DFX Intelligence

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N••••••• W••••• A•••••••

Independent wealth managerSEC-registered· Indialantic, Floridawebsite

Independent wealth manager, based in Indialantic, Florida, reporting $108M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $108M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: -9.5%
Private clients: 91%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 4 Mar 2026, RAUM $119M to $108M (-9.5%) on the Form ADV filed 4 Mar 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 311853 · SEC 801-120360 · 12 filingsShow

CRD 311853SEC 801-120360Legal name S•••••• T• P••••• A•• C••••••First filing on the tape Jan 20, 2021, latest Mar 4, 2026SEC status approved since Feb 19, 2021IAPD

RAUM

$108M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

91%

$98.5M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$108M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

12 filings and snapshots on the tape

RAUM +5.8% a year over three years · the tape starts Jan 20, 2021

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$108M as of Mar 4, 2026

Mar 3, 2022$118M then

HNW client RAUM$83.2M as of Mar 4, 2026

Mar 3, 2022$102M then

State-registered IARs (5.B.3)1 as of Mar 4, 2026

Mar 3, 20221 then

Employees (5.A)2 as of Mar 4, 2026

Mar 3, 20222 then

Private funds: no history

RAUM -9.5% over the last fiscal year+5.8% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 4, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $108MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 71derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.7MderivedHNW RAUM over HNW clients
Average account: $211,605derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 8.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: -9.5%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -1.4%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisersreportedItem 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

is an insurance broker or agent (6.A.6)
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 securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

77% high-net-worth individuals, 14% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$83.2M77%
Individuals$15.4M14%
Pension and profit-sharing plans$9.4M8.7%

Individual clients: 40reported
HNW clients: 31reported
Pension plan clients: 8reported
Charitable clients: n/areported
Accounts: 510reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 91% private clients, 0% pooled funds, 9% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

S•••••• T•••• P••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
S•••••• T•••• P•••••Certified Financial Planner	Indialantic, Fl	Jan 1, 2025	45 y	2

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P•••••• S••••••• T•••• · Founder, Chief Executive Officer And Chief Compliance Officercontrol
since 12/1992 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 557 to 510
Feb 25, 2025 to Mar 4, 2026
HNW clients · 33 to 31
Feb 25, 2025 to Mar 4, 2026
Individual clients · 39 to 40
Feb 25, 2025 to Mar 4, 2026
Pension plan clients · 9 to 8
Feb 25, 2025 to Mar 4, 2026
Discretionary RAUM · $119M to $108M
Feb 25, 2025 to Mar 4, 2026

Full history · 62 changes

HNW RAUM · $101M to $83.2M
Feb 25, 2025 to Mar 4, 2026
Individual RAUM · $9.9M to $15.4M
Feb 25, 2025 to Mar 4, 2026
Pension RAUM · $8.2M to $9.4M
Feb 25, 2025 to Mar 4, 2026
RAUM · $119M to $108M
Feb 25, 2025 to Mar 4, 2026
Accounts · 571 to 557
Feb 22, 2024 to Feb 25, 2025
HNW clients · 57 to 33
Feb 22, 2024 to Feb 25, 2025
Individual clients · 46 to 39
Feb 22, 2024 to Feb 25, 2025
Pension plan clients · 6 to 9
Feb 22, 2024 to Feb 25, 2025
Financial planning clients · 51-100 to 51-100
Feb 22, 2024 to Feb 25, 2025
Discretionary RAUM · $108M to $119M
Feb 22, 2024 to Feb 25, 2025
HNW RAUM · $85.8M to $101M
Feb 22, 2024 to Feb 25, 2025
Individual RAUM · $15.4M to $9.9M
Feb 22, 2024 to Feb 25, 2025
Pension RAUM · $6.4M to $8.2M
Feb 22, 2024 to Feb 25, 2025
RAUM · $108M to $119M
Feb 22, 2024 to Feb 25, 2025
Accounts · 617 to 571
Feb 9, 2023 to Feb 22, 2024
BD registered reps · 1 to 0
Feb 9, 2023 to Feb 22, 2024
HNW clients · 34 to 57
Feb 9, 2023 to Feb 22, 2024
Individual clients · 63 to 46
Feb 9, 2023 to Feb 22, 2024
Pension plan clients · 9 to 6
Feb 9, 2023 to Feb 22, 2024
Insurance-licensed employees · 1 to 0
Feb 9, 2023 to Feb 22, 2024
Discretionary RAUM · $91.1M to $108M
Feb 9, 2023 to Feb 22, 2024
HNW RAUM · $69.0M to $85.8M
Feb 9, 2023 to Feb 22, 2024
Individual RAUM · $13.9M to $15.4M
Feb 9, 2023 to Feb 22, 2024
Pension RAUM · $8.1M to $6.4M
Feb 9, 2023 to Feb 22, 2024
RAUM · $91.1M to $108M
Feb 9, 2023 to Feb 22, 2024
Accounts · 613 to 617
Aug 19, 2022 to Feb 9, 2023
HNW clients · 38 to 34
Aug 19, 2022 to Feb 9, 2023
Individual clients · 71 to 63
Aug 19, 2022 to Feb 9, 2023
Pension plan clients · unset to 9.0
Aug 19, 2022 to Feb 9, 2023
Assets in custody · unset to 3140006.0
Aug 19, 2022 to Feb 9, 2023
Financial planning clients · 101-250 to 51-100
Aug 19, 2022 to Feb 9, 2023
Discretionary RAUM · $118M to $91.1M
Aug 19, 2022 to Feb 9, 2023
HNW RAUM · $102M to $69.0M
Aug 19, 2022 to Feb 9, 2023
Individual RAUM · $15.5M to $13.9M
Aug 19, 2022 to Feb 9, 2023
Pension RAUM · $440,019 to $8.1M
Aug 19, 2022 to Feb 9, 2023
RAUM · $118M to $91.1M
Aug 19, 2022 to Feb 9, 2023
Accounts · 86 to 613
Nov 19, 2021 to Mar 3, 2022
HNW clients · 51 to 38
Nov 19, 2021 to Mar 3, 2022
Individual clients · 30 to 71
Nov 19, 2021 to Mar 3, 2022
Pension plan clients · 5.0 to unset
Nov 19, 2021 to Mar 3, 2022
Employees · 3 to 2
Nov 19, 2021 to Mar 3, 2022
Financial planning clients · 0 to 101-250
Nov 19, 2021 to Mar 3, 2022
Discretionary RAUM · $127M to $118M
Nov 19, 2021 to Mar 3, 2022
HNW RAUM · $113M to $102M
Nov 19, 2021 to Mar 3, 2022
Individual RAUM · $5.8M to $15.5M
Nov 19, 2021 to Mar 3, 2022
Pension RAUM · $7.7M to $440,019
Nov 19, 2021 to Mar 3, 2022
RAUM · $127M to $118M
Nov 19, 2021 to Mar 3, 2022
Accounts · 0 to 86
May 7, 2021 to Jun 14, 2021
HNW clients · unset to 51.0
May 7, 2021 to Jun 14, 2021
Individual clients · unset to 30.0
May 7, 2021 to Jun 14, 2021
Pension plan clients · unset to 5.0
May 7, 2021 to Jun 14, 2021
Discretionary RAUM · $0 to $127M
May 7, 2021 to Jun 14, 2021
HNW RAUM · unset to 113288613.0
May 7, 2021 to Jun 14, 2021
Individual RAUM · unset to 5767658.0
May 7, 2021 to Jun 14, 2021
Pension RAUM · unset to 7711659.0
May 7, 2021 to Jun 14, 2021
RAUM · $0 to $127M
May 7, 2021 to Jun 14, 2021
Legal name · N••••••• W••••• A••••••• to S•••••• T• P••••• A•• C••••••
Apr 23, 2021 to May 7, 2021

Signals

1 dated events

••• Locked
Jan 20, 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: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 4, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 4, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $108Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026