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
A•••• O•••• F••••••••
Legal name A•••• O•••• F•••••••• A•••••••• I•••
Latest filing Feb 9, 2026
First filing on the tape Apr 13, 2021 · 15 filings
SEC status approved since May 14, 2021
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$186M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$187M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$187M as of Feb 9, 2026
Jan 25, 2022$129M then
HNW client RAUM$168M as of Feb 9, 2026
Jan 25, 2022$111M then
State-registered IARs (5.B.3)1 as of Feb 9, 2026
Jan 25, 20221 then
Employees (5.A)2 as of Feb 9, 2026
Jan 25, 20222 then
Private funds: no history
RAUM +16% over the last fiscal year+19% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 9, 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
- $187MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $554,803derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $69.3M, 45 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$168M90%
- Individuals$17.6M9.4%
- Charitable organizations$1.1M0.6%
- Individual clients
- 40reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 337reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $69.3M for 45 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| W•••••• C•••••••••Certified Financial Planner, Chartered Financial Consultant | Bradenton, Fl | May 14, 2021 | 17 y | 3 |
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
- C••••••••• W•••••• · President/Chief Compliance Officercontrolsince 02/2021 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 297 to 337Feb 5, 2025 to Feb 9, 2026
- HNW clients · 36 to 46Feb 5, 2025 to Feb 9, 2026
- Individual clients · 50 to 40Feb 5, 2025 to Feb 9, 2026
- Assets in custody · $54.6M to $69.3MFeb 5, 2025 to Feb 9, 2026
- Discretionary RAUM · $162M to $187MFeb 5, 2025 to Feb 9, 2026
- HNW RAUM · $128M to $168MFeb 5, 2025 to Feb 9, 2026
- Individual RAUM · $32.5M to $17.6MFeb 5, 2025 to Feb 9, 2026
- RAUM · $162M to $187MFeb 5, 2025 to Feb 9, 2026
- Accounts · 303 to 297May 23, 2024 to Feb 5, 2025
- Business name · A•••• O•••• F••••••••• I••• to A•••• O•••• F••••••••May 23, 2024 to Feb 5, 2025
- HNW clients · 38 to 36May 23, 2024 to Feb 5, 2025
- Assets in custody · unset to 54633704.0May 23, 2024 to Feb 5, 2025
- Custody of client assets · false to trueMay 23, 2024 to Feb 5, 2025
- Financial planning clients · 11-25 to 11-25May 23, 2024 to Feb 5, 2025
- HQ city · unset to May 23, 2024 to Feb 5, 2025
- HQ state · unset to May 23, 2024 to Feb 5, 2025
- Discretionary RAUM · $139M to $162MMay 23, 2024 to Feb 5, 2025
- HNW RAUM · $120M to $128MMay 23, 2024 to Feb 5, 2025
- Individual RAUM · $18.8M to $32.5MMay 23, 2024 to Feb 5, 2025
- RAUM · $139M to $162MMay 23, 2024 to Feb 5, 2025
- Other offices · 0 to 2Feb 23, 2024 to May 23, 2024
- Legal name · A•••• O•••• F••••••••• I••• to A•••• O•••• F•••••••• A•••••••• I•••May 23, 2024 to May 23, 2024
- Accounts · 86 to 303Feb 2, 2024 to Feb 23, 2024
- HNW clients · 32 to 38Feb 2, 2024 to Feb 23, 2024
- Individual clients · 53 to 50Feb 2, 2024 to Feb 23, 2024
- Discretionary RAUM · $112M to $139MFeb 2, 2024 to Feb 23, 2024
- HNW RAUM · $93.5M to $120MFeb 2, 2024 to Feb 23, 2024
- Individual RAUM · $17.4M to $18.8MFeb 2, 2024 to Feb 23, 2024
- RAUM · $112M to $139MFeb 2, 2024 to Feb 23, 2024
- Accounts · 245 to 86Jan 3, 2023 to Feb 16, 2023
- HNW clients · 36 to 32Jan 3, 2023 to Feb 16, 2023
- Individual clients · 46 to 53Jan 3, 2023 to Feb 16, 2023
- Discretionary RAUM · $129M to $112MJan 3, 2023 to Feb 16, 2023
- HNW RAUM · $111M to $93.5MJan 3, 2023 to Feb 16, 2023
- Individual RAUM · $17.1M to $17.4MJan 3, 2023 to Feb 16, 2023
- RAUM · $129M to $112MJan 3, 2023 to Feb 16, 2023
- Accounts · 246 to 245Aug 27, 2021 to Jan 25, 2022
- HNW clients · 38 to 36Aug 27, 2021 to Jan 25, 2022
- Individual clients · 40 to 46Aug 27, 2021 to Jan 25, 2022
- Discretionary RAUM · $120M to $129MAug 27, 2021 to Jan 25, 2022
Signals
2 dated events
- A•••• O•••• F••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 13, 2021 · Succession (Item 4) · fact
- A•••• O•••• F••••••••• I••• filed its initial SEC registration (Form ADV)Apr 13, 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
- Principal office phone
- 410-592-8936reportedpublic record, Form ADV, Feb 9, 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
- $187Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026