DFX Intelligence
RIA Intelligence
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SEC-registered adviser
J•••••• D••• C•••••• A•••••••• I•••
Latest filing Jul 16, 2026
First filing on the tape Apr 14, 2022 · 11 filings
SEC status approved since May 25, 2022
RAUM
$156M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
81%
$127M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$156M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$156M as of Jul 16, 2026
Mar 14, 2023$96.1M then
HNW client RAUM$114M as of Jul 16, 2026
Mar 14, 2023$77.5M then
State-registered IARs (5.B.3)1 as of Jul 16, 2026
Mar 14, 20231 then
Employees (5.A)1 as of Jul 16, 2026
Mar 14, 20231 then
Private funds: no history
RAUM +14% over the last fiscal year+18% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jul 16, 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
- $156MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $848,457derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- +14%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$114M73%
- Charitable organizations$20.1M13%
- Individuals$12.2M7.8%
- Other investment advisers$9.5M6.1%
- Individual clients
- 39reported
- HNW clients
- 33reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 184reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.81 fund_share=0.06 institutional_share=0.13 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 |
|---|---|---|---|---|
| K•••• D•••• D••• | Palm Harbor, Fl | Jun 16, 2022 | 43 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
- K•••• D•••• D••• from W•••• F•••• A•••••••Jun 16, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• T••••• R••••••• · Ccocontrolsince 01/2023 · owns less than 5%
- D•••• K••••• D•••• · Managing Directorcontrolsince 03/2022 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 182 to 184Mar 21, 2025 to Mar 27, 2026
- HNW clients · 32 to 33Mar 21, 2025 to Mar 27, 2026
- Individual clients · 31 to 39Mar 21, 2025 to Mar 27, 2026
- Discretionary RAUM · $114M to $129MMar 21, 2025 to Mar 27, 2026
- HNW RAUM · $101M to $114MMar 21, 2025 to Mar 27, 2026
- Individual RAUM · $10.7M to $12.2MMar 21, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $22.1M to $26.8MMar 21, 2025 to Mar 27, 2026
- RAUM · $136M to $156MMar 21, 2025 to Mar 27, 2026
- Accounts · 180 to 182Mar 20, 2024 to Mar 21, 2025
- HNW clients · 40 to 32Mar 20, 2024 to Mar 21, 2025
- Individual clients · 27 to 31Mar 20, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 21, 2025
- HQ city · unset to Mar 20, 2024 to Mar 21, 2025
- HQ state · unset to Mar 20, 2024 to Mar 21, 2025
- Discretionary RAUM · $87.2M to $114MMar 20, 2024 to Mar 21, 2025
- HNW RAUM · $76.9M to $101MMar 20, 2024 to Mar 21, 2025
- Individual RAUM · $11.4M to $10.7MMar 20, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $22.8M to $22.1MMar 20, 2024 to Mar 21, 2025
- RAUM · $110M to $136MMar 20, 2024 to Mar 21, 2025
- Accounts · 185 to 180Mar 14, 2023 to Mar 20, 2024
- HNW clients · 16 to 40Mar 14, 2023 to Mar 20, 2024
- Individual clients · 9 to 27Mar 14, 2023 to Mar 20, 2024
- Assets in custody · 80596000.0 to unsetMar 14, 2023 to Mar 20, 2024
- Custody of client assets · true to falseMar 14, 2023 to Mar 20, 2024
- Discretionary RAUM · $87.9M to $87.2MMar 14, 2023 to Mar 20, 2024
- HNW RAUM · $77.5M to $76.9MMar 14, 2023 to Mar 20, 2024
- Individual RAUM · $4.9M to $11.4MMar 14, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $8.2M to $22.8MMar 14, 2023 to Mar 20, 2024
- RAUM · $96.1M to $110MMar 14, 2023 to Mar 20, 2024
- HNW clients · 32 to 16Dec 19, 2022 to Mar 14, 2023
- Individual clients · 18 to 9Dec 19, 2022 to Mar 14, 2023
- Discretionary RAUM · $92.3M to $87.9MDec 19, 2022 to Mar 14, 2023
- HNW RAUM · $81.3M to $77.5MDec 19, 2022 to Mar 14, 2023
- Individual RAUM · $5.1M to $4.9MDec 19, 2022 to Mar 14, 2023
- Non-discretionary RAUM · $7.7M to $8.2MDec 19, 2022 to Mar 14, 2023
- RAUM · $100M to $96.1MDec 19, 2022 to Mar 14, 2023
- Accounts · 192 to 185Oct 11, 2022 to Dec 19, 2022
- HNW clients · 26 to 32Oct 11, 2022 to Dec 19, 2022
- Individual clients · 11 to 18Oct 11, 2022 to Dec 19, 2022
- Discretionary RAUM · $77.4M to $92.3MOct 11, 2022 to Dec 19, 2022
Signals
2 dated events
- Rudisill Timmi Barker (Cco) appeared on Schedule A of J•••••• D••• C•••••• A•••••••• I•••Mar 14, 2023 · Control person joined · fact
- D••• C•••••• A••••••• filed its initial SEC registration (Form ADV)Apr 14, 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
- Principal office phone
- 727-808-9936reportedpublic record, Form ADV, Jul 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
- $156Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026