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
G••••• R••• A••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Apr 7, 2021 · 15 filings
SEC status approved since Apr 15, 2021
RAUM
$238M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
98%
$233M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$59.4M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$238M as of Mar 6, 2026
Mar 8, 2022$136M then
HNW client RAUM$174M as of Mar 6, 2026
Mar 8, 2022$91.6M then
State-registered IARs (5.B.3)3 as of Mar 6, 2026
Mar 8, 20222 then
Employees (5.A)4 as of Mar 6, 2026
Mar 8, 20224 then
Private funds: no history
RAUM +40% over the last fiscal year+25% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 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
- $59.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $517,973derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +40%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +36%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $4.1M, 8 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$174M73%
- Individuals$58.8M25%
- Pension and profit-sharing plans$2.7M1.1%
- Banks and thrifts$2.3M1.0%
- Charitable organizations$105,5210.0%
- Individual clients
- 171reported
- HNW clients
- 77reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 459reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.1M for 8 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• A••••• C•••••••Certified Financial Planner | Tampa, Fl | May 14, 2021 | 19 y | 2 |
| J•••••• S••••• K••••••Certified Financial Planner, Chartered Financial Analyst | Tampa, Fl | May 14, 2021 | 29 y | 1 |
| B•••• M•••• W•••••Certified Financial Planner | Tampa, Fl | Feb 14, 2024 | 13 y | 0 |
| B•••••• R••• V••••• | Tampa, Fl | Aug 3, 2026 | 10 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
- J•••••• S••••• K•••••• from R•••••• J•••• • A••••••••• I•••May 14, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••• A••••• C••••••• from R•••••• J•••• • A••••••••• I•••May 14, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• • A••••••••• I•••Jul 8, 2021 · Tampa, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• K••••• A••••• · Principalcontrolsince 04/2021 · owns 50% to 75%
- K••••••• J••••••• S••••• · Principal And Chief Compliance Officercontrolsince 04/2021 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Tampa, Fl · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 6, 2026RAUM (Item 5.F) moved from $169,960,957 to $237,749,516 (+40.0%) between the annual amendments of 2025-02-21 and 2026-03-06; the peer median change was +15.0% (4550 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 93% percentile
What changed
consecutive filings, newest first
- Employees · 5 to 4Feb 21, 2025 to Mar 6, 2026
- Accounts · 396 to 459Feb 21, 2025 to Mar 6, 2026
- Advisory activities · 4 to 5Feb 21, 2025 to Mar 6, 2026
- HNW clients · 88 to 77Feb 21, 2025 to Mar 6, 2026
- Individual clients · 95 to 171Feb 21, 2025 to Mar 6, 2026
- Assets in custody · $9.5M to $4.1MFeb 21, 2025 to Mar 6, 2026
- Discretionary RAUM · $164M to $225MFeb 21, 2025 to Mar 6, 2026
- HNW RAUM · $127M to $174MFeb 21, 2025 to Mar 6, 2026
- Individual RAUM · $40.0M to $58.8MFeb 21, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $5.8M to $12.4MFeb 21, 2025 to Mar 6, 2026
- Pension RAUM · unset to 2724250.0Feb 21, 2025 to Mar 6, 2026
- RAUM · $170M to $238MFeb 21, 2025 to Mar 6, 2026
- Accounts · 388 to 396Nov 25, 2024 to Feb 21, 2025
- Individual clients · 86 to 95Nov 25, 2024 to Feb 21, 2025
- Pension plan clients · 8.0 to unsetNov 25, 2024 to Feb 21, 2025
- Financial planning clients · 51-100 to 101-250Nov 25, 2024 to Feb 21, 2025
- Discretionary RAUM · $123M to $164MNov 25, 2024 to Feb 21, 2025
- HNW RAUM · $91.3M to $127MNov 25, 2024 to Feb 21, 2025
- Individual RAUM · $36.1M to $40.0MNov 25, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $20.3M to $5.8MNov 25, 2024 to Feb 21, 2025
- Pension RAUM · 14067000.0 to unsetNov 25, 2024 to Feb 21, 2025
- RAUM · $143M to $170MNov 25, 2024 to Feb 21, 2025
- Employees · 4 to 5Aug 6, 2024 to Nov 25, 2024
- Accounts · 362 to 388Mar 27, 2023 to Mar 18, 2024
- Advisory employees · 2 to 3Mar 27, 2023 to Mar 18, 2024
- HNW clients · 36 to 88Mar 27, 2023 to Mar 18, 2024
- Individual clients · 148 to 86Mar 27, 2023 to Mar 18, 2024
- Assets in custody · $2.7M to $9.5MMar 27, 2023 to Mar 18, 2024
- State-registered IARs · 2 to 3Mar 27, 2023 to Mar 18, 2024
- Discretionary RAUM · $104M to $123MMar 27, 2023 to Mar 18, 2024
- HNW RAUM · $63.1M to $91.3MMar 27, 2023 to Mar 18, 2024
- Individual RAUM · $48.0M to $36.1MMar 27, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $18.2M to $20.3MMar 27, 2023 to Mar 18, 2024
- Pension RAUM · $10.8M to $14.1MMar 27, 2023 to Mar 18, 2024
- RAUM · $122M to $143MMar 27, 2023 to Mar 18, 2024
- Accounts · 361 to 362May 24, 2022 to Mar 27, 2023
- Charity clients · 2.0 to unsetMay 24, 2022 to Mar 27, 2023
- HNW clients · 45 to 36May 24, 2022 to Mar 27, 2023
- Individual clients · 130 to 148May 24, 2022 to Mar 27, 2023
- Assets in custody · $3.6M to $2.7MMay 24, 2022 to Mar 27, 2023
Signals
1 dated events
- G••••• R••• A••••••• L•• filed its initial SEC registration (Form ADV)Apr 7, 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
- info@goldenroadadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- kiersten@goldenroadadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 813-491-1593reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 813-491-1594reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 813-454-0915reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/golden-road-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- goldenroadadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 813-491-1593reportedpublic record, Form ADV, Mar 6, 2026
- Contact form
- goldenroadadvisors.com/contactreportedpublished 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
- $59.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026