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

W•••••••• A•••••••• L••

Independent wealth managerSarasota, FloridaCRD 306196SEC 801-135441websiteIAPD
Latest filing Aug 30, 2026
First filing on the tape Mar 4, 2026 · 3 filings
SEC status approved since Mar 4, 2026
RAUM
$147M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
90%
$131M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$48.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$147M as of Aug 30, 2026
Mar 4, 2026$147M then
HNW client RAUM$101M as of Aug 30, 2026
Mar 4, 2026$101M then
State-registered IARs (5.B.3)2 as of Aug 30, 2026
Mar 4, 20262 then
Employees (5.A)2 as of Aug 30, 2026
Mar 4, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 30, 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
RAUM per advisor
$48.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
32derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$236,071derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
yesreportedItem 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$101M69%
  • Individuals$30.7M21%
  • Pension and profit-sharing plans$9.7M6.6%
  • Corporations and businesses$3.0M2.0%
  • Pooled investment vehicles$2.6M1.8%
Individual clients
66reported
HNW clients
29reported
Pension plan clients
3reported
Charitable clients
0reported
Accounts
621reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.9 fund_share=0.02 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••••• J••• H•••••••••Sarasota, Fl Jun 15, 202118 y4
R•••••• A•••• R•••••Sarasota, FlOct 19, 202311 y0
J••••••• L• D•••Certified Financial PlannerSarasota, FlMay 22, 202617 y2
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Sarasota, Fl · principal310
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
  • S•••• P••••• K•••••• left W•••••••• A•••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2023-08-18)
    Feb 7, 2023 · 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
Website
wealthgenadvisor.com/resourcesreportedpublic record, Form ADV, Sep 19, 2026
Principal office phone
(941) 706-4151reportedpublic record, Form ADV, Aug 30, 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
$48.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026