DFX Intelligence
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C••••••• W••••• A•••••••
Independent wealth manager, reporting $372M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $372M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +14%
- Private clients
- 95% of RAUM, $353M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- HNW share of RAUM 0.880182730706788
- Contact points 6
Every filed figure, and the identifiersCRD 316124 · SEC 801-122369 · 17 filingsShowHide
CRD 316124SEC 801-122369Legal name C••••••• W••••• A•••••••• L••First filing on the tape Aug 24, 2021, latest Mar 12, 2026SEC status approved since Sep 30, 2021IAPD
RAUM
$372M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$353M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$186M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$372M as of Mar 12, 2026
Jan 7, 2022$235M then
HNW client RAUM$328M as of Mar 12, 2026
Jan 7, 2022$171M then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
Jan 7, 20222 then
Employees (5.A)4 as of Mar 12, 2026
Jan 7, 20223 then
Private funds: no history
RAUM +14% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 12, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $186MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 143derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $429,244derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $372MreportedItem 5.I
- Custody
- $8.8M, 7 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$328M88%
- Individuals$25.4M6.8%
- Charitable organizations$19.2M5.1%
- Individual clients
- 185reported
- HNW clients
- 100reported
- Pension plan clients
- 0reported
- Charitable clients
- 5reported
- Accounts
- 867reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $8.8M for 7 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N•••••• B•••••• C••••••• | Orlando, Fl | Oct 25, 2021 | 16 y | 1 |
| C•••• M•••••• C••••••• | Orlando, Fl | Oct 26, 2021 | 34 y | 2 |
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
- C•••• M•••••• C••••••• from A••••••••• F•••••••• S•••••••• L••Oct 26, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- N•••••• B•••••• C••••••• from A••••••••• F•••••••• S•••••••• L••Oct 25, 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 A••••••••• F•••••••• S•••••••• L••Oct 1, 2021 · Winter Park, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• C••••• M•••••• · Chief Compliance Officer & Managing Directorcontrolsince 08/2021 · owns 50% to 75%
- C•••••••• N••••••• B• · Managing Partnercontrolsince 08/2021 · 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 |
|---|---|---|---|---|---|
| Orlando, Fl | 2 | 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
- HNW share shiftChange between filings · filing Mar 12, 2026HNW share of RAUM moved from 65.0% to 88.0% between the annual amendments of 2025-03-05 and 2026-03-12peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Accounts · 817 to 867Mar 5, 2025 to Mar 12, 2026
- Advisory employees · 2 to 3Mar 5, 2025 to Mar 12, 2026
- BD registered reps · 0 to 3Mar 5, 2025 to Mar 12, 2026
- Charity clients · unset to 5.0Mar 5, 2025 to Mar 12, 2026
- HNW clients · 62 to 100Mar 5, 2025 to Mar 12, 2026
- Individual clients · 205 to 185Mar 5, 2025 to Mar 12, 2026
- Pension plan clients · unset to 0.0Mar 5, 2025 to Mar 12, 2026
- Assets in custody · $38.0M to $8.8MMar 5, 2025 to Mar 12, 2026
- Employees · 2 to 4Mar 5, 2025 to Mar 12, 2026
- Discretionary RAUM · $306M to $372MMar 5, 2025 to Mar 12, 2026
- HNW RAUM · $214M to $328MMar 5, 2025 to Mar 12, 2026
- Individual RAUM · $82.0M to $25.4MMar 5, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $21.1M to $0Mar 5, 2025 to Mar 12, 2026
- Pension RAUM · $21.5M to $0Mar 5, 2025 to Mar 12, 2026
- RAUM · $327M to $372MMar 5, 2025 to Mar 12, 2026
- Accounts · 735 to 817Mar 1, 2024 to Mar 5, 2025
- Advisory employees · 3 to 2Mar 1, 2024 to Mar 5, 2025
- HNW clients · 112 to 62Mar 1, 2024 to Mar 5, 2025
- Individual clients · 122 to 205Mar 1, 2024 to Mar 5, 2025
- Assets in custody · $18.1M to $38.0MMar 1, 2024 to Mar 5, 2025
- Employees · 3 to 2Mar 1, 2024 to Mar 5, 2025
- Financial planning clients · 0 to 0Mar 1, 2024 to Mar 5, 2025
- HQ city · unset to Mar 1, 2024 to Mar 5, 2025
- HQ state · unset to Mar 1, 2024 to Mar 5, 2025
- Discretionary RAUM · $250M to $306MMar 1, 2024 to Mar 5, 2025
- HNW RAUM · $221M to $214MMar 1, 2024 to Mar 5, 2025
- Individual RAUM · $29.1M to $82.0MMar 1, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $18.2M to $21.1MMar 1, 2024 to Mar 5, 2025
- Pension RAUM · $18.2M to $21.5MMar 1, 2024 to Mar 5, 2025
- RAUM · $268M to $327MMar 1, 2024 to Mar 5, 2025
- Accounts · 561 to 735Mar 6, 2023 to Mar 1, 2024
- Advisory activities · 4 to 3Mar 6, 2023 to Mar 1, 2024
- Charity clients · 3.0 to unsetMar 6, 2023 to Mar 1, 2024
- HNW clients · 76 to 112Mar 6, 2023 to Mar 1, 2024
- Individual clients · 111 to 122Mar 6, 2023 to Mar 1, 2024
- Pension plan clients · 1.0 to unsetMar 6, 2023 to Mar 1, 2024
- Assets in custody · $15.2M to $18.1MMar 6, 2023 to Mar 1, 2024
- Discretionary RAUM · $207M to $250MMar 6, 2023 to Mar 1, 2024
- HNW RAUM · $171M to $221MMar 6, 2023 to Mar 1, 2024
- Individual RAUM · $31.5M to $29.1MMar 6, 2023 to Mar 1, 2024
Signals
2 dated events
- ••• LockedJan 13, 2022 · Succession (Item 4) · fact
- ••• LockedAug 24, 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
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 12, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- ••• Lockedreportedpublished 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
- $186Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026