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.
SEC-registered adviser
Dipaolo Financial Group, Inc.
Latest filing Apr 17, 2026
First filing on the tape Apr 11, 2025 · 6 filings
SEC status approved since May 13, 2025
RAUM
$168M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$168M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$33.6M
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$168M as of Apr 17, 2026
Apr 11, 2025$126M then
HNW client RAUM$95.0M as of Apr 17, 2026
Apr 11, 2025$63.1M then
State-registered IARs (5.B.3)3 as of Apr 17, 2026
Apr 11, 20254 then
Employees (5.A)9 as of Apr 17, 2026
Apr 11, 20258 then
Private funds: no history
RAUM +33% over the last fiscal yearIARs 4 to 3offices 1 to 0
Practice profile
derived from the filing of Apr 17, 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
- RAUM per advisor
- $33.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $147,738derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -21%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$95.0M57%
- Individuals$73.0M43%
- Individual clients
- 335reported
- HNW clients
- 73reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,137reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joseph Lauria DipaoloCertified Financial Planner, Chartered Financial Consultant | Lutz, Fl | Aug 27, 2020 | 18 y | 4 |
| Nicole Ann Mitela | Lutz, Fl | Nov 24, 2020 | 11 y | 1 |
| Anthony Lauria DipaoloCertified Financial Planner | Lutz, Fl | Dec 9, 2022 | 11 y | 0 |
| Khaled Hassan | Tampa, Fl | May 21, 2024 | 16 y | 0 |
| Ethan Perry Jacovides | Lutz, Fl | Aug 22, 2026 | 11 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 headcount1 left over 36 months
Left, latest
- Alexander Joseph Hunt to Sound Income Strategies, LLCJan 26, 2024 · RIA to RIA
- Jonathan Keith Britt to FacetAug 5, 2021 · RIA to RIA
Joined, latest
- Alexander Joseph Hunt from Amc Wealth Management, LLCAug 11, 2023 · Other
- Jonathan Keith Britt from Fisher InvestmentsJun 17, 2021 · RIA to RIA
- Nicole Ann Mitela from Morgan StanleyNov 24, 2020 · Wirehouse to independent RIA
- Joseph Lauria Dipaolo from J. W. Cole Advisors, Inc.Aug 27, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lauria Anthony Dipaolo · Vice Presidentcontrolsince 01/2025 · owns 5% to 10%
- Lauria Joseph Dipaolo · Presidentcontrolsince 11/2007 · owns 75% or more
- Elaine Karen Dipaolo · Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Lutz, Fl · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 17, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $125,875,910 to $167,978,157, advisors 4 to 3, private clients 517 to 408, offices 1 to 0 (2025-04-11 to 2026-04-17)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Other offices · 1 to 0Mar 25, 2026 to Apr 17, 2026
- Accounts · 1,059 to 1,137Sep 24, 2025 to Mar 25, 2026
- HNW clients · 58 to 73Sep 24, 2025 to Mar 25, 2026
- Individual clients · 459 to 335Sep 24, 2025 to Mar 25, 2026
- Assets in custody · $125M to $0Sep 24, 2025 to Mar 25, 2026
- Discretionary RAUM · $125M to $166MSep 24, 2025 to Mar 25, 2026
- HNW RAUM · $63.1M to $95.0MSep 24, 2025 to Mar 25, 2026
- Individual RAUM · $62.8M to $73.0MSep 24, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $923,420 to $1.6MSep 24, 2025 to Mar 25, 2026
- RAUM · $126M to $168MSep 24, 2025 to Mar 25, 2026
- Advisory employees · 4 to 3Jul 16, 2025 to Sep 24, 2025
- Employees · 8 to 9Jul 16, 2025 to Sep 24, 2025
- State-registered IARs · 4 to 3Jul 16, 2025 to Sep 24, 2025
- Financial planning clients · 1-10 to 1-10Jun 5, 2025 to Jul 16, 2025
Signals
1 dated events
- Alexander Joseph Hunt left Dipaolo Financial Group, Inc. for Sound Income Strategies, Llc (registered 2025-01-01)Jan 26, 2024 · 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
- Business email
- info@dipaolofinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- fran@dipaolofinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jamie@dipaolofinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- joe@dipaolofinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- karen@dipaolofinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- kelly@dipaolofinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- seena@dipaolofinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- destiny@dipaolofinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 813-475-3130reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 813-501-1361reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- dipaolofinancial.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 813-475-3130reportedpublic record, Form ADV, Apr 17, 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
- $33.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026