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

M•••• W••••• M••••••••• L••

Independent wealth managerNaples, FloridaCRD 319208SEC 801-123682websiteIAPD
Latest filing Jun 4, 2026
First filing on the tape Mar 11, 2022 · 25 filings
SEC status approved since Apr 15, 2022
RAUM
$5.1B
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
94%
$4.8B individuals and HNW
Advisors
34
registered through the firm on IAPD
RAUM per advisor
$150M
derived; firm RAUM over IAPD count
Employees
56
40 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$5.1B as of Jun 4, 2026
Mar 15, 2023$4.1B then
HNW client RAUM$4.6B as of Jun 4, 2026
Mar 15, 2023$3.5B then
State-registered IARs (5.B.3)40 as of Jun 4, 2026
Mar 15, 202320 then
Employees (5.A)56 as of Jun 4, 2026
Mar 15, 202337 then
Private funds: no history
RAUM +7.4% over the last fiscal year+7.9% a year over threeIARs 32 to 40
Practice profile
derived from the filing of Jun 4, 2026; every figure names its basis
RAUM per advisor
$150MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.7MderivedHNW RAUM over HNW clients
Average account
$415,646derivedRAUM over accounts (5.F.2.f)
Discretionary
77%derivedof RAUM
Institutional
2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
34.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.4%derivedbetween the last two annual amendments
Advisor growth, one year
+16%derivedItem 5.B.3 between annual amendments
Client growth, one year
-20%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
yesreportedItem 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$4.6B90%
  • Individuals$245M4.8%
  • Corporations and businesses$149M2.9%
  • Pension and profit-sharing plans$81.9M1.6%
  • Charitable organizations$54.3M1.1%
Individual clients
625reported
HNW clients
981reported
Pension plan clients
22reported
Charitable clients
24reported
Accounts
12,260reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$0 for 1,694 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.94 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
34 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••• S••• O•••••••Naples, FlMay 16, 202213 y2
D••••• E••••• D••••Naples, FlMay 16, 202232 y2
R•••••• A• S••••••Certified Financial Planner, Chartered Financial ConsultantNaples, FlMay 31, 202213 y4
C•••• G••••Certified Financial PlannerNaples, FlMay 31, 202214 y2
C•••••• E••••• C•••••••••Naples, FlMay 31, 202220 y1
C•••••••• S•••Naples, FlMay 31, 202220 y2
T••••• M•••••• M••••Naples, FlAug 22, 202243 y3
J•••• R•••Certified Financial PlannerNaples, FlSep 2, 202227 y2
J•••••• L•••••••Naples, FlSep 12, 202220 y1
M•••••• J••• M•••••Naples, FlSep 14, 202217 y5
K••••••• M•••• H•••••Naples, FlSep 19, 202216 y2
R••• E•••••••• F••••Certified Financial PlannerNaples, FlSep 20, 202212 y2
T•••• W•••••• H••••Chartered Financial AnalystNaples, FlJan 24, 202317 y1
J••••• L••••• R•••Naples, FlApr 10, 202313 y0
S••••••• N•• M•••••Certified Financial PlannerNaples, FlMay 4, 202313 y0
S•••• A•••• M•••••••••Naples, FlMay 6, 202310 y0
M•• A•• S•••••Naples, FlMay 6, 202310 y0
D•••• J••• B••••••Certified Financial PlannerNaples, FlSep 22, 202319 y0
S•••••• X•Naples, FlMar 20, 202410 y1
I••••••• A••••Naples, FlMar 20, 202412 y0
E••••• C•••Naples, FlApr 2, 202411 y0
B••••••• G•••••• H••••••••Naples, FlSep 12, 202412 y0
C•••••••• A••••• P•••••Naples, FlOct 3, 202416 y0
N••••••• M••••Naples, FlFeb 20, 202511 y0
K•••••• P•••••••Naples, FlMay 21, 202511 y0
C•••••• T• S••••••Naples, FlMay 26, 202510 y0
D••••• K•••Naples, FlJul 10, 202512 y1
J••••• R••••• C•••••••Naples, FlAug 21, 202511 y0
L••••• E•••••••• K•••••••••Naples, FlSep 30, 202511 y0
C••••••• A•• K•••Naples, FlMar 10, 202633 y3
K••• K••••Naples, FlApr 27, 202610 y0
A••••• W• B•••••Naples, FlApr 30, 202610 y1
S••••• C•••••Naples, FlMay 5, 202610 y0
B•••• M•••••• S•••••••Chartered Financial AnalystNaples, FlMay 13, 202630 y2
Advisor movement
2 left, 3 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.9% of current headcount3 left over 36 months
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M••••• T•••••• M•••••• · Managing Member And G••••Or Of T••••• M• M•••• R•••••••• T••••control
      since 11/2021 · owns 25% to 50%
    • O•••••••• K••••• S••• · Member And Trustee Of S••••• O.control
      since 02/2022 · owns less than 5%
    • M••••• K•••• · Trusteecontrol
      since 11/2021 · owns F of S••••• O• M•••• 2••• D••••••••• T••••
    • M••••• P••••••• K••••• · Trusteecontrol
      since 11/2021 · owns F of T••••• M• M•••• 2••• I••••••••• I•••••••• T••••
    • B••••••• A•••••• N••••• · Chief Compliance Officer And Member
      since 11/2021 · owns less than 5%
    • D••••• D•••••• E••••• · Member
      since 11/2021 · owns less than 5%
    • M••••• P••••••• K••••• · Member And Trustee Of T••••• M. I•••••••• Trust T••••• M• M•••• R•••••••• T••••
      since 11/2021 · owns less than 5%
    • O••••••• T••••••• A••••• · Chief Compliance Officer
      since 02/2025 · owns less than 5%
    Entity owners
    • S••••• O• M•••• 2••• · Trust
      direct · owns 25% to 50%
    • S••••• O• M•••• 2••• D••••••••• T•••• · Trust
      direct · owns 25% to 50%
    • T••••• M• M•••• 2••• · Trust
      direct · owns 10% to 25%
    • T••••• M• M•••• 2••• I••••••••• I•••••••• T•••• · Trust
      direct · owns 10% to 25%
    • T••••• M• M•••• R•••••••• T•••• · Trust
      direct · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Naples, Fl · principal34621
    Traverse City, Mi000
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    ADV anomalies
    2 against comparable advisers; where to look, not conclusions
    • control person changedChange between filings · filing Jun 4, 2026
      M••••• T•••••• M•••••• (MANAGING MEMBER AND G••••OR OF T••••• M• M•••• R•••••••• T••••) left Schedule A between the filings of 2023-03-15 and 2026-06-04
      peers: independent wealth managers, $5B to $20B (289)
    • clients down average size upCombination · filing Apr 29, 2026
      private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $4,743,610,462 to $5,095,822,670, advisors 32 to 37, private clients 2008 to 1606, offices 0 to 0 (2025-03-21 to 2026-04-29)
      peers: independent wealth managers, $5B to $20B (289)
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Advisory employees · 36 to 40
      May 20, 2026 to Jun 4, 2026
    • Employees · 52 to 56
      May 20, 2026 to Jun 4, 2026
    • State-registered IARs · 36 to 40
      May 20, 2026 to Jun 4, 2026
    • Advisory employees · 37 to 36
      Apr 29, 2026 to May 20, 2026
    • Employees · 53 to 52
      Apr 29, 2026 to May 20, 2026
    • State-registered IARs · 37 to 36
      Apr 29, 2026 to May 20, 2026
    • Advisory employees · 38 to 37
      Mar 19, 2026 to Apr 29, 2026
    • Employees · 54 to 53
      Mar 19, 2026 to Apr 29, 2026
    • State-registered IARs · 38 to 37
      Mar 19, 2026 to Apr 29, 2026
    • Advisory employees · 37 to 38
      Jan 27, 2026 to Mar 19, 2026
    • Employees · 53 to 54
      Jan 27, 2026 to Mar 19, 2026
    • State-registered IARs · 37 to 38
      Jan 27, 2026 to Mar 19, 2026
    • Accounts · 12,102 to 12,260
      Nov 24, 2025 to Jan 27, 2026
    • Charity clients · 20 to 24
      Nov 24, 2025 to Jan 27, 2026
    • HNW clients · 941 to 981
      Nov 24, 2025 to Jan 27, 2026
    • Individual clients · 635 to 625
      Nov 24, 2025 to Jan 27, 2026
    • Pension plan clients · 21 to 22
      Nov 24, 2025 to Jan 27, 2026
    • Assets in custody · $512M to $0
      Nov 24, 2025 to Jan 27, 2026
    • Discretionary RAUM · $4.0B to $3.9B
      Nov 24, 2025 to Jan 27, 2026
    • HNW RAUM · $4.6B to $4.6B
      Nov 24, 2025 to Jan 27, 2026
    • Individual RAUM · $244M to $245M
      Nov 24, 2025 to Jan 27, 2026
    • Non-discretionary RAUM · $1.1B to $1.2B
      Nov 24, 2025 to Jan 27, 2026
    • Pension RAUM · $54.3M to $81.9M
      Nov 24, 2025 to Jan 27, 2026
    • RAUM · $5.1B to $5.1B
      Nov 24, 2025 to Jan 27, 2026
    • Accounts · 12,230 to 12,102
      Jul 30, 2025 to Nov 24, 2025
    • Advisory employees · 36 to 37
      Jul 30, 2025 to Nov 24, 2025
    • Charity clients · 26 to 20
      Jul 30, 2025 to Nov 24, 2025
    • Corporate clients · 43 to 42
      Jul 30, 2025 to Nov 24, 2025
    • HNW clients · 971 to 941
      Jul 30, 2025 to Nov 24, 2025
    • Individual clients · 1,037 to 635
      Jul 30, 2025 to Nov 24, 2025
    • Pension plan clients · 27 to 21
      Jul 30, 2025 to Nov 24, 2025
    • Employees · 52 to 53
      Jul 30, 2025 to Nov 24, 2025
    • State-registered IARs · 36 to 37
      Jul 30, 2025 to Nov 24, 2025
    • Discretionary RAUM · $3.7B to $4.0B
      Jul 30, 2025 to Nov 24, 2025
    • HNW RAUM · $4.1B to $4.6B
      Jul 30, 2025 to Nov 24, 2025
    • Individual RAUM · $379M to $244M
      Jul 30, 2025 to Nov 24, 2025
    • Non-discretionary RAUM · $1.0B to $1.1B
      Jul 30, 2025 to Nov 24, 2025
    • Pension RAUM · $53.6M to $54.3M
      Jul 30, 2025 to Nov 24, 2025
    • RAUM · $4.7B to $5.1B
      Jul 30, 2025 to Nov 24, 2025
    • Advisory employees · 35 to 36
      Jun 13, 2025 to Jul 30, 2025
    Signals
    10 dated events
    • A••• G•••••• M•••••••• left M•••• W••••• M••••••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-29)
      Mar 30, 2026 · Advisor changed firm · fact
    • C•••••• R•• G•••• left M•••• W••••• M••••••••• L•• for S••••• W••••• G•••• (registered 2026-02-27)
      Jan 8, 2026 · Advisor changed firm · fact
    • T•••• L•••• G••••••••• left M•••• W••••• M••••••••• L•• for Savvy (registered 2026-01-06)
      Sep 17, 2025 · Advisor changed firm · fact
    • M••• A•••••• M•••• left M•••• W••••• M••••••••• L•• for I• A••••••• S•••••••• I••• (registered 2023-11-03)
      Sep 15, 2023 · Advisor changed firm · fact
    • J•••• P••••• left M•••• W••••• M••••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-07-05)
      Jun 9, 2023 · Advisor changed firm · fact
    • M•••• W••••• M••••••••• L•• reported RAUM $4.1B, up 59% from $2.5B (2022-12-21 to 2023-03-15)
      Mar 15, 2023 · RAUM change · derived
    • 7 advisors left W•••• F•••• A••••••• (Naples, FL) for M•••• W••••• M••••••••• L•• on the same day
      Aug 30, 2022 · Team lift-out · derived
    • 4 advisors left W•••• F•••• A••••••• (Naples, FL) for M•••• W••••• M••••••••• L•• on the same day
      Jun 24, 2022 · Team lift-out · derived
    • 2 advisors left W•••• F•••• A••••••• (Naples, FL) for M•••• W••••• M••••••••• L•• on the same day
      Jun 6, 2022 · Team lift-out · derived
    • M•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Mar 11, 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 phone
    239-431-5239reportedpublished by the firm, firm site, Sep 15, 2026
    Business phone
    239-920-4440reportedpublished by the firm, firm site, Sep 15, 2026
    Firm profile
    linkedin.com/company/moran-wealth-management/mycompanyreportedpublic record, Form ADV, Sep 18, 2026
    Website
    moranwm.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    239-920-4440reportedpublic record, Form ADV, Jun 4, 2026
    Team page
    moranwm.com/teamreportedpublished 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
    $150Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026