•• (registered 2020-06-01)Dec 22, 2022 · Advisor changed firm · fact
- C••••• L••• F••••••••• L•• filed its initial SEC registration (Form ADV)Feb 15, 2017 · 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.
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