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
R•••••• W••••• M••••••••• I•••
Latest filing Feb 22, 2026
First filing on the tape Oct 15, 2021 · 16 filings
SEC status approved since Nov 15, 2021
RAUM
$243M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$243M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$81.1M
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
16 filings and snapshots on the tape
RAUM$243M as of Feb 22, 2026
Jan 24, 2022$134M then
HNW client RAUM$171M as of Feb 22, 2026
Jan 24, 2022$89.1M then
State-registered IARs (5.B.3)3 as of Feb 22, 2026
Jan 24, 20221 then
Employees (5.A)3 as of Feb 22, 2026
Jan 24, 20221 then
Private funds: no history
RAUM +21% over the last fiscal year+23% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $81.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 121derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $289,180derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$171M70%
- Individuals$72.1M30%
- Individual clients
- 232reported
- HNW clients
- 131reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 841reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• C••• R••••••Certified Financial Planner | Bonita Springs, Fl | Nov 23, 2021 | 20 y | 5 |
| A••• B••••••••• K••••••••• | Bonita Springs, Fl | Oct 24, 2024 | 17 y | 0 |
| P•••••• J•••• O•••••• | Bonita Springs, Fl | Dec 5, 2025 | 13 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
- J•••• M••••• D•••••• to D•••••• P•••••• W••••• M••••••••• L••Oct 17, 2023 · RIA to a state-registered adviser
Joined, latest
- J•••• M••••• D•••••• from F•• S••••••••• C•••••••••May 12, 2022 · Affiliated broker-dealer or bank to independent RIA
- D••••• C••• R•••••• from L•• F•••••••• L••Nov 23, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• D•••••• C••• · Chief Compliance Officer/Investment Advisor Representativecontrolsince 01/2017 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bonita Springs, Fl · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,061 to 841Dec 16, 2025 to Feb 22, 2026
- Advisory employees · 2 to 3Dec 16, 2025 to Feb 22, 2026
- HNW clients · 124 to 131Dec 16, 2025 to Feb 22, 2026
- Individual clients · 282 to 232Dec 16, 2025 to Feb 22, 2026
- State-registered IARs · 2 to 3Dec 16, 2025 to Feb 22, 2026
- Discretionary RAUM · $201M to $243MDec 16, 2025 to Feb 22, 2026
- HNW RAUM · $130M to $171MDec 16, 2025 to Feb 22, 2026
- Individual RAUM · $71.3M to $72.1MDec 16, 2025 to Feb 22, 2026
- RAUM · $201M to $243MDec 16, 2025 to Feb 22, 2026
- Advisory employees · 3 to 2Feb 10, 2025 to Nov 20, 2025
- Employees · 4 to 3Feb 10, 2025 to Nov 20, 2025
- State-registered IARs · 3 to 2Feb 10, 2025 to Nov 20, 2025
- Accounts · 917 to 1,061Nov 7, 2024 to Feb 10, 2025
- Advisory employees · 2 to 3Nov 7, 2024 to Feb 10, 2025
- HNW clients · 122 to 124Nov 7, 2024 to Feb 10, 2025
- Individual clients · 258 to 282Nov 7, 2024 to Feb 10, 2025
- Financial planning clients · 251-500 to 251-500Nov 7, 2024 to Feb 10, 2025
- State-registered IARs · 2 to 3Nov 7, 2024 to Feb 10, 2025
- Discretionary RAUM · $163M to $201MNov 7, 2024 to Feb 10, 2025
- HNW RAUM · $113M to $130MNov 7, 2024 to Feb 10, 2025
- Individual RAUM · $49.8M to $71.3MNov 7, 2024 to Feb 10, 2025
- RAUM · $163M to $201MNov 7, 2024 to Feb 10, 2025
- Accounts · 962 to 917Oct 17, 2023 to Mar 6, 2024
- HNW clients · 77 to 122Oct 17, 2023 to Mar 6, 2024
- Individual clients · 375 to 258Oct 17, 2023 to Mar 6, 2024
- Financial planning clients · 1-10 to 251-500Oct 17, 2023 to Mar 6, 2024
- Discretionary RAUM · $131M to $163MOct 17, 2023 to Mar 6, 2024
- HNW RAUM · $87.7M to $113MOct 17, 2023 to Mar 6, 2024
- Individual RAUM · $42.9M to $49.8MOct 17, 2023 to Mar 6, 2024
- RAUM · $131M to $163MOct 17, 2023 to Mar 6, 2024
- Advisory employees · 3 to 2Sep 19, 2023 to Oct 17, 2023
- Employees · 5 to 4Sep 19, 2023 to Oct 17, 2023
- State-registered IARs · 3 to 2Sep 19, 2023 to Oct 17, 2023
- Accounts · 468 to 962Aug 26, 2022 to Jan 18, 2023
- HNW clients · 84 to 77Aug 26, 2022 to Jan 18, 2023
- Individual clients · 384 to 375Aug 26, 2022 to Jan 18, 2023
- Financial planning clients · 0 to 1-10Aug 26, 2022 to Jan 18, 2023
- Discretionary RAUM · $140M to $131MAug 26, 2022 to Jan 18, 2023
- HNW RAUM · $99.0M to $87.7MAug 26, 2022 to Jan 18, 2023
- Individual RAUM · $40.8M to $42.9MAug 26, 2022 to Jan 18, 2023
Signals
2 dated events
- J•••• M••••• D•••••• left R•••••• W••••• M••••••••• I••• for D•••••• P•••••• W••••• M••••••••• L•• (registered 2023-11-05)Oct 17, 2023 · Advisor changed firm · fact
- R•••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Oct 15, 2021 · 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
- 239-444-6111reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 239-444-6112reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/rinaldi-wealth-management-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- RWMAdvisor.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 239-444-6111reportedpublic record, Form ADV, Feb 22, 2026
- Team page
- retirewithdustin.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $81.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026