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
P••••••••• F•••••••• S•••••••• L••
Latest filing Sep 15, 2026
First filing on the tape Nov 6, 2020 · 21 filings
SEC status approved since Jan 3, 2025
RAUM
$143M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
100%
$143M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$71.3M
derived; firm RAUM over IAPD count
Employees
4
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$143M as of Aug 25, 2026
Mar 7, 2021$0 then
HNW client RAUM$98.9M as of Aug 25, 2026
Mar 31, 2022$34.8M then
State-registered IARs (5.B.3)2 as of Aug 25, 2026
Mar 7, 20211 then
Employees (5.A)4 as of Aug 25, 2026
Mar 7, 20211 then
Private funds: no history
RAUM +30% over the last fiscal year+35% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 15, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $71.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $282,295derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $66.0M, 90 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$98.9M69%
- Individuals$43.7M31%
- Individual clients
- 102reported
- HNW clients
- 42reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 505reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $101M managedreported
- Custody of client assets
- $66.0M for 90 clientsreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• M•••••• S•••••• | Clearwater, Fl | Feb 17, 2021 | 12 y | 2 |
| E••••• M••••••• H•••• | Clearwater, Fl | Feb 21, 2025 | 13 y | 0 |
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
- T••• M•••••• S•••••• from S•••••• P••••••• I••••••••• A•••••••• L••Feb 17, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• T•••• M•••••• · Managing Member, Principal And Chief Compliance Officercontrolsince 11/2020 · owns 75% or more
Related persons
Schedule D 7.A
- T•• A•• T•••• M••••••••• S•••••••• L••insurancen
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
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $0 to $66.0MAug 25, 2026 to Sep 15, 2026
- Financial planning clients · 26-50 to 26-50Aug 25, 2026 to Sep 15, 2026
- Succession · false to unsetAug 25, 2026 to Sep 15, 2026
- Accounts · 443 to 505Jul 28, 2025 to Jan 21, 2026
- HNW clients · 31 to 42Jul 28, 2025 to Jan 21, 2026
- Individual clients · 96 to 102Jul 28, 2025 to Jan 21, 2026
- Financial planning clients · 11-25 to 26-50Jul 28, 2025 to Jan 21, 2026
- Discretionary RAUM · $101M to $131MJul 28, 2025 to Jan 21, 2026
- HNW RAUM · $67.3M to $98.9MJul 28, 2025 to Jan 21, 2026
- Individual RAUM · $42.1M to $43.7MJul 28, 2025 to Jan 21, 2026
- Non-discretionary RAUM · $8.6M to $12.0MJul 28, 2025 to Jan 21, 2026
- RAUM · $109M to $143MJul 28, 2025 to Jan 21, 2026
- Employees · 5 to 4Apr 14, 2025 to Jul 28, 2025
- Financial planning clients · 11-25 to 11-25Apr 14, 2025 to Jul 28, 2025
- Advisory employees · 1 to 2Feb 21, 2025 to Apr 14, 2025
- Employees · 4 to 5Feb 21, 2025 to Apr 14, 2025
- State-registered IARs · 1 to 2Feb 21, 2025 to Apr 14, 2025
- Accounts · 429 to 443Dec 20, 2024 to Feb 21, 2025
- Charity clients · 1 to 0Dec 20, 2024 to Feb 21, 2025
- HNW clients · 33 to 31Dec 20, 2024 to Feb 21, 2025
- Individual clients · 94 to 96Dec 20, 2024 to Feb 21, 2025
- Assets in custody · $66.0M to $0Dec 20, 2024 to Feb 21, 2025
- Financial planning clients · 51-100 to 11-25Dec 20, 2024 to Feb 21, 2025
- Discretionary RAUM · $101M to $101MDec 20, 2024 to Feb 21, 2025
- HNW RAUM · $68.6M to $67.3MDec 20, 2024 to Feb 21, 2025
- Individual RAUM · $40.6M to $42.1MDec 20, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $8.7M to $8.6MDec 20, 2024 to Feb 21, 2025
- RAUM · $109M to $109MDec 20, 2024 to Feb 21, 2025
- Wrap assets (manager) · $66.0M to $101MDec 20, 2024 to Feb 21, 2025
- Accounts · 246 to 429Mar 29, 2023 to Nov 25, 2024
- Charity clients · unset to 1.0Mar 29, 2023 to Nov 25, 2024
- Corporate clients · unset to 0.0Mar 29, 2023 to Nov 25, 2024
- HNW clients · 24 to 33Mar 29, 2023 to Nov 25, 2024
- Individual clients · 71 to 94Mar 29, 2023 to Nov 25, 2024
- Pension plan clients · unset to 0.0Mar 29, 2023 to Nov 25, 2024
- Pooled vehicle clients · unset to 0.0Mar 29, 2023 to Nov 25, 2024
- Assets in custody · $33.9M to $66.0MMar 29, 2023 to Nov 25, 2024
- Discretionary RAUM · $57.6M to $101MMar 29, 2023 to Nov 25, 2024
- HNW RAUM · $33.9M to $68.6MMar 29, 2023 to Nov 25, 2024
- Individual RAUM · $23.7M to $40.6MMar 29, 2023 to Nov 25, 2024
Signals
1 dated events
- P••••••••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Nov 25, 2024 · 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
- 727-754-4401reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- p••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 727-754-4401reportedpublic record, Form ADV, Sep 15, 2026
- Contact form
- p••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- p••••••••.comreportedpublished 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
- $71.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026