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
F•••••••• D•••••• W••••• M•••••••••
Legal name F•••••••• D•••••• W••••• M••••••••• L••
Latest filing Jun 16, 2026
First filing on the tape Apr 22, 2021 · 22 filings
SEC status approved since Jun 20, 2023
RAUM
$261M
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
66%
$172M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$87.1M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$261M as of Jun 16, 2026
Feb 26, 2024$138M then
HNW client RAUM$163M as of Jun 16, 2026
Feb 26, 2024$78.8M then
State-registered IARs (5.B.3)3 as of Jun 16, 2026
Feb 26, 20242 then
Employees (5.A)6 as of Jun 16, 2026
Feb 26, 20245 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Jun 16, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $87.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assetsreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$163M62%
- Pension and profit-sharing plans$87.3M33%
- Individuals$8.7M3.3%
- Corporations and businesses$2.1M0.8%
- Individual clients
- 38reported
- HNW clients
- 77reported
- Pension plan clients
- 62reported
- Charitable clients
- n/areported
- Accounts
- 181reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.66 fund_share=0.0 institutional_share=0.33 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• A••••• V•••••Certified Financial Planner | Miami, Fl | Aug 14, 2023 | 11 y | 2 |
| J•••• A•••••• V•••••Certified Financial Planner | Miami, Fl | Aug 14, 2023 | 36 y | 3 |
| J•••• A•••••• V•••••Certified Financial Planner | Miami, Fl | Feb 19, 2024 | 12 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•••• A•••••• V••••• from T•• A•••••••• I•••Jul 7, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••••• A••••• V••••• from G•••••••Jun 4, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V•••••• J•••••••• A••••• · Chief Compliance Officercontrolsince 04/2021 · owns 25% to 50%
- V•••••• J•••••••• A••••• · Ownercontrolsince 07/2023 · owns 75% or more of F•••••••• D•••••• P•••••• W•••••• L••
- V•••••• J••••• A•••••• · Settlorcontrolsince 07/2003 · owns 75% or more of J•••• A• V••••• R•••••••• T••••
Entity owners
- F•••••••• D•••••• P•••••• W•••••• L•• · Ownerdirect · owns 25% to 50%
- J•••• A• V••••• R•••••••• T•••• · Grantor / Trusteedirect · owns 75% or more
Related persons
Schedule D 7.A
- F•••••••• D•••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 165 to 181Feb 13, 2026 to Mar 26, 2026
- Advisory employees · 3 to 4Feb 13, 2026 to Mar 26, 2026
- Corporate clients · unset to 4.0Feb 13, 2026 to Mar 26, 2026
- HNW clients · 66 to 77Feb 13, 2026 to Mar 26, 2026
- Individual clients · 35 to 38Feb 13, 2026 to Mar 26, 2026
- Assets in custody · 6080888.0 to unsetFeb 13, 2026 to Mar 26, 2026
- Custody of client assets · true to falseFeb 13, 2026 to Mar 26, 2026
- Financial planning clients · 0 to 1-10Feb 13, 2026 to Mar 26, 2026
- Discretionary RAUM · $123M to $174MFeb 13, 2026 to Mar 26, 2026
- HNW RAUM · $117M to $163MFeb 13, 2026 to Mar 26, 2026
- Individual RAUM · $5.7M to $8.7MFeb 13, 2026 to Mar 26, 2026
- Non-discretionary RAUM · $71.3M to $87.3MFeb 13, 2026 to Mar 26, 2026
- Pension RAUM · $71.3M to $87.3MFeb 13, 2026 to Mar 26, 2026
- RAUM · $195M to $261MFeb 13, 2026 to Mar 26, 2026
- Financial planning clients · 0 to 0Apr 14, 2025 to Sep 9, 2025
- Accounts · 134 to 165May 9, 2024 to Apr 14, 2025
- Advisory employees · 2 to 3May 9, 2024 to Apr 14, 2025
- HNW clients · 49 to 66May 9, 2024 to Apr 14, 2025
- Individual clients · 31 to 35May 9, 2024 to Apr 14, 2025
- Pension plan clients · 54 to 62May 9, 2024 to Apr 14, 2025
- Assets in custody · $10.7M to $6.1MMay 9, 2024 to Apr 14, 2025
- Employees · 5 to 6May 9, 2024 to Apr 14, 2025
- State-registered IARs · 2 to 3May 9, 2024 to Apr 14, 2025
- Discretionary RAUM · $87.3M to $123MMay 9, 2024 to Apr 14, 2025
- HNW RAUM · $78.8M to $117MMay 9, 2024 to Apr 14, 2025
- Individual RAUM · $8.5M to $5.7MMay 9, 2024 to Apr 14, 2025
- Non-discretionary RAUM · $50.5M to $71.3MMay 9, 2024 to Apr 14, 2025
- Pension RAUM · $50.5M to $71.3MMay 9, 2024 to Apr 14, 2025
- RAUM · $138M to $195MMay 9, 2024 to Apr 14, 2025
- Accounts · 125 to 134Sep 27, 2023 to Feb 26, 2024
- HNW clients · 43 to 49Sep 27, 2023 to Feb 26, 2024
- Individual clients · 35 to 31Sep 27, 2023 to Feb 26, 2024
- Pension plan clients · 47 to 54Sep 27, 2023 to Feb 26, 2024
- Assets in custody · $24.3M to $10.7MSep 27, 2023 to Feb 26, 2024
- Discretionary RAUM · $65.5M to $87.3MSep 27, 2023 to Feb 26, 2024
- HNW RAUM · $60.7M to $78.8MSep 27, 2023 to Feb 26, 2024
- Individual RAUM · $4.9M to $8.5MSep 27, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $34.8M to $50.5MSep 27, 2023 to Feb 26, 2024
- Pension RAUM · $34.8M to $50.5MSep 27, 2023 to Feb 26, 2024
- RAUM · $100M to $138MSep 27, 2023 to Feb 26, 2024
Signals
2 dated events
- A•••••• J•••• V••••• (Settlor) appeared on Schedule A of F•••••••• D•••••• W••••• M•••••••••May 10, 2023 · Control person joined · fact
- F•••••••• D•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Apr 22, 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
- 786-388-0070reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/fd-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- FinancialDesignsWealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 786-388-0070reportedpublic record, Form ADV, Jun 16, 2026
- Contact form
- financialdesignswealth.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- financialdesignswealth.com/meet-the-teamreportedpublished 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
- $87.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026