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
T••••••••• W••••• M•••••••••
Legal name T••••••••• W••••• M••••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Feb 10, 2022 · 9 filings
SEC status approved since Jun 26, 2025
RAUM
$132M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$132M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$66.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$132M as of Mar 5, 2026
May 27, 2025$110M then
HNW client RAUM$128M as of Mar 5, 2026
May 27, 2025$102M then
State-registered IARs (5.B.3)2 as of Mar 5, 2026
May 27, 20253 then
Employees (5.A)2 as of Mar 5, 2026
May 27, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 5, 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
- $66.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $852,341derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $132MreportedItem 5.I
- Custody
- $3.8M, 2 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$128M97%
- Individuals$4.5M3.4%
- Individual clients
- 28reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 155reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $3.8M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• S•••• A••••Certified Financial Planner | Orlando, Fl | Apr 6, 2022 | 19 y | 8 |
| E••• N••••• B•••••• | Orlando, Fl | Apr 6, 2022 | 15 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- M•••• D•••• L••••• to L•• F•••••••• L••Dec 9, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- M•••• D•••• L••••• from L•• F•••••••• L••May 2, 2025 · Affiliated broker-dealer or bank to independent RIA
- J•••• S•••• A•••• from W••••••• F•••••••• S•••••••• I•••Apr 6, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- E••• N••••• B•••••• from W••••••• F•••••••• S•••••••• I•••Apr 6, 2022 · 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 W••••••• F•••••••• S•••••••• I•••Apr 8, 2022 · Orlando, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• J••••• S•••• · Membercontrolsince 10/2019 · owns 50% to 75%
- B••••••• E•••• N••••• · Member And Chief Compliance Officercontrolsince 10/2019 · 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 · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Aug 11, 2025 to Mar 5, 2026
- HNW clients · 42 to 46Aug 11, 2025 to Mar 5, 2026
- Individual clients · 32 to 28Aug 11, 2025 to Mar 5, 2026
- Assets in custody · $3.0M to $3.8MAug 11, 2025 to Mar 5, 2026
- Employees · 3 to 2Aug 11, 2025 to Mar 5, 2026
- Financial planning clients · 11-25 to 1-10Aug 11, 2025 to Mar 5, 2026
- State-registered IARs · 3 to 2Aug 11, 2025 to Mar 5, 2026
- Discretionary RAUM · $110M to $130MAug 11, 2025 to Mar 5, 2026
- HNW RAUM · $102M to $128MAug 11, 2025 to Mar 5, 2026
- Individual RAUM · $8.0M to $4.5MAug 11, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $0 to $1.9MAug 11, 2025 to Mar 5, 2026
- RAUM · $110M to $132MAug 11, 2025 to Mar 5, 2026
- Accounts · 59 to 155Aug 25, 2022 to May 27, 2025
- Advisory employees · 2 to 3Aug 25, 2022 to May 27, 2025
- BD registered reps · 2 to 0Aug 25, 2022 to May 27, 2025
- HNW clients · 30 to 42Aug 25, 2022 to May 27, 2025
- Individual clients · unset to 32.0Aug 25, 2022 to May 27, 2025
- Assets in custody · $0 to $3.0MAug 25, 2022 to May 27, 2025
- Employees · 2 to 3Aug 25, 2022 to May 27, 2025
- Financial planning clients · 0 to 11-25Aug 25, 2022 to May 27, 2025
- State-registered IARs · 2 to 3Aug 25, 2022 to May 27, 2025
- Discretionary RAUM · $70.0M to $110MAug 25, 2022 to May 27, 2025
- HNW RAUM · $70.0M to $102MAug 25, 2022 to May 27, 2025
- Individual RAUM · unset to 8040000.0Aug 25, 2022 to May 27, 2025
- RAUM · $70.0M to $110MAug 25, 2022 to May 27, 2025
- BD registered reps · 0 to 2Jul 27, 2022 to Aug 18, 2022
- Accounts · 0 to 59Mar 14, 2022 to Jul 6, 2022
- HNW clients · unset to 30.0Mar 14, 2022 to Jul 6, 2022
- Assets in custody · unset to 0.0Mar 14, 2022 to Jul 6, 2022
- Custody of client assets · false to trueMar 14, 2022 to Jul 6, 2022
- Discretionary RAUM · $0 to $70.0MMar 14, 2022 to Jul 6, 2022
- HNW RAUM · unset to 70000000.0Mar 14, 2022 to Jul 6, 2022
- RAUM · $0 to $70.0MMar 14, 2022 to Jul 6, 2022
- Financial planning clients · unset to 0Feb 10, 2022 to Mar 14, 2022
Signals
3 dated events
- M•••• D•••• L••••• left T••••••••• W••••• M••••••••• for L•• F•••••••• L•• (registered 2025-12-09)Dec 9, 2025 · Advisor changed firm · fact
- 2 advisors left W••••••• F•••••••• S•••••••• I••• (Orlando, FL) for T••••••••• W••••• M••••••••• within 5 daysApr 8, 2022 · Team lift-out · derived
- T••••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Feb 10, 2022 · 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
- team@tripletailwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 407-286-4072reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/tripletail-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- tripletailwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 407-286-4072reportedpublic record, Form ADV, Mar 5, 2026
- Team page
- tripletailwealth.com/our-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
- $66.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026