DFX Intelligence

RIA Intelligence

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SEC-registered adviser

T•••• F••••••••

Independent wealth managerJacksonville, FloridaCRD 300043SEC 801-120648website IAPD

Legal name P••••••• S•••••••• I••••••••• L••

Latest filing Mar 30, 2026

First filing on the tape Dec 17, 2018 · 26 filings

SEC status approved since Mar 29, 2021

RAUM

$109M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$109M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$109M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM$109M as of Mar 30, 2026

Jan 20, 2022$140M then

HNW client RAUM$25.7M as of Mar 30, 2026

Jan 20, 2022$109M then

State-registered IARs (5.B.3)1 as of Mar 30, 2026

Jan 20, 20222 then

Employees (5.A)2 as of Mar 30, 2026

Jan 20, 20225 then

Private funds: no history

RAUM +2.7% over the last fiscal year-3.2% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

Archetypes, each a printed rule

Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $109MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 620derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $802,249derivedHNW RAUM over HNW clients
Average account: $106,703derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +2.7%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -3.1%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$83.2M76%
High-net-worth individuals$25.7M24%

Individual clients: 588reported
HNW clients: 32reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1,020reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M•••• J••••• P••••Certified Financial Planner	Jacksonville, Fl	Jan 31, 2020	18 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 headcount1 left over 36 months

Left, latest

K••••• A••••• F•••••• to P••••••••• P••••••• I•••
Mar 27, 2024 · RIA to a state-registered adviser

Joined, latest

M•••• J••••• P•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Jan 31, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
K••••• A••••• F•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Feb 14, 2019 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Feb 12, 2019 · Jacksonville, Fl

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P••••• M••••• J••••• · Owner And Chief Compliance Officercontrol
since 02/2013 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Advisers that list T•••• F•••••••• as a related person

315789 n

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Jacksonville, Fl · principal	1	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

account count surgeChange between filings · filing Mar 30, 2026
accounts (Item 5.F.2.f) moved from 628.0 to 1,020.0 (+62.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +5.0% (3685 comparable advisers, 96.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (3,685) · 96% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 628 to 1,020
Mar 31, 2025 to Mar 30, 2026
HNW clients · 36 to 32
Mar 31, 2025 to Mar 30, 2026
Individual clients · 604 to 588
Mar 31, 2025 to Mar 30, 2026
Discretionary RAUM · $106M to $109M
Mar 31, 2025 to Mar 30, 2026
HNW RAUM · $34.0M to $25.7M
Mar 31, 2025 to Mar 30, 2026
Individual RAUM · $72.0M to $83.2M
Mar 31, 2025 to Mar 30, 2026
RAUM · $106M to $109M
Mar 31, 2025 to Mar 30, 2026
Accounts · 1,902 to 628
Jul 1, 2024 to Mar 31, 2025
Advisory employees · 2 to 1
Jul 1, 2024 to Mar 31, 2025
HNW clients · 21 to 36
Jul 1, 2024 to Mar 31, 2025
Individual clients · 972 to 604
Jul 1, 2024 to Mar 31, 2025
Financial planning clients · 251-500 to 251-500
Jul 1, 2024 to Mar 31, 2025
State-registered IARs · 2 to 1
Jul 1, 2024 to Mar 31, 2025
Discretionary RAUM · $155M to $106M
Jul 1, 2024 to Mar 31, 2025
HNW RAUM · $33.0M to $34.0M
Jul 1, 2024 to Mar 31, 2025
Individual RAUM · $122M to $72.0M
Jul 1, 2024 to Mar 31, 2025
RAUM · $155M to $106M
Jul 1, 2024 to Mar 31, 2025
Accounts · 902 to 1,902
Aug 7, 2023 to Feb 14, 2024
Advisory employees · 3 to 2
Aug 7, 2023 to Feb 14, 2024
HNW clients · 20 to 21
Aug 7, 2023 to Feb 14, 2024
Individual clients · 902 to 972
Aug 7, 2023 to Feb 14, 2024
Employees · 5 to 2
Aug 7, 2023 to Feb 14, 2024
Insurance-licensed employees · 1 to 0
Aug 7, 2023 to Feb 14, 2024
State-registered IARs · 3 to 2
Aug 7, 2023 to Feb 14, 2024
Discretionary RAUM · $120M to $155M
Aug 7, 2023 to Feb 14, 2024
HNW RAUM · $31.0M to $33.0M
Aug 7, 2023 to Feb 14, 2024
Individual RAUM · $89.0M to $122M
Aug 7, 2023 to Feb 14, 2024
RAUM · $120M to $155M
Aug 7, 2023 to Feb 14, 2024
Insurance-licensed employees · 0 to 1
Feb 24, 2023 to Aug 7, 2023
Advisory employees · 2 to 3
Feb 16, 2023 to Feb 24, 2023
State-registered IARs · 2 to 3
Feb 16, 2023 to Feb 24, 2023
Accounts · 873 to 902
Dec 22, 2022 to Feb 16, 2023
Individual clients · 853 to 902
Dec 22, 2022 to Feb 16, 2023
Discretionary RAUM · $140M to $120M
Dec 22, 2022 to Feb 16, 2023
HNW RAUM · $109M to $31.0M
Dec 22, 2022 to Feb 16, 2023
Individual RAUM · $31.0M to $89.0M
Dec 22, 2022 to Feb 16, 2023
RAUM · $140M to $120M
Dec 22, 2022 to Feb 16, 2023
Business name · M•• F•••••••• to T•••• F••••••••
Jan 20, 2022 to Jun 23, 2022
Accounts · 1,163 to 873
Dec 16, 2021 to Jan 20, 2022
HNW clients · 15 to 20
Dec 16, 2021 to Jan 20, 2022

Signals

2 dated events

K••••• A••••• F•••••• left T•••• F•••••••• for P••••••••• P••••••• I••• (registered 2023-11-13)
Mar 27, 2024 · Advisor changed firm · fact
M•• F•••••••• filed its initial SEC registration (Form ADV)
Dec 17, 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 email: info@toamsfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 800-123-4567reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 904-733-5321reportedpublished by the firm, firm site, Sep 16, 2026
Website: toamsfinancial.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: (904) 733-5321reportedpublic record, Form ADV, Mar 30, 2026
Contact form: toamsfinancial.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
Team page: toamsfinancial.com/who-we-arereportedpublished by the firm, firm site, Sep 16, 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: $109Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026