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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A••••••••• I••••••••• A•••••••
Legal name A••••••••• I••••••••• A•••••••• L••
Latest filing Jul 16, 2026
First filing on the tape Jun 19, 2020 · 36 filings
SEC status approved since Dec 10, 2019
RAUM
$3.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
32%
$1.3B individuals and HNW
Advisors
33
registered through the firm on IAPD
RAUM per advisor
$118M
derived; firm RAUM over IAPD count
Employees
58
38 advisory (5.B.1)
Offices
17
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$3.9B as of Jul 16, 2026
Mar 1, 2022$112M then
HNW client RAUM$792M as of Jul 16, 2026
Mar 1, 2022$21.3M then
State-registered IARs (5.B.3)38 as of Jul 16, 2026
Mar 29, 20211 then
Employees (5.A)58 as of Jul 16, 2026
Mar 29, 20212 then
Private funds: no history
RAUM +19% over the last fiscal year+118% a year over threeIARs 46 to 38offices 16 to 17
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $118MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $907,119derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 67%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.8derived18 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Custody
- $49.3M, 106 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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
- Pension and profit-sharing plans$1.3B34%
- State and municipal entities$1.3B33%
- High-net-worth individuals$792M20%
- Individuals$466M12%
- Corporations and businesses$9.3M0.2%
- Charitable organizations$406,4550.0%
- Individual clients
- 1,437reported
- HNW clients
- 381reported
- Pension plan clients
- 330reported
- Charitable clients
- n/areported
- Accounts
- 4,276reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $49.3M for 106 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.32 fund_share=0.0 institutional_share=0.67 related_bd=true related_bank=false bd_reps=24.0derived
Advisors registered through the firm
31 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• A••• J••••Certified Financial Planner | Wake Forest, Nc | Oct 21, 2022 | 13 y | 2 |
| R••••• L••••••• M••••Certified Financial Planner, Personal Financial Specialist | Plantation, Fl | Oct 24, 2022 | 30 y | 8 |
| S•••••• E••••• R••••• | Tampa, Fl | Dec 1, 2022 | 32 y | 7 |
| B•••••• C•••• B••••• | Lancaster, Pa | Jan 5, 2023 | 11 y | 1 |
| D••••• G•••• S••••••• | Madison, Wi | Jan 25, 2023 | 31 y | 4 |
| G••• M•••••• C••••••• | Moon Township, Pa | Apr 4, 2023 | 27 y | 4 |
| R••• C••••••••• B••••••• | Tampa, Fl | Jul 24, 2023 | 12 y | 2 |
| S•••• P••••••• H•••••• S•••••• | Houston, Tx | Mar 22, 2024 | 13 y | 3 |
| D•••• M•••••• M•••••Chartered Financial Consultant | Houston, Tx | May 6, 2024 | 38 y | 3 |
| C•••••• E••• O•••••• | Atlanta, Ga | May 16, 2024 | 33 y | 1 |
| B•••••• R• H••••••Certified Financial Planner | Tampa, Fl | May 29, 2024 | 11 y | 1 |
| A••••• M••••• B••••••• | Lexington, Ky | Jun 11, 2024 | 10 y | 3 |
| M•••••• B•••• H•••••• | Lexington, Ky | Jun 11, 2024 | 14 y | 1 |
| K•••• W•••• K••••••••• | Nashville, Il | Jul 31, 2024 | 22 y | 1 |
| T••• P••••• | Nashville, Il | Jul 31, 2024 | 15 y | 1 |
| L•• D•••••• B••••••••• | Nashville, Il | Jul 31, 2024 | 18 y | 4 |
| B•••• D•• H••••••Chartered Financial Consultant | Nashville, Il | Jul 31, 2024 | 41 y | 3 |
| J•••• L•• D••••• | Niceville, Fl | Jul 31, 2024 | 10 y | 2 |
| J••••• C••• A•••• | Eagle, Id | Jul 31, 2024 | 13 y | 1 |
| N•• M••••• B••••Certified Financial Planner | Nashville, Il | Aug 1, 2024 | 43 y | 2 |
| A••••• G•••••••• K••••••• | Nashville, Il | Aug 5, 2024 | 10 y | 1 |
| D•••••• J••• V•••••Certified Financial Planner | Dewitt, Mi | Oct 7, 2024 | 23 y | 2 |
| S•••••• M•••••• E•• | Dewitt, Mi | Oct 21, 2024 | 29 y | 2 |
| I•• F•••••• S•••• | Madison, Wi | Jan 15, 2025 | 26 y | 0 |
| M•••• J••• M•••• | Nashville, Il | Jan 29, 2025 | 12 y | 0 |
| M•••• P•••••• W•••••• | Wilmington, De | Mar 13, 2025 | 20 y | 1 |
| D•••• C••••••••• R•••• | Plantation, Fl | Jan 1, 2026 | 10 y | 1 |
| M•••••• J••• V••••••• | Dewitt, Mi | Jan 1, 2026 | 17 y | 5 |
| S••• T••••• H••• | Lake Worth, Fl | Jan 6, 2026 | 11 y | 0 |
| K•••• J•••• S••••••Certified Financial Planner | Nashville, Il | Jan 7, 2026 | 10 y | 1 |
| W•••••• E••• B••••••••• | Lexington, Ky | May 13, 2026 | 13 y | 0 |
Advisor movement
7 left, 3 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 21% of current headcount11 left over 36 months
Left, latest
- I••••• C•••••••• G•••••• to S••••••••• F•••••••• G••••• L••May 18, 2026 · RIA to RIA
- K•••• D• W••••••••• to L•• F•••••••• L••May 12, 2026 · RIA to affiliated broker-dealer or bank
- J•••••• L• B••••••••• to P•••••••• S••••••••• I•••Apr 6, 2026 · RIA to affiliated broker-dealer or bank
- K•••••• R•••• to I•• A••••••• S•••••••• I•••Mar 16, 2026 · RIA to RIA
- J••••• W•••••• C••••••••• to O•••••••••Feb 5, 2026 · Other
- T•••••• P• S••••• to L•• F•••••••• L••Jan 2, 2026 · RIA to affiliated broker-dealer or bank
- R•••••• A••• H•••••••• to S••Nov 7, 2025 · RIA to RIA
- C••••••••• N••••••••• to V••••••• A•••••••• I•••Apr 14, 2025 · RIA to affiliated broker-dealer or bank
- T••••• D••••• M•••• to C••••••Apr 4, 2024 · RIA to RIA
- B••••• L•• L••••• to E••••••••• W••••• A•••••••• L••Apr 4, 2024 · RIA to RIA
- B••••• E••••• S••••••••• to A•••••••• C•••••• M•••••••••Sep 20, 2023 · RIA to RIA
Joined, latest
- K•••• J•••• S•••••• from K••••• A••••••• S•••••••• L••Jan 7, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••••• J••• V••••••• from C••••• C•••••• M•••••••••Jan 1, 2026 · RIA to RIA
- D•••• C••••••••• R•••• from F•••••• 3•• G•••• L••Jan 1, 2026 · RIA to RIA
- M•••• P•••••• W•••••• from L••••••••• F••••••••Mar 13, 2025 · RIA to RIA
- K•••••• R•••• from W•••• I••••••••• A•••••••• L••Jan 29, 2025 · Other
- J•••••• L• B••••••••• from W•••• I••••••••• A•••••••• L••Oct 31, 2024 · Other
- S•••••• M•••••• E•• from C••••• C•••••• M•••••••••Oct 21, 2024 · RIA to RIA
- D•••••• J••• V••••• from C••••• C•••••• M•••••••••Oct 7, 2024 · RIA to RIA
- K•••• D• W••••••••• from W•••• I••••••••• A•••••••• L••Aug 27, 2024 · Other
- A••••• G•••••••• K••••••• from K••••• A••••••• S•••••••• L••Aug 5, 2024 · Affiliated broker-dealer or bank to independent RIA
- N•• M••••• B•••• from K••••• A••••••• S•••••••• L••Aug 1, 2024 · Affiliated broker-dealer or bank to independent RIA
- B•••• D•• H•••••• from K••••• A••••••• S•••••••• L••Jul 31, 2024 · Affiliated broker-dealer or bank to independent RIA
- T••• P••••• from K••••• A••••••• S•••••••• L••Jul 31, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••••• C••• A•••• from K••••• A••••••• S•••••••• L••Jul 31, 2024 · Affiliated broker-dealer or bank to independent RIA
- T•••••• P• S••••• from K••••• A••••••• S•••••••• L••Jul 31, 2024 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C••••• C•••••• M•••••••••Nov 26, 2024 · Dewitt, Mi · Firm absorbed
- 2 joined from K••••• A••••••• S•••••••• L••Aug 2, 2024 · Belleville, Il
- 3 joined from K••••• A••••••• S•••••••• L••Aug 2, 2024 · Lexington, Ky
- 4 joined from K••••• A••••••• S•••••••• L••Aug 2, 2024 · Austin, Tx
- 2 joined from K••••• A••••••• S•••••••• L••Jun 11, 2024 · Lexington, Ky
- 2 joined from F•••••• 3•• G•••• L••Feb 24, 2023 · Plantation, Fl
- 2 joined from M••••• W••••• M•••••••••Dec 15, 2022 · M•••••, Pa
- 2 joined from S••••••••• A•••••• A•••••••• I•••Jul 6, 2021 · Plantation, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• J•••••• P• · President / Ccocontrolsince 05/2019 · owns less than 5%
- H••••• A•••••• F•••• · Chief Executive Officercontrolsince 06/2025 · owns less than 5%
- K••••• C••••••• N•• · Chief Compliance Officercontrolsince 05/2025 · owns less than 5%
- K••••••• S••••••• K• · Secretarycontrolsince 05/2019 · owns less than 5%
- V••••••••• P•••• A••••• · Elected Managercontrolsince 05/2019 · owns less than 5%
- C••••••••• S••••• B•••••• · Enforcercontrolsince 09/2015 · owns F of H••••• I• P•••••• T••••
- G•••••• A•••••• W•••••• · Trusteecontrolsince 12/2018 · owns F of H••••• I• P•••••• T••••
- W•••• J••••••••• M••• L• M••••• · Trusteecontrolsince 05/2010 · owns F of H••••• I• P•••••• T••••
Entity owners
- A••••••••• C••••••• I••• · Sole Memberdirect · owns 75% or more
- A••• G••••••• ••••••• P•• L•••••• A••• I• C••• · Shareholderindirect · owns 75% or more of A••• I• G• C•• L••••••
- A••• I• U•• G• L••• I••• · General Partnerindirect · owns F of A••• I• U•• L•••
- A••• I• G• C•• L•••••• · Shareholderindirect · owns 75% or more of Y••• B•••• A••••••••• G• C•• L••••••
- A••• I• G• C•• L•••••• · General Partnerindirect · owns F of A••• I• U•• G• L••• I•••
- A••• I• U•• G• L••• I••• · General Partnerindirect · owns F of A• U•• ••••••• L•••
- A••••••••• I••• · Shareholderindirect · owns 75% or more of A••••••••• C••••••• I•••
- D•••••• M••••• I••• · Shareholderindirect · owns 75% or more of A••••••••• I•••
- D•••••• T••••• I••• · Shareholderindirect · owns 75% or more of D•••••• M••••• I•••
- G••• ••• I•••••••• L• · L•••••• Partnerindirect · owns 50% to 75% of T•• A••••••••• G•••• L•
- G••• F••• X•••• L• · L•••••• Partnerindirect · owns 25% to 50% of G••• ••• I•••••••• L•
- G••• I••••••••• X•• L•• · General Partnerindirect · owns F of G••• P••••••• X•••••• L•
- G••• P••••••• X•••••• L• · General Partnerindirect · owns F of G••• F••• X•••• L•
- G••• P••••••• X•••••• L• · Memberindirect · owns 50% to 75% of T•• A••••••••• G•••• G•• L••
- H••••• I• P•••••• T•••• · Shareholderindirect · owns 75% or more of A••• G••••••• ••••••• P•• L•••••• A••• I• C•••
- T•• A••••••••• G•••• G•• L•• · General Partnerindirect · owns F of T•• A••••••••• G•••• L•
- T•• A••••••••• G•••• L• · Shareholderindirect · owns 75% or more of D•••••• T••••• I•••
- Y••• B•••• A••••••••• G• C•• L•••••• · General Partnerindirect · owns F of Y••• B•••• A••••••••• L•
- Y••• B•••• A••••••••• G• C•• L•••••• · Memberindirect · owns 50% to 75% of T•• A••••••••• G•••• G•• L••
- A• U•• ••••••• L••• · L•••••• Partnerindirect · owns 25% to 50% of A••• I• U•• L•••
Related persons
Schedule D 7.A
- A••••••••• C••••••• I•••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Nashville, Il | 8 | 1 | 1 | ||
| Tampa, Fl · principal | 7 | 1 | 1 | ||
| Dewitt, Mi | 3 | 1 | 0 | ||
| Lexington, Ky | 3 | 1 | 0 | ||
| Plantation, Fl | 2 | 1 | 0 | ||
| Denver, Co | 2 | 0 | 3 | ||
| Houston, Tx | 2 | 0 | 2 | ||
| Madison, Wi | 2 | 0 | 0 | ||
| Nashville, Tn | 2 | 1 | 0 | ||
| Wilmington, De | 2 | 0 | 0 | ||
| Seattle, Wa | 1 | 0 | 0 | ||
| Lancaster, Pa | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Dewitt, MI3 employees
- Lancaster, PA3 employees
- Plantation, FL3 employees
- Seattle, WA2 employees
- Lexington, KY2 employees
- Wilmington, DE2 employees
- Atlanta, GA2 employees
- , 1 employees
- Denver, CO1 employees
- Houston, TX1 employees
- Houston, TX1 employees
- Madison, WI1 employees
- Pittsburgh, PA1 employees
- Sewickly, PA1 employees
ADV anomalies
7 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Jul 16, 2026institutional share of RAUM of 67% against a peer median of 3% (1362 comparable advisers, 99.0th percentile, 16.1 robust deviations)peers: WEALTH_I•••••••••, $1B to $5B (1,362) · 99% percentile
- control person changedChange between filings · filing Jul 16, 2026C•••••••• J•••••• P• (PRESIDENT / CCO) left Schedule A between the filings of 2024-05-17 and 2026-07-16peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 16, 2026W•••• J••••••••• M••• L• M••••• (TRUSTEE) left Schedule A between the filings of 2024-05-17 and 2026-07-16peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 16, 2026K••••• C••••••• n•• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-05-17 and 2026-07-16peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 16, 2026C••••••••• S••••• B•••••• (ENFORCER) left Schedule A between the filings of 2024-05-17 and 2026-07-16peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 16, 2026V••••••••• P•••• A••••• (ELECTED MANAGER) left Schedule A between the filings of 2024-05-17 and 2026-07-16peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 16, 2026G•••••• A•••••• W•••••• (TRUSTEE) left Schedule A between the filings of 2024-05-17 and 2026-07-16peers: WEALTH_I•••••••••, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 3,759 to 4,276Nov 26, 2025 to Feb 25, 2026
- Advisory employees · 46 to 38Nov 26, 2025 to Feb 25, 2026
- BD registered reps · 29 to 24Nov 26, 2025 to Feb 25, 2026
- Corporate clients · 6 to 11Nov 26, 2025 to Feb 25, 2026
- HNW clients · 420 to 381Nov 26, 2025 to Feb 25, 2026
- Individual clients · 1,205 to 1,437Nov 26, 2025 to Feb 25, 2026
- Pension plan clients · 314 to 330Nov 26, 2025 to Feb 25, 2026
- Assets in custody · $40.4M to $49.3MNov 26, 2025 to Feb 25, 2026
- Employees · 69 to 58Nov 26, 2025 to Feb 25, 2026
- Insurance-licensed employees · 6 to 5Nov 26, 2025 to Feb 25, 2026
- State-registered IARs · 46 to 38Nov 26, 2025 to Feb 25, 2026
- Other offices · 16 to 17Nov 26, 2025 to Feb 25, 2026
- Discretionary RAUM · $3.3B to $3.9BNov 26, 2025 to Feb 25, 2026
- HNW RAUM · $761M to $792MNov 26, 2025 to Feb 25, 2026
- Individual RAUM · $352M to $466MNov 26, 2025 to Feb 25, 2026
- Pension RAUM · $974M to $1.3BNov 26, 2025 to Feb 25, 2026
- RAUM · $3.3B to $3.9BNov 26, 2025 to Feb 25, 2026
- Related adviser · false to trueJun 5, 2025 to Nov 26, 2025
- Financial planning clients · 251-500 to 251-500May 27, 2025 to Jun 5, 2025
- Accounts · 601 to 3,759Feb 13, 2025 to Mar 21, 2025
- Advisory employees · 16 to 46Feb 13, 2025 to Mar 21, 2025
- BD registered reps · 6 to 29Feb 13, 2025 to Mar 21, 2025
- Charity clients · 0.0 to unsetFeb 13, 2025 to Mar 21, 2025
- Corporate clients · 1 to 6Feb 13, 2025 to Mar 21, 2025
- HNW clients · 56 to 420Feb 13, 2025 to Mar 21, 2025
- Individual clients · 199 to 1,205Feb 13, 2025 to Mar 21, 2025
- Pension plan clients · 0 to 314Feb 13, 2025 to Mar 21, 2025
- Assets in custody · unset to 40427688.0Feb 13, 2025 to Mar 21, 2025
- Custody of client assets · false to trueFeb 13, 2025 to Mar 21, 2025
- Employees · 23 to 69Feb 13, 2025 to Mar 21, 2025
- Insurance-licensed employees · 3 to 6Feb 13, 2025 to Mar 21, 2025
- State-registered IARs · 16 to 46Feb 13, 2025 to Mar 21, 2025
- Other offices · 15 to 16Feb 13, 2025 to Mar 21, 2025
- Discretionary RAUM · $179M to $3.3BFeb 13, 2025 to Mar 21, 2025
- HNW RAUM · $111M to $761MFeb 13, 2025 to Mar 21, 2025
- Individual RAUM · $68.2M to $352MFeb 13, 2025 to Mar 21, 2025
- Pension RAUM · unset to 973567062.0Feb 13, 2025 to Mar 21, 2025
- RAUM · $179M to $3.3BFeb 13, 2025 to Mar 21, 2025
- Related insurance company · false to trueFeb 13, 2025 to Mar 21, 2025
- Advisory employees · 15 to 16Oct 7, 2024 to Nov 26, 2024
Signals
28 dated events
- I••••• C•••••••• G•••••• left A••••••••• I••••••••• A••••••• for S••••••••• F•••••••• G••••• L•• (registered 2026-06-11)May 18, 2026 · Advisor changed firm · fact
- K•••• D• W••••••••• left A••••••••• I••••••••• A••••••• for L•• F•••••••• L•• (registered 2026-05-26)May 12, 2026 · Advisor changed firm · fact
- J•••••• L• B••••••••• left A••••••••• I••••••••• A••••••• for P•••••••• S••••••••• I••• (registered 2026-04-15)Apr 6, 2026 · Advisor changed firm · fact
- K•••••• R•••• left A••••••••• I••••••••• A••••••• for I•• A••••••• S•••••••• I••• (registered 2026-03-06)Mar 16, 2026 · Advisor changed firm · fact
- J••••• W•••••• C••••••••• left A••••••••• I••••••••• A••••••• for Onedigital (registered 2026-06-15)Feb 5, 2026 · Advisor changed firm · fact
- C••••••••• D•••• Strother no longer registered at A••••••••• I••••••••• A•••••••; no later IA registration on IAPDJan 30, 2026 · Advisor departure · fact
- T•••••• P• S••••• left A••••••••• I••••••••• A••••••• for L•• F•••••••• L•• (registered 2026-01-22)Jan 2, 2026 · Advisor changed firm · fact
- R•••••• A••• H•••••••• left A••••••••• I••••••••• A••••••• for Scs (registered 2025-10-13)Nov 7, 2025 · Advisor changed firm · fact
- C••••••••• N••••••••• left A••••••••• I••••••••• A••••••• for V••••••• A•••••••• I••• (registered 2025-10-16)Apr 14, 2025 · Advisor changed firm · fact
- A••••••••• I••••••••• A••••••• reported RAUM $3.3B, up 1716% from $179.0M (2025-02-13 to 2025-03-21)Mar 21, 2025 · RAUM change · derived
- A••••••••• I••••••••• A••••••• reported 46 state-registered advisory representatives, up from 16 (2025-02-13 to 2025-03-21)Mar 21, 2025 · Advisor headcount change · derived
- C••••• C•••••• M•••••••••'s advisors moved to A••••••••• I••••••••• A••••••• (Dewitt, MI): 3 of 3 registered, on the same dayNov 26, 2024 · Firm absorbed (people side) · derived
- 2 advisors left K••••• A••••••• S•••••••• L•• (Lexington, KY) for A••••••••• I••••••••• A••••••• on the same dayAug 2, 2024 · Team lift-out · derived
- 3 advisors left K••••• A••••••• S•••••••• L•• (Nashville, IL) for A••••••••• I••••••••• A••••••• within 3 daysAug 2, 2024 · Team lift-out · derived
- 3 advisors left K••••• A••••••• S•••••••• L•• (Austin, TX) for A••••••••• I••••••••• A••••••• on the same dayAug 2, 2024 · Team lift-out · derived
- 2 advisors left K••••• A••••••• S•••••••• L•• (Lexington, KY) for A••••••••• I••••••••• A••••••• on the same dayJun 11, 2024 · Team lift-out · derived
- Floyd Arthur Hazen (Chief Operating Officer) appeared on Schedule A of A••••••••• I••••••••• A•••••••May 17, 2024 · Control person joined · fact
- B••••• L•• L••••• left A••••••••• I••••••••• A••••••• for E••••••••• W••••• A•••••••• L•• (registered 2024-03-28)Apr 4, 2024 · Advisor changed firm · fact
- T••••• D••••• M•••• left A••••••••• I••••••••• A••••••• for Corient (registered 2024-11-13)Apr 4, 2024 · Advisor changed firm · fact
- A••••••••• I••••••••• A••••••• reported RAUM $179.0M, down 52% from $372.0M (2024-01-12 to 2024-01-31)Jan 31, 2024 · RAUM change · derived
- B••••• E••••• S••••••••• left A••••••••• I••••••••• A••••••• for A•••••••• C•••••• M••••••••• (registered 2023-04-03)Sep 20, 2023 · Advisor changed firm · fact
- A••••••••• I••••••••• A••••••• reported 6 offices beyond its principal office, up from 1 (2023-07-11 to 2023-07-24)Jul 24, 2023 · Office count change · derived
- A••••••••• I••••••••• A••••••• reported RAUM $372.0M, up 233% from $111.7M (2023-01-09 to 2023-02-28)Feb 28, 2023 · RAUM change · derived
- 2 advisors left F•••••• 3•• G•••• L•• (Plantation, FL) for A••••••••• I••••••••• A••••••• on the same dayFeb 24, 2023 · Team lift-out · derived
- 2 advisors left M••••• W••••• M••••••••• (Milton, PA) for A••••••••• I••••••••• A••••••• on the same dayDec 15, 2022 · Team lift-out · derived
- W••••• J•••• H•••••••• (Elected Manager) no longer on Schedule A of A••••••••• I••••••••• A••••••• (listed 2021-03-29, absent 2022-03-01)Mar 1, 2022 · Control person left · inference
- E••••• T••••• R•••• (Elected Manager) no longer on Schedule A of A••••••••• I••••••••• A••••••• (listed 2021-03-29, absent 2022-03-01)Mar 1, 2022 · Control person left · inference
- Milton Jeffrey Mcclure (Chief Executive Officer) no longer on Schedule A of A••••••••• I••••••••• A••••••• (listed 2020-06-19, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
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
- 517-669-1600reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/assuredpartners-investment-advisorsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- chesme.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 407-708-0050reportedpublic record, Form ADV, Jul 16, 2026
- Team page
- chesme.com/our-teamreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $118Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026