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

N••••••••• F•••••••• G••••• L••

Independent wealth managerTampa, FloridaCRD 310394SEC 801-119466websiteIAPD
Latest filing Jul 24, 2026
First filing on the tape Aug 15, 2020 · 22 filings
SEC status approved since Sep 14, 2020
RAUM
$413M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
98%
$405M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$45.9M
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$413M as of Jul 24, 2026
Mar 16, 2021$114M then
HNW client RAUM$330M as of Jul 24, 2026
Mar 16, 2021$75.0M then
State-registered IARs (5.B.3)7 as of Jul 24, 2026
Mar 16, 20218 then
Employees (5.A)11 as of Jul 24, 2026
Mar 16, 202111 then
Private funds: no history
RAUM +35% over the last fiscal year+38% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Jul 24, 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
  • 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
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$45.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
54derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$305,127derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+35%derivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
+13%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program
$373MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$330M80%
  • Individuals$74.6M18%
  • Pension and profit-sharing plans$5.7M1.4%
  • Charitable organizations$1.9M0.5%
  • Corporations and businesses$678,9420.2%
Individual clients
312reported
HNW clients
170reported
Pension plan clients
5reported
Charitable clients
n/areported
Accounts
1,354reported
Financial planning clients
251-500reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=7.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••••• T• C••••Certified Financial PlannerTampa, FlOct 2, 202010 y2
Z•••••• S• B••••Tampa, FlOct 2, 202012 y1
M••• A••• T•••••••••Tampa, FlOct 6, 202032 y6
M•••••• A•••••• O•••••••Tampa, FlAug 3, 202112 y1
N••••• K••••••Certified Financial PlannerTampa, FlJul 11, 202313 y1
R•••• E•••• R••••Tampa, FlFeb 5, 202612 y1
M•• L• V••••••Tampa, FlFeb 23, 202612 y2
B•••• A•••••Tampa, FlJul 17, 202611 y0
E•••• J•••• D• J••••Certified Financial PlannerTampa, FlAug 17, 202620 y5
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • O•••••••• M••••••• A•••••• · Principal And Chief Compliance Officercontrol
    since 08/2020 · 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
OfficeAdvisorsJoinedLeftTeams outForming
Tampa, Fl · principal940
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • RAUM up 25 %Change between filings · filing Feb 27, 2026
    RAUM (Item 5.F) moved from $305,604,820 to $413,141,294 (+35.0%) between the annual amendments of 2025-03-13 and 2026-02-27; the peer median change was +15.0% (4550 comparable advisers, 90.0th percentile of changes)
    peers: independent wealth managers, $100M to $500M (4,550) · 90% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 1,200 to 1,354
    Mar 13, 2025 to Feb 27, 2026
  • Advisory employees · 8 to 7
    Mar 13, 2025 to Feb 27, 2026
  • BD registered reps · 8 to 7
    Mar 13, 2025 to Feb 27, 2026
  • HNW clients · 141 to 170
    Mar 13, 2025 to Feb 27, 2026
  • Individual clients · 285 to 312
    Mar 13, 2025 to Feb 27, 2026
  • Pension plan clients · unset to 5.0
    Mar 13, 2025 to Feb 27, 2026
  • Employees · 12 to 11
    Mar 13, 2025 to Feb 27, 2026
  • Financial planning clients · 101-250 to 251-500
    Mar 13, 2025 to Feb 27, 2026
  • State-registered IARs · 8 to 7
    Mar 13, 2025 to Feb 27, 2026
  • Discretionary RAUM · $243M to $373M
    Mar 13, 2025 to Feb 27, 2026
  • HNW RAUM · $241M to $330M
    Mar 13, 2025 to Feb 27, 2026
  • Individual RAUM · $56.5M to $74.6M
    Mar 13, 2025 to Feb 27, 2026
  • Non-discretionary RAUM · $62.9M to $39.7M
    Mar 13, 2025 to Feb 27, 2026
  • Pension RAUM · $6.2M to $5.7M
    Mar 13, 2025 to Feb 27, 2026
  • RAUM · $306M to $413M
    Mar 13, 2025 to Feb 27, 2026
  • Financial planning clients · 101-250 to 101-250
    Feb 10, 2025 to Mar 13, 2025
  • Accounts · 906 to 1,200
    Jul 8, 2024 to Feb 10, 2025
  • Advisory employees · 7 to 8
    Jul 8, 2024 to Feb 10, 2025
  • BD registered reps · 7 to 8
    Jul 8, 2024 to Feb 10, 2025
  • HNW clients · 219 to 141
    Jul 8, 2024 to Feb 10, 2025
  • Individual clients · 112 to 285
    Jul 8, 2024 to Feb 10, 2025
  • Pension plan clients · 4.0 to unset
    Jul 8, 2024 to Feb 10, 2025
  • Employees · 10 to 12
    Jul 8, 2024 to Feb 10, 2025
  • Financial planning clients · 51-100 to 101-250
    Jul 8, 2024 to Feb 10, 2025
  • State-registered IARs · 7 to 8
    Jul 8, 2024 to Feb 10, 2025
  • Discretionary RAUM · $175M to $243M
    Jul 8, 2024 to Feb 10, 2025
  • HNW RAUM · $43.1M to $241M
    Jul 8, 2024 to Feb 10, 2025
  • Individual RAUM · $161M to $56.5M
    Jul 8, 2024 to Feb 10, 2025
  • Non-discretionary RAUM · $34.4M to $62.9M
    Jul 8, 2024 to Feb 10, 2025
  • Pension RAUM · $5.1M to $6.2M
    Jul 8, 2024 to Feb 10, 2025
  • RAUM · $209M to $306M
    Jul 8, 2024 to Feb 10, 2025
  • Accounts · 821 to 906
    Jan 3, 2024 to Mar 14, 2024
  • BD registered reps · 8 to 7
    Jan 3, 2024 to Mar 14, 2024
  • HNW clients · 106 to 219
    Jan 3, 2024 to Mar 14, 2024
  • Individual clients · 217 to 112
    Jan 3, 2024 to Mar 14, 2024
  • Pension plan clients · 7 to 4
    Jan 3, 2024 to Mar 14, 2024
  • Employees · 11 to 10
    Jan 3, 2024 to Mar 14, 2024
  • Discretionary RAUM · $140M to $175M
    Jan 3, 2024 to Mar 14, 2024
  • HNW RAUM · $114M to $43.1M
    Jan 3, 2024 to Mar 14, 2024
  • Individual RAUM · $35.7M to $161M
    Jan 3, 2024 to Mar 14, 2024
Signals
3 dated events
  • N••••••••• F•••••••• G••••• L•• reported RAUM $413.1M, up 35% from $305.6M (2025-03-13 to 2026-02-27)
    Feb 27, 2026 · RAUM change · derived
  • D•• Y••• L•••• left N••••••••• F•••••••• G••••• L•• for L•••••• I••••••••• (registered 2024-02-08)
    Jan 3, 2024 · Advisor changed firm · fact
  • N••••••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)
    Aug 15, 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.
How to reach
public business contact points only, each with its source
Business phone
813-877-8000reportedpublished by the firm, firm site, Sep 15, 2026
Business phone
813-877-8001reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile
linkedin.com/company/9398333/adminreportedpublic record, Form ADV, Sep 18, 2026
Website
NorthbridgeFG.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
(813) 877-8000reportedpublic record, Form ADV, Jul 24, 2026
Contact form
NorthbridgeFG.com/contact-inforeportedpublished by the firm, firm site, Sep 15, 2026
Team page
NorthbridgeFG.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
Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor
$45.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026