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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••••••• F••••• O••••••• L••
Latest filing Apr 23, 2026
First filing on the tape Sep 12, 2018 · 15 filings
SEC status approved since Oct 11, 2018
RAUM
$541M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$535M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$108M
derived; firm RAUM over IAPD count
Employees
6
5 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$541M as of Apr 23, 2026
Feb 8, 2019$180M then
HNW client RAUM$512M as of Apr 23, 2026
Feb 8, 2019$179M then
State-registered IARs (5.B.3)5 as of Apr 23, 2026
Feb 8, 20193 then
Employees (5.A)6 as of Apr 23, 2026
Feb 8, 20193 then
Private funds: no history
RAUM +13% over the last fiscal year+20% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 23, 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
- RAUM per advisor
- $108MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.5MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $170M, 70 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)
- compensates persons for client referrals (8.G.1)
- 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$512M95%
- Individuals$23.6M4.4%
- Charitable organizations$5.7M1.1%
- Individual clients
- 68reported
- HNW clients
- 68reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 324reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $170M for 70 clientsreported
- Compensation
- % of AUMreported
- 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•••••• R••••• M••••••Chartered Financial Analyst | Sarasota, Fl | Jan 7, 2019 | 14 y | 0 |
| S•••• F•••••••• G•••Personal Financial Specialist | Sarasota, Fl | Jan 15, 2019 | 25 y | 2 |
| E••• C•••••• P•••••Chartered Financial Analyst | Sarasota, Fl | Jan 15, 2019 | 19 y | 1 |
| K••••••• B• B••• | Sarasota, Fl | Jul 30, 2020 | 17 y | 1 |
| J•••••• J••••• H•••• D•••••Chartered Financial Analyst | Sarasota, Fl | Sep 21, 2020 | 11 y | 2 |
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
- J•••••• J••••• H•••• D••••• from T••••• A••••••• S•••••••• I•••Sep 21, 2020 · Affiliated broker-dealer or bank to independent RIA
- K••••••• B• B••• from G•• A••••••• S•••••••• L••Jul 30, 2020 · Other
- S•••• F•••••••• G••• from G•• A••••••• S•••••••• L••Jan 15, 2019 · Other
- E••• C•••••• P••••• from G•• A••••••• S•••••••• L••Jan 15, 2019 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from G•• A••••••• S•••••••• L••Dec 31, 2017 · Sarasota, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• S••••• F•••••••• · Managercontrolsince 10/2018 · owns 50% to 75%
- M••••••• J••••••• R••••• · Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
- P•••••• E•••• C•••••• · Managercontrolsince 10/2018 · 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 |
|---|---|---|---|---|---|
| Sarasota, Fl · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 288 to 324Mar 24, 2025 to Mar 18, 2026
- HNW clients · 60 to 68Mar 24, 2025 to Mar 18, 2026
- Individual clients · 74 to 68Mar 24, 2025 to Mar 18, 2026
- Assets in custody · $152M to $170MMar 24, 2025 to Mar 18, 2026
- Discretionary RAUM · $480M to $541MMar 24, 2025 to Mar 18, 2026
- HNW RAUM · $447M to $512MMar 24, 2025 to Mar 18, 2026
- Individual RAUM · $28.3M to $23.6MMar 24, 2025 to Mar 18, 2026
- RAUM · $480M to $541MMar 24, 2025 to Mar 18, 2026
- Accounts · 280 to 288Nov 1, 2024 to Mar 24, 2025
- HNW clients · 52 to 60Nov 1, 2024 to Mar 24, 2025
- Individual clients · 76 to 74Nov 1, 2024 to Mar 24, 2025
- Assets in custody · $174M to $152MNov 1, 2024 to Mar 24, 2025
- Financial planning clients · 101-250 to 101-250Nov 1, 2024 to Mar 24, 2025
- Discretionary RAUM · $464M to $480MNov 1, 2024 to Mar 24, 2025
- HNW RAUM · $430M to $447MNov 1, 2024 to Mar 24, 2025
- Individual RAUM · $29.4M to $28.3MNov 1, 2024 to Mar 24, 2025
- RAUM · $464M to $480MNov 1, 2024 to Mar 24, 2025
- Accounts · 229 to 280Mar 27, 2023 to Mar 21, 2024
- Charity clients · 1 to 4Mar 27, 2023 to Mar 21, 2024
- HNW clients · 45 to 52Mar 27, 2023 to Mar 21, 2024
- Individual clients · 68 to 76Mar 27, 2023 to Mar 21, 2024
- Assets in custody · $107M to $174MMar 27, 2023 to Mar 21, 2024
- Financial planning clients · 51-100 to 101-250Mar 27, 2023 to Mar 21, 2024
- Discretionary RAUM · $315M to $464MMar 27, 2023 to Mar 21, 2024
- HNW RAUM · $290M to $430MMar 27, 2023 to Mar 21, 2024
- Individual RAUM · $23.4M to $29.4MMar 27, 2023 to Mar 21, 2024
- RAUM · $315M to $464MMar 27, 2023 to Mar 21, 2024
- Accounts · 196 to 229Mar 23, 2022 to Mar 27, 2023
- HNW clients · 42 to 45Mar 23, 2022 to Mar 27, 2023
- Individual clients · 49 to 68Mar 23, 2022 to Mar 27, 2023
- Assets in custody · $139M to $107MMar 23, 2022 to Mar 27, 2023
- Discretionary RAUM · $367M to $315MMar 23, 2022 to Mar 27, 2023
- HNW RAUM · $352M to $290MMar 23, 2022 to Mar 27, 2023
- Individual RAUM · $13.3M to $23.4MMar 23, 2022 to Mar 27, 2023
- RAUM · $367M to $315MMar 23, 2022 to Mar 27, 2023
- Accounts · 166 to 196Feb 25, 2021 to Mar 23, 2022
- HNW clients · 32 to 42Feb 25, 2021 to Mar 23, 2022
- Individual clients · 41 to 49Feb 25, 2021 to Mar 23, 2022
- Assets in custody · $113M to $139MFeb 25, 2021 to Mar 23, 2022
- Discretionary RAUM · $302M to $367MFeb 25, 2021 to Mar 23, 2022
Signals
3 dated events
- C••••••• F••••• O••••••• L•• reported RAUM $463.7M, up 47% from $314.6M (2023-03-27 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- Render Jeffrey Mullens (Chief Compliance Officer) appeared on Schedule A of C••••••• F••••• O••••••• L••Feb 8, 2019 · Control person joined · fact
- C••••••• F••••• O••••••• L•• filed its initial SEC registration (Form ADV)Sep 12, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••• F••••• O••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s•••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 941-556-9294reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (941) 556-9294reportedpublic record, Form ADV, Apr 23, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- c•••••••••.comreportedpublished 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
- $108Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026