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 Jan 27, 2026
First filing on the tape Nov 21, 2019 · 13 filings
SEC status approved since Feb 16, 2024
RAUM
$140M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$126M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$46.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$140M as of Jan 27, 2026
Feb 3, 2025$116M then
HNW client RAUM$36.0M as of Jan 27, 2026
Feb 3, 2025$35.0M then
State-registered IARs (5.B.3)3 as of Jan 27, 2026
Feb 3, 20252 then
Employees (5.A)3 as of Jan 27, 2026
Feb 3, 20252 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Jan 27, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $46.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $358,056derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 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 individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $140M, 152 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)
- 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
- Individuals$90.0M64%
- High-net-worth individuals$36.0M26%
- Corporations and businesses$12.0M8.6%
- Pension and profit-sharing plans$1.0M0.7%
- Charitable organizations$1.0M0.7%
- Individual clients
- 107reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 391reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $140M managedreported
- Custody of client assets
- $140M for 152 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• S•••••• C•••••• | Destin, Fl | Sep 17, 2020 | 21 y | 2 |
| B••••••• A••• H••• | Destin, Fl | Sep 3, 2025 | 21 y | 0 |
| M•••• S••• L•••• | Destin, Fl | Jan 1, 2026 | 18 y | 2 |
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
Left, latest
none on the tape
Joined, latest
- M•••• S••• L•••• from W•••• F•••• A•••••••Jan 1, 2026 · Wirehouse to independent RIA
- B•••• S•••••• C•••••• from W•••• F•••• A•••••••Sep 17, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Jan 29, 2020 · Destin, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• B••••• S•••••• · Managing Principal / Ccocontrolsince 11/2019 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Destin, Fl · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 342 to 391Feb 3, 2025 to Jan 27, 2026
- Advisory employees · 2 to 3Feb 3, 2025 to Jan 27, 2026
- BD registered reps · 1 to 0Feb 3, 2025 to Jan 27, 2026
- Individual clients · 100 to 107Feb 3, 2025 to Jan 27, 2026
- Assets in custody · $116M to $140MFeb 3, 2025 to Jan 27, 2026
- Employees · 2 to 3Feb 3, 2025 to Jan 27, 2026
- State-registered IARs · 2 to 3Feb 3, 2025 to Jan 27, 2026
- Discretionary RAUM · $116M to $140MFeb 3, 2025 to Jan 27, 2026
- HNW RAUM · $35.0M to $36.0MFeb 3, 2025 to Jan 27, 2026
- Individual RAUM · $70.0M to $90.0MFeb 3, 2025 to Jan 27, 2026
- RAUM · $116M to $140MFeb 3, 2025 to Jan 27, 2026
- Wrap assets (manager) · $116M to $140MFeb 3, 2025 to Jan 27, 2026
- Accounts · 304 to 342Mar 7, 2024 to Feb 3, 2025
- BD registered reps · 0 to 1Mar 7, 2024 to Feb 3, 2025
- Pension plan clients · 20.0 to unsetMar 7, 2024 to Feb 3, 2025
- Assets in custody · $106M to $116MMar 7, 2024 to Feb 3, 2025
- Financial planning clients · 0 to 0Mar 7, 2024 to Feb 3, 2025
- Discretionary RAUM · $106M to $116MMar 7, 2024 to Feb 3, 2025
- HNW RAUM · $27.0M to $35.0MMar 7, 2024 to Feb 3, 2025
- Individual RAUM · $65.0M to $70.0MMar 7, 2024 to Feb 3, 2025
- Pension RAUM · $5.0M to $1.0MMar 7, 2024 to Feb 3, 2025
- RAUM · $106M to $116MMar 7, 2024 to Feb 3, 2025
- Wrap assets (manager) · $106M to $116MMar 7, 2024 to Feb 3, 2025
- Accounts · 0 to 304Oct 29, 2020 to Jan 17, 2024
- Individual clients · unset to 100.0Oct 29, 2020 to Jan 17, 2024
- Pension plan clients · unset to 20.0Oct 29, 2020 to Jan 17, 2024
- Assets in custody · $0 to $106MOct 29, 2020 to Jan 17, 2024
- Discretionary RAUM · $0 to $106MOct 29, 2020 to Jan 17, 2024
- HNW RAUM · unset to 27000000.0Oct 29, 2020 to Jan 17, 2024
- Individual RAUM · unset to 65000000.0Oct 29, 2020 to Jan 17, 2024
- Pension RAUM · unset to 5000000.0Oct 29, 2020 to Jan 17, 2024
- RAUM · $0 to $106MOct 29, 2020 to Jan 17, 2024
- Wrap assets (manager) · $0 to $106MOct 29, 2020 to Jan 17, 2024
- Assets in custody · unset to 0.0Apr 13, 2020 to May 12, 2020
- Custody of client assets · false to trueApr 13, 2020 to May 12, 2020
- Advisory employees · 1 to 2Nov 21, 2019 to Jan 14, 2020
- Employees · 1 to 2Nov 21, 2019 to Jan 14, 2020
- State-registered IARs · 1 to 2Nov 21, 2019 to Jan 14, 2020
Signals
1 dated events
- C•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 21, 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
- Firm profile
- LINKEDIN.COM/COMPANY/C••••••-WEALTH-MANAGEMENT-LLCreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (850) 424-6330reportedpublic record, Form ADV, Jan 27, 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
- $46.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026