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•••••• W••••• M••••••••• L•••••
Latest filing Feb 19, 2026
First filing on the tape Apr 30, 2019 · 21 filings
SEC status approved since May 30, 2019
RAUM
$274M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$269M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$274M as of Feb 19, 2026
Feb 4, 2020$150M then
HNW client RAUM$218M as of Feb 19, 2026
Feb 4, 2020$85.7M then
State-registered IARs (5.B.3)2 as of Feb 19, 2026
Feb 4, 20202 then
Employees (5.A)3 as of Feb 19, 2026
Feb 4, 20203 then
Private funds: no history
RAUM +11% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 19, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 111derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $517,055derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%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
- $7.9M, 9 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
- is an insurance broker or agent (6.A.6)
- 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)
- 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$218M79%
- Individuals$51.0M19%
- Pension and profit-sharing plans$5.5M2.0%
- Individual clients
- 139reported
- HNW clients
- 82reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 530reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.9M for 9 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• W•••••• C••••••••• | Clearwater, Fl | Feb 12, 2019 | 35 y | 5 |
| N••••• R•••• C••••••••• | Clearwater, Fl | Mar 16, 2023 | 25 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
- N••••• R•••• C••••••••• from M••••• S••••••Mar 16, 2023 · Wirehouse to independent RIA
- W•••••• W•••••• C••••••••• from H••••• R••••Feb 12, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• W••••••• W•••••• · Managing Membercontrolsince 09/2017 · owns 75% or more
- G••• N•••••• R•••• · Chief Compliance Officercontrolsince 08/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Clearwater, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Clearwater, FL3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 19, 2026HNW share of RAUM moved from 49.0% to 79.0% between the annual amendments of 2025-03-18 and 2026-02-19peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 515 to 530Oct 23, 2025 to Feb 19, 2026
- HNW clients · 55 to 82Oct 23, 2025 to Feb 19, 2026
- Individual clients · 167 to 139Oct 23, 2025 to Feb 19, 2026
- Pension plan clients · 3 to 2Oct 23, 2025 to Feb 19, 2026
- Assets in custody · $7.3M to $7.9MOct 23, 2025 to Feb 19, 2026
- Discretionary RAUM · $248M to $274MOct 23, 2025 to Feb 19, 2026
- HNW RAUM · $122M to $218MOct 23, 2025 to Feb 19, 2026
- Individual RAUM · $121M to $51.0MOct 23, 2025 to Feb 19, 2026
- Pension RAUM · $4.9M to $5.5MOct 23, 2025 to Feb 19, 2026
- RAUM · $248M to $274MOct 23, 2025 to Feb 19, 2026
- Financial planning clients · 26-50 to 26-50Mar 18, 2025 to May 15, 2025
- Accounts · 527 to 515Feb 26, 2024 to Mar 18, 2025
- Corporate clients · 5 to 0Feb 26, 2024 to Mar 18, 2025
- HNW clients · 62 to 55Feb 26, 2024 to Mar 18, 2025
- Individual clients · 434 to 167Feb 26, 2024 to Mar 18, 2025
- Pension plan clients · 2 to 3Feb 26, 2024 to Mar 18, 2025
- Assets in custody · $10.3M to $7.3MFeb 26, 2024 to Mar 18, 2025
- Other offices · 1 to 0Feb 26, 2024 to Mar 18, 2025
- Discretionary RAUM · $210M to $248MFeb 26, 2024 to Mar 18, 2025
- HNW RAUM · $90.0M to $122MFeb 26, 2024 to Mar 18, 2025
- Individual RAUM · $106M to $121MFeb 26, 2024 to Mar 18, 2025
- Pension RAUM · $4.0M to $4.9MFeb 26, 2024 to Mar 18, 2025
- RAUM · $210M to $248MFeb 26, 2024 to Mar 18, 2025
- Accounts · 530 to 527Oct 4, 2023 to Jan 22, 2024
- Corporate clients · 7 to 5Oct 4, 2023 to Jan 22, 2024
- HNW clients · 22 to 62Oct 4, 2023 to Jan 22, 2024
- Individual clients · 473 to 434Oct 4, 2023 to Jan 22, 2024
- Pension plan clients · 4 to 2Oct 4, 2023 to Jan 22, 2024
- Assets in custody · $0 to $10.3MOct 4, 2023 to Jan 22, 2024
- Other offices · 0 to 1Oct 4, 2023 to Jan 22, 2024
- Discretionary RAUM · $173M to $210MOct 4, 2023 to Jan 22, 2024
- HNW RAUM · $60.2M to $90.0MOct 4, 2023 to Jan 22, 2024
- Individual RAUM · $98.9M to $106MOct 4, 2023 to Jan 22, 2024
- Pension RAUM · $3.2M to $4.0MOct 4, 2023 to Jan 22, 2024
- RAUM · $173M to $210MOct 4, 2023 to Jan 22, 2024
- Accounts · 504 to 530Feb 14, 2022 to Mar 13, 2023
- Advisory employees · 1 to 2Feb 14, 2022 to Mar 13, 2023
- Corporate clients · 5 to 7Feb 14, 2022 to Mar 13, 2023
- HNW clients · 46 to 22Feb 14, 2022 to Mar 13, 2023
- Individual clients · 178 to 473Feb 14, 2022 to Mar 13, 2023
Signals
2 dated events
- Renee Nicole Gay (Chief Compliance Officer) appeared on Schedule A of C•••••• W••••• M••••••••• L•••••Oct 4, 2023 · Control person joined · fact
- C•••••• W••••• M••••••••• L••••• filed its initial SEC registration (Form ADV)Apr 30, 2019 · 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
- 727-446-2306reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- c••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (727) 446-2306reportedpublic record, Form ADV, Feb 19, 2026
- Contact form
- 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
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026