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
H••••• A•••••••
Legal name H••••• A••••••• L••
Latest filing Feb 27, 2026
First filing on the tape Jan 19, 2021 · 9 filings
SEC status approved since Feb 19, 2021
RAUM
$852M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.6%
$4.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$852M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$852M as of Feb 27, 2026
Mar 18, 2022$728M then
HNW client RAUM: $4.9M
State-registered IARs (5.B.3)1 as of Feb 27, 2026
Mar 18, 20221 then
Employees (5.A)1 as of Feb 27, 2026
Mar 18, 20221 then
Private funds: no history
RAUM +8.1% over the last fiscal year+16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $852MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $85.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$847M99%
- High-net-worth individuals$4.9M0.6%
- Individual clients
- n/areported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.01 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••••• F•Chartered Financial Analyst | West Palm Beach, Fl | Jan 1, 2026 | 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•• S••••••• · Managing Member/Chief Compliance Officercontrolsince 12/2020 · 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 · 8 to 10Mar 7, 2025 to Feb 27, 2026
- HNW clients · unset to 2.0Mar 7, 2025 to Feb 27, 2026
- Discretionary RAUM · $788M to $847MMar 7, 2025 to Feb 27, 2026
- HNW RAUM · unset to 4889389.0Mar 7, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $0 to $4.9MMar 7, 2025 to Feb 27, 2026
- RAUM · $788M to $852MMar 7, 2025 to Feb 27, 2026
- Financial planning clients · unset to Mar 7, 2024 to Mar 7, 2025
- Discretionary RAUM · $690M to $788MMar 7, 2024 to Mar 7, 2025
- RAUM · $690M to $788MMar 7, 2024 to Mar 7, 2025
- Accounts · 22 to 8Mar 13, 2023 to Mar 7, 2024
- Discretionary RAUM · $547M to $690MMar 13, 2023 to Mar 7, 2024
- RAUM · $547M to $690MMar 13, 2023 to Mar 7, 2024
- Accounts · 21 to 22Mar 18, 2022 to Mar 13, 2023
- Discretionary RAUM · $728M to $547MMar 18, 2022 to Mar 13, 2023
- RAUM · $728M to $547MMar 18, 2022 to Mar 13, 2023
- Discretionary RAUM · $600M to $728MJun 8, 2021 to Mar 18, 2022
- RAUM · $600M to $728MJun 8, 2021 to Mar 18, 2022
- Accounts · 0 to 21Jan 22, 2021 to Jun 8, 2021
- Corporate clients · unset to 8.0Jan 22, 2021 to Jun 8, 2021
- Discretionary RAUM · $0 to $600MJan 22, 2021 to Jun 8, 2021
- RAUM · $0 to $600MJan 22, 2021 to Jun 8, 2021
Signals
2 dated events
- H••••• A••••••• reported RAUM $690.2M, up 26% from $546.7M (2023-03-13 to 2024-03-07)Mar 7, 2024 · RAUM change · derived
- H••••• A••••••• filed its initial SEC registration (Form ADV)Jan 19, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••• A••••••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- 561-459-2946reportedpublic record, Form ADV, Feb 27, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $852Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026