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.

SEC-registered adviser

Proxy Wealth Advisors LLC

Independent wealth managerWindermere, FloridaCRD 298080SEC 801-128321websiteIAPD
Latest filing Apr 9, 2026
First filing on the tape Jun 12, 2023 · 25 filings
SEC status approved since Jul 10, 2023
RAUM
$83.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$74.0M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$6.9M
derived; firm RAUM over IAPD count
Employees
25
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$83.3M as of Apr 9, 2026
Mar 19, 2024$133M then
HNW client RAUM$23.1M as of Apr 9, 2026
Mar 19, 2024$25.3M then
State-registered IARs (5.B.3)11 as of Apr 9, 2026
Mar 19, 202411 then
Employees (5.A)25 as of Apr 9, 2026
Mar 19, 202412 then
Private funds: no history
RAUM -7.5% over the last fiscal yearIARs 11 to 11offices 9 to 2
Practice profile
derived from the filing of Apr 9, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$6.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
50derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$135,592derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.1derivedItem 5.A over advisors
Advisors per office
4.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-7.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+7.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$74.7MreportedItem 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
  • 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$50.9M61%
  • High-net-worth individuals$23.1M28%
  • Pension and profit-sharing plans$9.3M11%
Individual clients
595reported
HNW clients
10reported
Pension plan clients
9reported
Charitable clients
n/areported
Accounts
614reported
Financial planning clients
51-100reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Marc Anthony DecuffaChappaqua, Ny Feb 15, 202317 y8
Pietro Bagatim GalinaWindermere, FlSep 8, 202333 y0
Rafael Junqueira NaniWindermere, FlSep 8, 202311 y0
Peterson Italo CenerinoWindermere, Fl Dec 25, 202315 y0
Felipe Demetre MardakisWindermere, Fl Oct 18, 202411 y0
Carolyn ReynoldsWindermere, Fl Feb 27, 202520 y4
Tatiane Silva TeixeiraWindermere, Fl Jun 17, 202512 y0
Raquel SchiavonNoblesville, In Jul 16, 202510 y0
Tulio Barbosa RibeiroAventura, Fl Apr 17, 202613 y1
Charles AchoaWindermere, Fl Jul 30, 202632 y0
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount4 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Wayne Arthur Potter · Ccocontrol
      since 07/2024 · owns less than 5%
    • Bryan Caulkins · Ownercontrol
      since 07/2022 · owns 50% to 75% of Proxy Financial Corp
    • James Christopher Davidson · Ownercontrol
      since 07/2022 · owns 50% to 75% of Proxy Financial Corp
    Entity owners
    • Proxy Financial Corp · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Advisers that list Proxy Wealth Advisors LLC as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Windermere, Fl · principal12221
    Orlando, Fl310
    Offices
    Schedule D 1.F, the 25 largest
    • Miami, FL1 employees
    • Phoenix, AZ1 employees
    • , 1 employees
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • office count dropChange between filings · filing Apr 9, 2026
      offices other than the principal office (Item 1.F.5) moved from 9.0 to 2.0 (-78.0%) between the annual amendments of 2025-03-25 and 2026-04-09; the peer median change was 0.0% (34 comparable advisers, 0.0th percentile of changes)
      peers: independent wealth managers, under $100M (34) · 0.0% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 700 to 614
      Jan 12, 2026 to Mar 31, 2026
    • HNW clients · 14 to 10
      Jan 12, 2026 to Mar 31, 2026
    • Individual clients · 550 to 595
      Jan 12, 2026 to Mar 31, 2026
    • Pension plan clients · unset to 9.0
      Jan 12, 2026 to Mar 31, 2026
    • Other offices · 10 to 2
      Jan 12, 2026 to Mar 31, 2026
    • Discretionary RAUM · $90.0M to $83.3M
      Jan 12, 2026 to Mar 31, 2026
    • HNW RAUM · $28.0M to $23.1M
      Jan 12, 2026 to Mar 31, 2026
    • Individual RAUM · $56.7M to $50.9M
      Jan 12, 2026 to Mar 31, 2026
    • Pension RAUM · $5.3M to $9.3M
      Jan 12, 2026 to Mar 31, 2026
    • RAUM · $90.0M to $83.3M
      Jan 12, 2026 to Mar 31, 2026
    • HQ city · AVENTURA to WINDERMERE
      Jul 16, 2025 to Sep 12, 2025
    • Financial planning clients · 51-100 to 51-100
      Jun 16, 2025 to Jul 16, 2025
    • Other offices · 9 to 10
      Mar 25, 2025 to Jun 16, 2025
    • Accounts · 666 to 700
      Feb 27, 2025 to Mar 25, 2025
    • Advisory employees · 12 to 11
      Feb 27, 2025 to Mar 25, 2025
    • HNW clients · 19 to 14
      Feb 27, 2025 to Mar 25, 2025
    • Individual clients · 548 to 550
      Feb 27, 2025 to Mar 25, 2025
    • Employees · 13 to 25
      Feb 27, 2025 to Mar 25, 2025
    • Financial planning clients · 26-50 to 51-100
      Feb 27, 2025 to Mar 25, 2025
    • State-registered IARs · 12 to 11
      Feb 27, 2025 to Mar 25, 2025
    • Discretionary RAUM · $58.9M to $90.0M
      Feb 27, 2025 to Mar 25, 2025
    • HNW RAUM · $25.3M to $28.0M
      Feb 27, 2025 to Mar 25, 2025
    • Individual RAUM · $98.7M to $56.7M
      Feb 27, 2025 to Mar 25, 2025
    • Non-discretionary RAUM · $73.9M to $0
      Feb 27, 2025 to Mar 25, 2025
    • Pension RAUM · $8.9M to $5.3M
      Feb 27, 2025 to Mar 25, 2025
    • RAUM · $133M to $90.0M
      Feb 27, 2025 to Mar 25, 2025
    • Other offices · 8 to 9
      Nov 11, 2024 to Dec 5, 2024
    • Advisory employees · 11 to 12
      Aug 14, 2024 to Sep 17, 2024
    • Employees · 12 to 13
      Aug 14, 2024 to Sep 17, 2024
    • State-registered IARs · 11 to 12
      Aug 14, 2024 to Sep 17, 2024
    • Other offices · 6 to 8
      Aug 14, 2024 to Sep 17, 2024
    • Other offices · 5 to 6
      Mar 19, 2024 to Apr 15, 2024
    • Accounts · 569 to 666
      Jan 11, 2024 to Mar 19, 2024
    • Advisory employees · 9 to 11
      Jan 11, 2024 to Mar 19, 2024
    • HNW clients · 15 to 19
      Jan 11, 2024 to Mar 19, 2024
    • Individual clients · 453 to 548
      Jan 11, 2024 to Mar 19, 2024
    • Employees · 11 to 12
      Jan 11, 2024 to Mar 19, 2024
    • State-registered IARs · 9 to 11
      Jan 11, 2024 to Mar 19, 2024
    • Discretionary RAUM · $42.9M to $58.9M
      Jan 11, 2024 to Mar 19, 2024
    • HNW RAUM · $15.3M to $25.3M
      Jan 11, 2024 to Mar 19, 2024
    Signals
    13 dated events
    • Proxy Wealth Advisors Llc reported 2 offices beyond its principal office, down from 10 (2026-01-12 to 2026-03-31)
      Mar 31, 2026 · Office count change · derived
    • Dannett June Gardiner left Proxy Wealth Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2025-07-11)
      Dec 17, 2025 · Advisor changed firm · fact
    • Arthur Wayne Potter left Proxy Wealth Advisors Llc for Cambridge Investment Research Advisors, Inc. (registered 2025-06-23)
      Dec 17, 2025 · Advisor changed firm · fact
    • 2 advisors left Proxy Wealth Advisors LLC (Windermere, FL) for Cambridge Investment Research Advisors, Inc. on the same day
      Dec 17, 2025 · Team lift-out · derived
    • Lukas J Dewitt left Proxy Wealth Advisors Llc for Elevate Planners (registered 2024-12-08)
      Oct 24, 2024 · Advisor changed firm · fact
    • Wayne Arthur Potter (Cco) appeared on Schedule A of Proxy Wealth Advisors Llc
      Jul 30, 2024 · Control person joined · fact
    • Oleg Zviagin (Cco) no longer on Schedule A of Proxy Wealth Advisors Llc (listed 2024-04-17, absent 2024-07-30)
      Jul 30, 2024 · Control person left · inference
    • Matthew Lott left Proxy Wealth Advisors Llc for Pruco Securities, Llc (registered 2024-06-26)
      Jun 24, 2024 · Advisor changed firm · fact
    • Proxy Wealth Advisors Llc filed its initial SEC registration (Form ADV)
      Jun 12, 2023 · First SEC registration · fact
    • Jacob Andrew Stinson left Proxy Wealth Advisors Llc for Walser Wealth Management Company, A Limited Liability Company (registered 2023-05-12)
      May 23, 2023 · Advisor changed firm · fact
    • Bryan Caulkins left Proxy Wealth Advisors Llc for United Planners' Financial Services Of America A Limited Partner (registered 2022-09-21)
      Sep 15, 2022 · Advisor changed firm · fact
    • Thet H Myothwe left Proxy Wealth Advisors Llc for United Planners' Financial Services Of America A Limited Partner (registered 2022-08-19)
      Sep 15, 2022 · Advisor changed firm · fact
    • Christopher James Davidson left Proxy Wealth Advisors Llc for United Planners' Financial Services Of America A Limited Partner (registered 2022-09-26)
      Sep 15, 2022 · Advisor changed firm · 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
    Firm profile
    linkedin.com/company/proxy-financial-servicesreportedpublic record, Form ADV, Sep 17, 2026
    Website
    proxywealth.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    646-289-5075reportedpublic record, Form ADV, Apr 9, 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
    $6.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026