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
F•••••••• A••••••• P•••••••• L••
Latest filing Jul 22, 2026
First filing on the tape Dec 1, 2020 · 23 filings
SEC status approved since Jan 4, 2021
RAUM
$378M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$301M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$94.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$378M as of Jul 22, 2026
Mar 16, 2022$306M then
HNW client RAUM$202M as of Jul 22, 2026
Mar 16, 2022$198M then
State-registered IARs (5.B.3)3 as of Jul 22, 2026
Mar 16, 20224 then
Employees (5.A)3 as of Jul 22, 2026
Mar 16, 20224 then
Private funds: no history
RAUM +16% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 22, 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
- $94.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $662,829derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$202M53%
- Individuals$99.4M26%
- Corporations and businesses$39.5M10%
- Charitable organizations$22.5M6.0%
- Insurance companies$13.0M3.4%
- Pension and profit-sharing plans$1.5M0.4%
- Individual clients
- 42reported
- HNW clients
- 91reported
- Pension plan clients
- 2reported
- Charitable clients
- 7reported
- Accounts
- 570reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.1 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• S••••• S•••••• | Winter Park, Fl | Jan 7, 2021 | 28 y | 3 |
| A•••••••• W•••••• V••••••••• | Winter Park, Fl | Jan 26, 2021 | 29 y | 0 |
| P••••••• N••• M••••• | Winter Park, Fl | Sep 22, 2021 | 19 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
- D•••• S••••• S•••••• from F•••• T•••• S••••••••• I•••Jan 7, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• D••••• S••••• · Partner / Chief Compliance Officercontrolsince 03/2008 · owns 25% to 50%
- V••••••••• A••••••••• W•••••• · Partnercontrolsince 03/2008 · owns 25% to 50%
- D••••• L••••••• G•••••• · Trusteecontrolsince 07/2012 · owns F of R•••••• 2••• F••••• T••••
- P••••••••• J••••• A•••• · Trusteecontrolsince 07/2012 · owns F of P•••••••• 2••• F••••• T••••
Entity owners
- N•••••••• B••• · Partnerdirect · owns 25% to 50%
- N•••••••• F•••••••• G•••• I••• · Ownerindirect · owns 75% or more of N•••••••• B•••
- P•••••••• 2••• F••••• T•••• · Ownerindirect · owns 25% to 50% of N•••••••• F•••••••• G•••• I•••
- R•••••• 2••• F••••• T•••• · Ownerindirect · owns 25% to 50% of N•••••••• F•••••••• G•••• I•••
Related persons
Schedule D 7.A
- N•••••••• B•••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Winter Park, Fl · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 515 to 570Jan 21, 2026 to Mar 12, 2026
- Charity clients · 6 to 7Jan 21, 2026 to Mar 12, 2026
- Corporate clients · 5 to 4Jan 21, 2026 to Mar 12, 2026
- HNW clients · 83 to 91Jan 21, 2026 to Mar 12, 2026
- Insurance-licensed employees · 0 to 1Jan 21, 2026 to Mar 12, 2026
- Financial planning clients · 1-10 to 51-100Jan 21, 2026 to Mar 12, 2026
- Discretionary RAUM · $325M to $378MJan 21, 2026 to Mar 12, 2026
- HNW RAUM · $186M to $202MJan 21, 2026 to Mar 12, 2026
- Individual RAUM · $79.6M to $99.4MJan 21, 2026 to Mar 12, 2026
- Pension RAUM · $1.0M to $1.5MJan 21, 2026 to Mar 12, 2026
- RAUM · $325M to $378MJan 21, 2026 to Mar 12, 2026
- Related adviser · false to trueMar 18, 2025 to Jan 21, 2026
- Related broker-dealer · false to trueMar 18, 2025 to Jan 21, 2026
- Accounts · 507 to 515Mar 5, 2024 to Mar 18, 2025
- Charity clients · 5 to 6Mar 5, 2024 to Mar 18, 2025
- Corporate clients · 7 to 5Mar 5, 2024 to Mar 18, 2025
- HNW clients · 89 to 83Mar 5, 2024 to Mar 18, 2025
- Individual clients · 51 to 42Mar 5, 2024 to Mar 18, 2025
- Pension plan clients · unset to 2.0Mar 5, 2024 to Mar 18, 2025
- Financial planning clients · 26-50 to 1-10Mar 5, 2024 to Mar 18, 2025
- Discretionary RAUM · $299M to $325MMar 5, 2024 to Mar 18, 2025
- HNW RAUM · $205M to $186MMar 5, 2024 to Mar 18, 2025
- Individual RAUM · $54.4M to $79.6MMar 5, 2024 to Mar 18, 2025
- Pension RAUM · unset to 1047998.0Mar 5, 2024 to Mar 18, 2025
- RAUM · $299M to $325MMar 5, 2024 to Mar 18, 2025
- Wrap assets (manager) · unset to 0.0Mar 5, 2024 to Mar 18, 2025
- Wrap assets (sponsor) · unset to 0.0Mar 5, 2024 to Mar 18, 2025
- Accounts · 488 to 507Dec 15, 2023 to Mar 5, 2024
- Corporate clients · 5 to 7Dec 15, 2023 to Mar 5, 2024
- HNW clients · 79 to 89Dec 15, 2023 to Mar 5, 2024
- Individual clients · 43 to 51Dec 15, 2023 to Mar 5, 2024
- Financial planning clients · 51-100 to 26-50Dec 15, 2023 to Mar 5, 2024
- Discretionary RAUM · $271M to $299MDec 15, 2023 to Mar 5, 2024
- HNW RAUM · $185M to $205MDec 15, 2023 to Mar 5, 2024
- Individual RAUM · $48.9M to $54.4MDec 15, 2023 to Mar 5, 2024
- RAUM · $271M to $299MDec 15, 2023 to Mar 5, 2024
- Accounts · 471 to 488Jul 21, 2022 to Feb 27, 2023
- Charity clients · 6 to 5Jul 21, 2022 to Feb 27, 2023
- Corporate clients · 1 to 5Jul 21, 2022 to Feb 27, 2023
- HNW clients · 74 to 79Jul 21, 2022 to Feb 27, 2023
Signals
3 dated events
- L•••••• D•••• (Trustee) appeared on Schedule A of F•••••••• A••••••• P•••••••• L••Dec 11, 2020 · Control person joined · fact
- J•••• P•••••••• (Trustee) appeared on Schedule A of F•••••••• A••••••• P•••••••• L••Dec 11, 2020 · Control person joined · fact
- F•••••••• A••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Dec 1, 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
- Principal office phone
- 407-478-6314reportedpublic record, Form ADV, Jul 22, 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
- $94.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026