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
U••••• W•••••• L••
Latest filing Aug 6, 2026
First filing on the tape Jan 8, 2021 · 26 filings
SEC status approved since Feb 12, 2021
RAUM
$966M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$918M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$69.0M
derived; firm RAUM over IAPD count
Employees
15
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$966M as of Aug 6, 2026
Feb 23, 2022$528M then
HNW client RAUM$626M as of Aug 6, 2026
Feb 23, 2022$391M then
State-registered IARs (5.B.3)13 as of Aug 6, 2026
Feb 23, 202210 then
Employees (5.A)15 as of Aug 6, 2026
Feb 23, 202213 then
Private funds: no history
RAUM +26% over the last fiscal year+26% a year over threeIARs 11 to 13offices 0 to 1
Practice profile
derived from the filing of Aug 6, 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
- RAUM per advisor
- $69.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 7.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $55.6M, 87 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$626M65%
- Individuals$292M30%
- Pension and profit-sharing plans$29.5M3.1%
- Corporations and businesses$18.2M1.9%
- Individual clients
- 531reported
- HNW clients
- 276reported
- Pension plan clients
- 27reported
- Charitable clients
- n/areported
- Accounts
- 846reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $55.6M for 87 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• J••• S••••••Certified Financial Planner, Chartered Financial Consultant | Tampa, Fl | Mar 4, 2021 | 27 y | 0 |
| J••• S•••••• M•••••Certified Financial Planner, Chartered Financial Consultant | Clearwater, Fl | Mar 5, 2021 | 27 y | 0 |
| J•••••• R•••• T•••••Certified Financial Planner, Chartered Financial Consultant | Tampa, Fl | Mar 5, 2021 | 14 y | 0 |
| M•••••• J•••• T••••• | Clearwater, Fl | Mar 5, 2021 | 12 y | 0 |
| T•••••• J• B•••••••Certified Financial Planner, Chartered Financial Consultant | Tampa, Fl | Jun 7, 2021 | 17 y | 4 |
| T••••• J••• G••••••Certified Financial Planner, Chartered Financial Consultant | Tampa, Fl | Jun 15, 2021 | 19 y | 3 |
| K••• D• W•••••••• | Tampa, Fl | Jan 11, 2022 | 11 y | 0 |
| C••••• L•• W••••• | Tampa, Fl | Aug 21, 2024 | 12 y | 1 |
| B••••••• A•••••• W•••••Certified Financial Planner | Tampa, Fl | Nov 25, 2024 | 12 y | 1 |
| C••••• H••• P••••Certified Financial Planner, Chartered Financial Consultant | Tampa, Fl | Jan 1, 2025 | 26 y | 1 |
| P••• A•••••• S••••••• | Tampa, Fl | Aug 15, 2025 | 12 y | 1 |
| S•••••• R••• M••••• | Tampa, Fl | Jan 14, 2026 | 11 y | 1 |
| N••••••• R••••• K•••••• | Tampa, Fl | Jan 15, 2026 | 10 y | 0 |
| S••••• O••• R••• | Tampa, Fl | Jul 23, 2026 | 15 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- E•••• N••••• G•••••• to B•••••••••Mar 7, 2024 · RIA to RIA
Joined, latest
- S••••• O••• R••• from J•• F••••• O•••••Jul 23, 2026 · RIA to RIA
- S•••••• R••• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 14, 2026 · Wirehouse to independent RIA
- C••••• H••• P•••• from N••••••••• M••••• I••••••••• S•••••••••Jan 1, 2025 · Other
- B••••••• A•••••• W••••• from G••••• R••••••••• P••••••• L••Nov 25, 2024 · Other
- C••••• L•• W••••• from G••••• R••••••••• P••••••• L••Aug 21, 2024 · Other
- T••••• J••• G•••••• from N••••••••• M••••• I••••••••• S•••••••••Jun 15, 2021 · Other
- T•••••• J• B••••••• from N••••••••• M••••• I••••••••• S•••••••••Jun 7, 2021 · Other
- E•••• N••••• G•••••• from N••••••••• M••••• I••••••••• S•••••••••Mar 4, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N••••••••• M••••• I••••••••• S•••••••••Dec 11, 2019 · Tampa, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• J•••• S•••••• · Ownercontrolsince 03/2021 · owns less than 5%
- P••••• C•••••• H••• · Chief Executive Officer/Ownercontrolsince 03/2021 · owns less than 5%
- T•••••• J••••••• R•••• · Chief Compliance Officer/Ownercontrolsince 05/2022 · owns 5% to 10%
- M•••••• J•••• S•••••• · Ownercontrolsince 03/2021 · owns 25% to 50% of J••• 2•••• L••
- P••••• C•••••• H••• · Ownercontrolsince 02/2021 · owns 75% or more of U••••••• T••••••• F••••••• L••
- S••••••• J••••••• J••• · Ownersince 05/2022 · owns 5% to 10%
Entity owners
- J••• 2•••• L•• · Ownerdirect · owns 25% to 50%
- U••••••• T••••••• F••••••• L•• · Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- T••••••• W• A•• U•••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tampa, Fl · principal | 14 | 3 | 0 | ||
| Clearwater, Fl | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 12, 2026accounts (Item 5.F.2.f) moved from 2,470.0 to 846.0 (-66.0%) between the annual amendments of 2025-03-14 and 2026-03-12; the peer median change was +6.0% (1256 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 0.8% percentile
What changed
consecutive filings, newest first
- Accounts · 2,470 to 846Jun 6, 2025 to Mar 12, 2026
- Advisory employees · 11 to 12Jun 6, 2025 to Mar 12, 2026
- Corporate clients · 9 to 12Jun 6, 2025 to Mar 12, 2026
- HNW clients · 240 to 276Jun 6, 2025 to Mar 12, 2026
- Individual clients · 451 to 531Jun 6, 2025 to Mar 12, 2026
- Pension plan clients · 20 to 27Jun 6, 2025 to Mar 12, 2026
- Assets in custody · $44.9M to $55.6MJun 6, 2025 to Mar 12, 2026
- Employees · 12 to 15Jun 6, 2025 to Mar 12, 2026
- State-registered IARs · 11 to 13Jun 6, 2025 to Mar 12, 2026
- Discretionary RAUM · $767M to $966MJun 6, 2025 to Mar 12, 2026
- HNW RAUM · $488M to $626MJun 6, 2025 to Mar 12, 2026
- Individual RAUM · $247M to $292MJun 6, 2025 to Mar 12, 2026
- Pension RAUM · $14.8M to $29.5MJun 6, 2025 to Mar 12, 2026
- RAUM · $767M to $966MJun 6, 2025 to Mar 12, 2026
- Financial planning clients · 0 to 0Mar 14, 2025 to Jun 6, 2025
- HQ city · CLEARWATER to TAMPAMar 14, 2025 to Jun 6, 2025
- Other offices · 0 to 1Mar 14, 2025 to Jun 6, 2025
- Accounts · 2,063 to 2,470Aug 27, 2024 to Mar 14, 2025
- Advisory employees · 9 to 11Aug 27, 2024 to Mar 14, 2025
- HNW clients · 230 to 240Aug 27, 2024 to Mar 14, 2025
- Individual clients · 426 to 451Aug 27, 2024 to Mar 14, 2025
- Pension plan clients · 17 to 20Aug 27, 2024 to Mar 14, 2025
- Assets in custody · $46.0M to $44.9MAug 27, 2024 to Mar 14, 2025
- Employees · 10 to 12Aug 27, 2024 to Mar 14, 2025
- Financial planning clients · More than 500 to 0Aug 27, 2024 to Mar 14, 2025
- State-registered IARs · 9 to 11Aug 27, 2024 to Mar 14, 2025
- Discretionary RAUM · $626M to $767MAug 27, 2024 to Mar 14, 2025
- HNW RAUM · $409M to $488MAug 27, 2024 to Mar 14, 2025
- Individual RAUM · $192M to $247MAug 27, 2024 to Mar 14, 2025
- Pension RAUM · $12.5M to $14.8MAug 27, 2024 to Mar 14, 2025
- RAUM · $626M to $767MAug 27, 2024 to Mar 14, 2025
- Accounts · 1,707 to 2,063Jun 26, 2023 to Mar 1, 2024
- Advisory employees · 10 to 9Jun 26, 2023 to Mar 1, 2024
- Corporate clients · 8 to 9Jun 26, 2023 to Mar 1, 2024
- HNW clients · 210 to 230Jun 26, 2023 to Mar 1, 2024
- Individual clients · 336 to 426Jun 26, 2023 to Mar 1, 2024
- Pension plan clients · 13 to 17Jun 26, 2023 to Mar 1, 2024
- Assets in custody · $32.1M to $46.0MJun 26, 2023 to Mar 1, 2024
- HQ city · TAMPA to CLEARWATERJun 26, 2023 to Mar 1, 2024
- State-registered IARs · 10 to 9Jun 26, 2023 to Mar 1, 2024
Signals
9 dated events
- U••••• W•••••• L•• reported RAUM $965.6M, up 26% from $766.5M (2025-06-06 to 2026-03-12)Mar 12, 2026 · RAUM change · derived
- E•••• N••••• G•••••• left U••••• W•••••• L•• for Betterment (registered 2024-03-27)Mar 7, 2024 · Advisor changed firm · fact
- U••••• W•••••• L•• reported RAUM $626.5M, up 29% from $486.6M (2023-06-26 to 2024-03-01)Mar 1, 2024 · RAUM change · derived
- W•••••• A•••••••• H••••• (Chief Compliance Officer) no longer on Schedule A of U••••• W•••••• L•• (listed 2021-01-21, absent 2021-03-02)Mar 2, 2021 · Control person left · inference
- Nmn C•••• K••••• (Sole Member) no longer on Schedule A of U••••• W•••••• L•• (listed 2021-01-21, absent 2021-03-02)Mar 2, 2021 · Control person left · inference
- H Curtis Parry (Founder And Ceo) appeared on Schedule A of U••••• W•••••• L••Mar 2, 2021 · Control person joined · fact
- Renee Jessica Holbin (Chief Compliance Officer) appeared on Schedule A of U••••• W•••••• L••Mar 2, 2021 · Control person joined · fact
- Stanley J••• Mosher (Partner) appeared on Schedule A of U••••• W•••••• L••Mar 2, 2021 · Control person joined · fact
- A•••••• W••••• filed its initial SEC registration (Form ADV)Jan 8, 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 email
- j•••••••••@u•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m•••••••••@u•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 813-280-1156reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 727-492-5225reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 813-279-1642reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/unique-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- u•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 813-816-2030reportedpublic record, Form ADV, Aug 6, 2026
- Team page
- u•••••••••.comreportedpublished 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
- $69.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026