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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Former SEC-registered adviser

A•••••••• P•••••• A•••••••• L••

Former SEC-registered adviserSarasota, FloridaCRD 309649SEC 801-119298IAPD
Latest filing Mar 17, 2021
First filing on the tape Jul 16, 2020 · 6 filings
RAUM
$911M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$885M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$911M as of Mar 17, 2021
Jul 16, 2020$0 then
HNW client RAUM$810M as of Mar 17, 2021
Dec 11, 2020$757M then
State-registered IARs (5.B.3)9 as of Mar 17, 2021
Jul 16, 20208 then
Employees (5.A)17 as of Mar 17, 2021
Jul 16, 202015 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 17, 2021; every figure names its basis
RAUM per advisor
$101MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
52derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$666,980derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
4.5derived2 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, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$787M, 680 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
  • High-net-worth individuals$810M89%
  • Individuals$75.3M8.3%
  • Corporations and businesses$14.8M1.6%
  • Charitable organizations$7.7M0.8%
  • Pension and profit-sharing plans$3.6M0.4%
Individual clients
189reported
HNW clients
279reported
Pension plan clients
n/areported
Charitable clients
6reported
Accounts
1,366reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$787M for 680 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••••• P•••• B•••• · Chief Operating Officercontrol
    since 08/2020 · owns 10% to 25%
  • J••••• B•••••••• W•••••• · Chief Investment Officercontrol
    since 08/2020 · owns 10% to 25%
  • K••••••• M•••••• J•• · Managing Member And Chief Compliance Officercontrol
    since 08/2020 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Sarasota, FL1 employees
What changed
consecutive filings, newest first
  • Accounts · 1,296 to 1,366
    Dec 11, 2020 to Mar 16, 2021
  • Charity clients · 5 to 6
    Dec 11, 2020 to Mar 16, 2021
  • HNW clients · 275 to 279
    Dec 11, 2020 to Mar 16, 2021
  • Individual clients · 182 to 189
    Dec 11, 2020 to Mar 16, 2021
  • Assets in custody · unset to 787084564.0
    Dec 11, 2020 to Mar 16, 2021
  • Custody of client assets · false to true
    Dec 11, 2020 to Mar 16, 2021
  • Employees · 15 to 17
    Dec 11, 2020 to Mar 16, 2021
  • Financial planning clients · 0 to 101-250
    Dec 11, 2020 to Mar 16, 2021
  • State-registered IARs · 8 to 9
    Dec 11, 2020 to Mar 16, 2021
  • Discretionary RAUM · $845M to $906M
    Dec 11, 2020 to Mar 16, 2021
  • HNW RAUM · $757M to $810M
    Dec 11, 2020 to Mar 16, 2021
  • Individual RAUM · $68.8M to $75.3M
    Dec 11, 2020 to Mar 16, 2021
  • Non-discretionary RAUM · $5.3M to $5.4M
    Dec 11, 2020 to Mar 16, 2021
  • Pension RAUM · $3.5M to $3.6M
    Dec 11, 2020 to Mar 16, 2021
  • RAUM · $850M to $911M
    Dec 11, 2020 to Mar 16, 2021
  • Accounts · 0 to 1,296
    Aug 18, 2020 to Dec 11, 2020
  • Charity clients · unset to 5.0
    Aug 18, 2020 to Dec 11, 2020
  • HNW clients · unset to 275.0
    Aug 18, 2020 to Dec 11, 2020
  • Individual clients · unset to 182.0
    Aug 18, 2020 to Dec 11, 2020
  • Discretionary RAUM · $0 to $845M
    Aug 18, 2020 to Dec 11, 2020
  • HNW RAUM · unset to 757019926.0
    Aug 18, 2020 to Dec 11, 2020
  • Individual RAUM · unset to 68839881.0
    Aug 18, 2020 to Dec 11, 2020
  • Non-discretionary RAUM · $0 to $5.3M
    Aug 18, 2020 to Dec 11, 2020
  • Pension RAUM · unset to 3532630.0
    Aug 18, 2020 to Dec 11, 2020
  • RAUM · $0 to $850M
    Aug 18, 2020 to Dec 11, 2020
Signals
1 dated events
  • A•••••••• P•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Jul 16, 2020 · 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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026