DFX Intelligence

RIA Intelligence

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SEC-registered adviser

C••• W••••••• L••

Independent wealth managerTampa, FloridaCRD 289372SEC 801-119308website IAPD

Latest filing Jan 26, 2026

First filing on the tape Jul 20, 2020 · 15 filings

SEC status approved since Aug 19, 2020

RAUM

$409M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$406M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$81.8M

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM$409M as of Jan 26, 2026

Mar 27, 2021$111M then

HNW client RAUM$350M as of Jan 26, 2026

Mar 27, 2021$76.0M then

State-registered IARs (5.B.3)4 as of Jan 26, 2026

Mar 27, 20213 then

Employees (5.A)9 as of Jan 26, 2026

Mar 27, 20217 then

Private funds: no history

RAUM +24% over the last fiscal year+25% a year over threeIARs 4 to 4

Practice profile

derived from the filing of Jan 26, 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
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

RAUM per advisor: $81.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 64derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.6MderivedHNW RAUM over HNW clients
Average account: $350,189derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.8derivedItem 5.A over advisors
Advisors per office: 5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +24%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +12%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Custody: $81.5M, 127 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

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)
has custody of client cash or bank accounts (9.A.1.a)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$350M85%
Individuals$56.8M14%
Charitable organizations$2.5M0.6%
Corporations and businesses$220,3440.1%

Individual clients: 189reported
HNW clients: 133reported
Pension plan clients: n/areported
Charitable clients: 1reported
Accounts: 1,168reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: $81.5M for 127 clientsreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

5 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J••••• P•••••• C•••Certified Financial Planner	Tampa, Fl	Apr 18, 2018	21 y	1
S•••• T••••• W•••••••Certified Financial Planner, Chartered Financial Analyst	Tampa, Fl	Apr 18, 2018	19 y	1
B•••• E••••• C•••Certified Financial Planner	Tampa, Fl	Apr 18, 2018	30 y	1
M•••••• J••• S••••Certified Financial Planner, Chartered Financial Analyst	Tampa, Fl	Nov 25, 2025	14 y	0
K•••• J••••••	Tampa, Fl	Aug 6, 2026	25 y	0

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

B•••• E••••• C••• from M•• I•••••••• S•••••••• L••
Apr 18, 2018 · Other
J••••• P•••••• C••• from M•• I•••••••• S•••••••• L••
Apr 18, 2018 · Other
S•••• T••••• W••••••• from M•• I•••••••• S•••••••• L••
Apr 18, 2018 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from M•• I•••••••• S•••••••• L••
Jan 5, 2018 · Tampa, Fl

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••• J•••••• P•••••• · Ownercontrol
since 12/2022 · owns 25% to 50% of C••• W••••••• H•••••••• L••
W•••••••• S••••• T••••• · Ownercontrol
since 12/2022 · owns 25% to 50% of C••• W••••••• H•••••••• L••
G•••••••• L•••••• G••• · Cco
since 07/2020 · owns less than 5%

Entity owners

C••• W••••••• H•••••••• L•• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

C••• S•••• B••••••• P•••
real estaten
C••• W••••••• F••••••••• L••
real estaten

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Tampa, Fl · principal	5	2	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

custody status changedChange between filings · filing Jan 26, 2026
custody of client assets (Item 9.A): no on the filing of 2025-07-25, yes on the filing of 2026-01-26
peers: independent wealth managers, $100M to $500M (5,678)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 1,012 to 1,168
Jul 25, 2025 to Jan 26, 2026
Advisory employees · 4 to 5
Jul 25, 2025 to Jan 26, 2026
Corporate clients · 5 to 1
Jul 25, 2025 to Jan 26, 2026
HNW clients · 126 to 133
Jul 25, 2025 to Jan 26, 2026
Individual clients · 162 to 189
Jul 25, 2025 to Jan 26, 2026
Assets in custody · unset to 81465578.0
Jul 25, 2025 to Jan 26, 2026
Custody of client assets · false to true
Jul 25, 2025 to Jan 26, 2026
Employees · 6 to 9
Jul 25, 2025 to Jan 26, 2026
Discretionary RAUM · $329M to $409M
Jul 25, 2025 to Jan 26, 2026
HNW RAUM · $283M to $350M
Jul 25, 2025 to Jan 26, 2026
Individual RAUM · $42.7M to $56.8M
Jul 25, 2025 to Jan 26, 2026
RAUM · $329M to $409M
Jul 25, 2025 to Jan 26, 2026
Financial planning clients · 101-250 to 101-250
Mar 27, 2025 to Jul 25, 2025
Accounts · 905 to 1,012
Mar 14, 2024 to Feb 6, 2025
HNW clients · 125 to 126
Mar 14, 2024 to Feb 6, 2025
Individual clients · 141 to 162
Mar 14, 2024 to Feb 6, 2025
Employees · 5 to 6
Mar 14, 2024 to Feb 6, 2025
Discretionary RAUM · $279M to $329M
Mar 14, 2024 to Feb 6, 2025
HNW RAUM · $244M to $283M
Mar 14, 2024 to Feb 6, 2025
Individual RAUM · $31.0M to $42.7M
Mar 14, 2024 to Feb 6, 2025
RAUM · $279M to $329M
Mar 14, 2024 to Feb 6, 2025
Accounts · 796 to 905
Feb 27, 2023 to Mar 14, 2024
Corporate clients · unset to 5.0
Feb 27, 2023 to Mar 14, 2024
HNW clients · 115 to 125
Feb 27, 2023 to Mar 14, 2024
Individual clients · 129 to 141
Feb 27, 2023 to Mar 14, 2024
Employees · 10 to 5
Feb 27, 2023 to Mar 14, 2024
Discretionary RAUM · $210M to $279M
Feb 27, 2023 to Mar 14, 2024
HNW RAUM · $185M to $244M
Feb 27, 2023 to Mar 14, 2024
Individual RAUM · $22.9M to $31.0M
Feb 27, 2023 to Mar 14, 2024
RAUM · $210M to $279M
Feb 27, 2023 to Mar 14, 2024
Accounts · 727 to 796
Mar 19, 2022 to Feb 27, 2023
Corporate clients · 1.0 to unset
Mar 19, 2022 to Feb 27, 2023
HNW clients · 78 to 115
Mar 19, 2022 to Feb 27, 2023
Individual clients · 139 to 129
Mar 19, 2022 to Feb 27, 2023
Employees · 7 to 10
Mar 19, 2022 to Feb 27, 2023
Financial planning clients · 51-100 to 101-250
Mar 19, 2022 to Feb 27, 2023
State-registered IARs · 3 to 4
Mar 19, 2022 to Feb 27, 2023
Discretionary RAUM · $189M to $210M
Mar 19, 2022 to Feb 27, 2023
HNW RAUM · $153M to $185M
Mar 19, 2022 to Feb 27, 2023
Individual RAUM · $29.1M to $22.9M
Mar 19, 2022 to Feb 27, 2023

Signals

2 dated events

Edward Brian Code (Member) no longer on Schedule A of C••• W••••••• L•• (listed 2023-02-27, absent 2024-03-14)
Mar 14, 2024 · Control person left · inference
C••• W••••••• L•• filed its initial SEC registration (Form ADV)
Jul 20, 2020 · 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: 813-281-5394reportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 813-287-8775reportedpublished by the firm, firm site, Sep 17, 2026
Website: C•••W•••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 813-287-8775reportedpublic record, Form ADV, Jan 26, 2026
Contact form: codewaechter.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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: $81.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026