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

S•••••• W••••• L••

Independent wealth managerDelray Beach, FloridaCRD 321900SEC 801-135014websiteIAPD
Latest filing Jul 1, 2026
First filing on the tape Jan 28, 2026 · 2 filings
SEC status approved since Jan 2, 2026
RAUM
$126M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$126M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$62.9M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$126M as of Jul 1, 2026
Jan 28, 2026$126M then
HNW client RAUM$125M as of Jul 1, 2026
Jan 28, 2026$125M then
State-registered IARs (5.B.3)1 as of Jul 1, 2026
Jan 28, 20261 then
Employees (5.A)3 as of Jul 1, 2026
Jan 28, 20263 then
Private funds1 as of Jul 1, 2026
Jan 28, 20261 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
Archetypes, each a printed rule
  • RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$62.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
29derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 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 assets, hourly, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, 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)
  • 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)
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$125M100%
  • Individuals$546,8200.4%
Individual clients
7reported
HNW clients
51reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
113reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, hourly, performancereported
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
NameBranchHere sinceIn industryPrior firms
P••• G•••••• B••••Chartered Financial AnalystDelray Beach, FlAug 4, 202530 y1
M•••• B••••• V••••Delray Beach, FlFeb 26, 202610 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• P•••• G•••••• · Manager/Investment Advisor Representative/Chief Compliance Officercontrol
      since 05/2022 · owns less than 5%
    • H•••• A•••••• J•••• · Managercontrol
      since 01/2024 · owns less than 5%
    Entity owners
    • S•••••••• B• L•• · Member
      direct · owns 50% to 75%
    • T••• N•••• C••••••• L•• · Member
      direct · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Delray Beach, Fl · principal210
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HQ city · BOCA RATON to DELRAY BEACH
      Jan 28, 2026 to Jul 1, 2026
    Signals
    No event on the tape.
    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
    Website
    s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    561-302-4371reportedpublic record, Form ADV, Jul 1, 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
    $62.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026