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
C••••• 3•• W•••••• L••
Latest filing Jan 23, 2026
First filing on the tape May 25, 2018 · 15 filings
SEC status approved since Jun 25, 2018
RAUM
$383M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
92%
$351M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$63.8M
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$383M as of Jan 23, 2026
Mar 4, 2019$107M then
HNW client RAUM$306M as of Jan 23, 2026
Mar 4, 2019$79.2M then
State-registered IARs (5.B.3)8 as of Jan 23, 2026
Mar 4, 20193 then
Employees (5.A)9 as of Jan 23, 2026
Mar 4, 20195 then
Private funds: no history
RAUM +21% over the last fiscal year+18% a year over threeIARs 6 to 8
Practice profile
derived from the filing of Jan 23, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $63.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $403,394derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 8.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Wrap fee program
- $324MreportedItem 5.I
- Custody
- $11.4M, 11 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$306M80%
- Individuals$44.9M12%
- Pension and profit-sharing plans$31.1M8.1%
- Charitable organizations$1.0M0.3%
- Individual clients
- 179reported
- HNW clients
- 134reported
- Pension plan clients
- 28reported
- Charitable clients
- n/areported
- Accounts
- 949reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $11.4M for 11 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• C••• L•••••• | Ocala, Fl | Jul 10, 2018 | 21 y | 2 |
| L•••• M••••••••• P••••• | Ocala, Fl | Aug 31, 2018 | 17 y | 4 |
| J•••• G••• L•••••Certified Financial Planner | Ocala, Fl | Aug 31, 2018 | 14 y | 2 |
| J••• D•••• C••••••••• | Ocala, Fl | Apr 28, 2022 | 13 y | 1 |
| T•••••• E• K•••••••• | Ocala, Fl | Jul 25, 2023 | 14 y | 0 |
| H••••• D•••• | Ocala, Fl | Jan 12, 2026 | 11 y | 0 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount2 left over 36 months
Left, latest
- J••• W•••••• G••••• to G••••• R••• W••••• M••••••••• L••Jan 23, 2026 · RIA to a state-registered adviser
- W•••••• G••••••• R••• to G••••• R••• W••••• M••••••••• L••Jan 23, 2026 · RIA to a state-registered adviser
Joined, latest
- J••• D•••• C••••••••• from C••• B•••••••• S•••••••• I•••Apr 28, 2022 · RIA to RIA
- L•••• M••••••••• P••••• from F•••Aug 31, 2018 · Other
- J•••• G••• L••••• from F•••Aug 31, 2018 · Other
- R•••••• C••• L•••••• from S•••••••• F•••••••• A••••••• L••Jul 10, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• L••••• M••••••••• · Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- L••••••• R••••••• C••• · Membercontrolsince 09/2005 · owns 75% or more of L•••••• F•••••••• S•••••••• L••
- L•••••• J••••• G••• · Membercontrolsince 01/2018 · owns F of P••••• W••••• M••••••••• L••
- P•••••• L••••• M••••••••• · Membercontrolsince 01/2018 · owns 75% or more of P••••• W••••• M••••••••• L••
Entity owners
- L•••••• F•••••••• S•••••••• L•• · Partnerdirect · owns 25% to 50%
- P••••• W••••• M••••••••• L•• · Partnerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- L••••••• C•••• • A••••••••• L••insurancen
- M••••••• W••••• I••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ocala, Fl · principal | 6 | 1 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 858 to 949Feb 7, 2025 to Jan 23, 2026
- Advisory employees · 6 to 8Feb 7, 2025 to Jan 23, 2026
- Advisory activities · 2 to 3Feb 7, 2025 to Jan 23, 2026
- HNW clients · 121 to 134Feb 7, 2025 to Jan 23, 2026
- Individual clients · 175 to 179Feb 7, 2025 to Jan 23, 2026
- Pension plan clients · 32 to 28Feb 7, 2025 to Jan 23, 2026
- Assets in custody · $10.9M to $11.4MFeb 7, 2025 to Jan 23, 2026
- State-registered IARs · 6 to 8Feb 7, 2025 to Jan 23, 2026
- Discretionary RAUM · $258M to $324MFeb 7, 2025 to Jan 23, 2026
- HNW RAUM · $246M to $306MFeb 7, 2025 to Jan 23, 2026
- Individual RAUM · $39.3M to $44.9MFeb 7, 2025 to Jan 23, 2026
- Non-discretionary RAUM · $57.5M to $59.1MFeb 7, 2025 to Jan 23, 2026
- Pension RAUM · $29.5M to $31.1MFeb 7, 2025 to Jan 23, 2026
- RAUM · $316M to $383MFeb 7, 2025 to Jan 23, 2026
- Accounts · 772 to 858Feb 14, 2024 to Feb 7, 2025
- Advisory employees · 5 to 6Feb 14, 2024 to Feb 7, 2025
- Individual clients · 177 to 175Feb 14, 2024 to Feb 7, 2025
- Pension plan clients · 29 to 32Feb 14, 2024 to Feb 7, 2025
- Assets in custody · $2.3M to $10.9MFeb 14, 2024 to Feb 7, 2025
- Financial planning clients · 1-10 to 1-10Feb 14, 2024 to Feb 7, 2025
- Discretionary RAUM · $222M to $258MFeb 14, 2024 to Feb 7, 2025
- HNW RAUM · $209M to $246MFeb 14, 2024 to Feb 7, 2025
- Individual RAUM · $30.3M to $39.3MFeb 14, 2024 to Feb 7, 2025
- Non-discretionary RAUM · $38.5M to $57.5MFeb 14, 2024 to Feb 7, 2025
- Pension RAUM · $20.4M to $29.5MFeb 14, 2024 to Feb 7, 2025
- RAUM · $261M to $316MFeb 14, 2024 to Feb 7, 2025
- Accounts · 734 to 772Feb 24, 2023 to Feb 14, 2024
- Advisory employees · 3 to 5Feb 24, 2023 to Feb 14, 2024
- HNW clients · 100 to 121Feb 24, 2023 to Feb 14, 2024
- Individual clients · 166 to 177Feb 24, 2023 to Feb 14, 2024
- Pension plan clients · 28 to 29Feb 24, 2023 to Feb 14, 2024
- Assets in custody · $472,316 to $2.3MFeb 24, 2023 to Feb 14, 2024
- Employees · 7 to 9Feb 24, 2023 to Feb 14, 2024
- State-registered IARs · 3 to 6Feb 24, 2023 to Feb 14, 2024
- Discretionary RAUM · $186M to $222MFeb 24, 2023 to Feb 14, 2024
- HNW RAUM · $178M to $209MFeb 24, 2023 to Feb 14, 2024
- Individual RAUM · $34.0M to $30.3MFeb 24, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $44.8M to $38.5MFeb 24, 2023 to Feb 14, 2024
- Pension RAUM · $18.3M to $20.4MFeb 24, 2023 to Feb 14, 2024
- RAUM · $231M to $261MFeb 24, 2023 to Feb 14, 2024
Signals
4 dated events
- J••• W•••••• G••••• left C••••• 3•• W•••••• L•• for G••••• R••• W••••• M••••••••• L•• (registered 2026-03-17)Jan 23, 2026 · Advisor changed firm · fact
- W•••••• G••••••• R••• left C••••• 3•• W•••••• L•• for G••••• R••• W••••• M••••••••• L•• (registered 2026-03-17)Jan 23, 2026 · Advisor changed firm · fact
- 2 advisors left C••••• 3•• W•••••• L•• (Ocala, FL) for G••••• R••• W••••• M••••••••• L•• on the same dayJan 23, 2026 · Team lift-out · derived
- M••••••• W•••••• L•• filed its initial SEC registration (Form ADV)May 25, 2018 · 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
- 352-657-3600reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- canopy360.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (352) 369-1120reportedpublic record, Form ADV, Jan 23, 2026
- Contact form
- canopy360.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- canopy360.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $63.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026