DFX Intelligence
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T••••• A•••••••• L••
Asset manager (funds and pooled vehicles), based in Naples, Florida, reporting $345M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $345M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +41%
- Private clients
- 0.8% of RAUM, $2.7M
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $244MRAUM now $345M
- Contact points 2
Every filed figure, and the identifiersCRD 291574 · SEC 801-112238 · 19 filingsShowHide
CRD 291574SEC 801-112238First filing on the tape Dec 1, 2017, latest Mar 31, 2026SEC status approved since Dec 29, 2017IAPD
RAUM
$345M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.8%
$2.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$345M as of Mar 31, 2026
Mar 8, 2018$0 then
HNW client RAUM$2.7M as of Mar 31, 2026
Mar 8, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 8, 20181 then
Employees (5.A)5 as of Mar 31, 2026
Mar 8, 20183 then
Private funds: no history
RAUM +41% over the last fiscal year+27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $172MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -67%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$342M99%
- High-net-worth individuals$2.7M0.8%
- Individual clients
- 0reported
- HNW clients
- 1reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.01 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• M•••• L••••••• · Chief Operating Officefrcontrolsince 03/2024 · owns less than 5%
- S•••••••• R•••••• A••••• · Chief Executive Officercontrolsince 11/2017 · owns less than 5%
- S•••••••• R•••••• A••••• · Managing Membercontrolsince 08/2013 · owns 75% or more of R•• A••••••••• L••
- K••••••••• E•••• J••••• · Chief Compliance Officersince 03/2023 · owns less than 5%
Entity owners
- R•• A••••••••• L•• · Managing Memberdirect · owns 50% to 75%
- T•••••• P•••••••• L•• · Memberdirect · owns 5% to 10%
- U•••••• E•••••• S••• L•• · Memberdirect · owns 5% to 10%
- V•••••• E•••••• H•••••••• L•• · Memberdirect · owns 5% to 10%
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 · 4 to 2Mar 27, 2025 to Mar 31, 2026
- HNW clients · 3 to 1Mar 27, 2025 to Mar 31, 2026
- Employees · 4 to 5Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $244M to $345MMar 27, 2025 to Mar 31, 2026
- HNW RAUM · $15.1M to $2.7MMar 27, 2025 to Mar 31, 2026
- RAUM · $244M to $345MMar 27, 2025 to Mar 31, 2026
- Accounts · 6 to 4Mar 20, 2024 to Mar 27, 2025
- BD registered reps · 2 to 1Mar 20, 2024 to Mar 27, 2025
- HNW clients · 5 to 3Mar 20, 2024 to Mar 27, 2025
- Employees · 5 to 4Mar 20, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 27, 2025
- Discretionary RAUM · $191M to $244MMar 20, 2024 to Mar 27, 2025
- HNW RAUM · $17.0M to $15.1MMar 20, 2024 to Mar 27, 2025
- RAUM · $191M to $244MMar 20, 2024 to Mar 27, 2025
- Accounts · 8 to 6Oct 24, 2023 to Mar 20, 2024
- BD registered reps · 3 to 2Oct 24, 2023 to Mar 20, 2024
- Discretionary RAUM · $167M to $191MOct 24, 2023 to Mar 20, 2024
- HNW RAUM · $44.5M to $17.0MOct 24, 2023 to Mar 20, 2024
- RAUM · $167M to $191MOct 24, 2023 to Mar 20, 2024
- BD registered reps · 2 to 3Mar 25, 2022 to Mar 27, 2023
- Employees · 4 to 5Mar 25, 2022 to Mar 27, 2023
- Discretionary RAUM · $176M to $167MMar 25, 2022 to Mar 27, 2023
- HNW RAUM · $81.9M to $44.5MMar 25, 2022 to Mar 27, 2023
- RAUM · $176M to $167MMar 25, 2022 to Mar 27, 2023
- Accounts · 5 to 8Jul 2, 2021 to Mar 25, 2022
- BD registered reps · 3 to 2Jul 2, 2021 to Mar 25, 2022
- HNW clients · unset to 5.0Jul 2, 2021 to Mar 25, 2022
- Employees · 5 to 4Jul 2, 2021 to Mar 25, 2022
- Discretionary RAUM · $147M to $176MJul 2, 2021 to Mar 25, 2022
- HNW RAUM · $94.5M to $81.9MJul 2, 2021 to Mar 25, 2022
- RAUM · $147M to $176MJul 2, 2021 to Mar 25, 2022
- Accounts · 1 to 5Mar 16, 2021 to Jul 2, 2021
- BD registered reps · 4 to 3Mar 16, 2021 to Jul 2, 2021
- HNW clients · 0.0 to unsetMar 16, 2021 to Jul 2, 2021
- Discretionary RAUM · $56.5M to $147MMar 16, 2021 to Jul 2, 2021
- HNW RAUM · $0 to $94.5MMar 16, 2021 to Jul 2, 2021
- RAUM · $56.5M to $147MMar 16, 2021 to Jul 2, 2021
- Advisory employees · 1 to 2May 6, 2020 to Mar 15, 2021
- Advisory activities · 1 to 2May 6, 2020 to Mar 15, 2021
- Discretionary RAUM · $44.6M to $56.5MMay 6, 2020 to Mar 15, 2021
Signals
7 dated events
- ••• LockedMar 31, 2026 · RAUM change · derived
- ••• LockedMar 20, 2024 · Control person left · inference
- ••• LockedMar 20, 2024 · Control person joined · fact
- ••• LockedJul 2, 2021 · Control person left · inference
- ••• LockedJul 2, 2021 · Control person joined · fact
- ••• LockedMay 6, 2020 · Control person left · inference
- ••• LockedDec 1, 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.
How to reach
public business contact points only, each with its source
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 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
- Asset manager (funds and pooled vehicles)deriveda 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