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
U•• A•••••••
Legal name U•• A••••••• L••
Latest filing Sep 9, 2026
First filing on the tape Mar 30, 2026 · 4 filings
SEC status approved since Apr 29, 2026
RAUM
$200M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$200M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$66.8M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$200M as of Jul 24, 2026
Mar 30, 2026$159M then
HNW client RAUM$151M as of Jul 24, 2026
Mar 30, 2026$47.4M then
State-registered IARs (5.B.3)6 as of Jul 24, 2026
Mar 30, 20262 then
Employees (5.A)6 as of Jul 24, 2026
Mar 30, 20265 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 9, 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
- $50.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $373,718derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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
- High-net-worth individuals$151M76%
- Individuals$48.9M24%
- Individual clients
- 111reported
- HNW clients
- 62reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 536reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• G••••• L••••••Certified Financial Planner, Chartered Financial Consultant | Jupiter, Fl | Jan 14, 2025 | 16 y | 2 |
| E••• H•••• L••••••Certified Financial Planner | Jupiter, Fl | Nov 13, 2025 | 15 y | 3 |
| A••• Y••••• E••••• | Jupiter, Fl | Jul 28, 2026 | 16 y | 0 |
| R•••• H•••• P•••• | Jupiter, Fl | Sep 14, 2026 | 12 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R•••• H•••• P•••• from A•• C•••••• A•••••••Sep 14, 2026 · RIA to RIA
- E••• H•••• L•••••• from G••••••• W••••• M•••••••••Nov 13, 2025 · Other
- J•••• G••••• L•••••• from G••••••• W••••• M•••••••••Jan 14, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• E•••• H•••• · President/Chief Compliance Officercontrolsince 08/2017 · owns 50% to 75%
- L••••••• J••••• G••••• · Managing Directorcontrolsince 08/2017 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Jupiter, Fl · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 6 to 4Jul 24, 2026 to Sep 9, 2026
- Employees · 6 to 7Jul 24, 2026 to Sep 9, 2026
- Financial planning clients · 51-100 to 51-100Jul 24, 2026 to Sep 9, 2026
- State-registered IARs · 6 to 4Jul 24, 2026 to Sep 9, 2026
- Succession · false to unsetJul 24, 2026 to Sep 9, 2026
- Accounts · 503 to 536May 4, 2026 to Jul 24, 2026
- Advisory employees · 2 to 6May 4, 2026 to Jul 24, 2026
- HNW clients · 52 to 62May 4, 2026 to Jul 24, 2026
- Individual clients · 117 to 111May 4, 2026 to Jul 24, 2026
- Assets in custody · 144552464.0 to unsetMay 4, 2026 to Jul 24, 2026
- Custody of client assets · true to falseMay 4, 2026 to Jul 24, 2026
- Employees · 5 to 6May 4, 2026 to Jul 24, 2026
- State-registered IARs · 2 to 6May 4, 2026 to Jul 24, 2026
- Discretionary RAUM · $176M to $200MMay 4, 2026 to Jul 24, 2026
- HNW RAUM · $127M to $151MMay 4, 2026 to Jul 24, 2026
- Individual RAUM · $48.4M to $48.9MMay 4, 2026 to Jul 24, 2026
- RAUM · $176M to $200MMay 4, 2026 to Jul 24, 2026
- Accounts · 487 to 503Mar 30, 2026 to May 4, 2026
- HNW clients · 123 to 52Mar 30, 2026 to May 4, 2026
- Individual clients · 45 to 117Mar 30, 2026 to May 4, 2026
- Discretionary RAUM · $159M to $176MMar 30, 2026 to May 4, 2026
- HNW RAUM · $47.4M to $127MMar 30, 2026 to May 4, 2026
- Individual RAUM · $111M to $48.4MMar 30, 2026 to May 4, 2026
- RAUM · $159M to $176MMar 30, 2026 to May 4, 2026
Signals
1 dated events
- R•••• H•••• P•••• registered as an investment adviser representative at U•• A•••••••Sep 14, 2026 · Advisor registered · 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 email
- info@ursadvisory.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 561-584-6892reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 561-594-0100reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/ursadvisoryreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 561-594-0100reportedpublic record, Form ADV, Sep 9, 2026
- Team page
- URSADVISORY.COM/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $66.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026