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
C•••••• F•••••••• A••••••• L••
Latest filing Jun 26, 2026
First filing on the tape Sep 22, 2022 · 15 filings
SEC status approved since Oct 25, 2022
RAUM
$150M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$144M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$24.9M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$150M as of Jun 26, 2026
Feb 17, 2023$51.2M then
HNW client RAUM$31.6M as of Jun 26, 2026
Feb 17, 2023$5.7M then
State-registered IARs (5.B.3)6 as of Jun 26, 2026
Feb 17, 20235 then
Employees (5.A)9 as of Jun 26, 2026
Feb 17, 20238 then
Private funds: no history
RAUM +50% over the last fiscal year+43% a year over threeIARs 2 to 6offices 1 to 6
Practice profile
derived from the filing of Jun 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $24.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 164derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $67,659derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.9derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +50%derivedbetween the last two annual amendments
- Advisor growth, one year
- +150%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$112M75%
- High-net-worth individuals$31.6M21%
- Pension and profit-sharing plans$4.7M3.2%
- Charitable organizations$1.0M0.7%
- Individual clients
- 964reported
- HNW clients
- 21reported
- Pension plan clients
- 6reported
- Charitable clients
- 1reported
- Accounts
- 2,210reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• S••••• R••• | Greenwood, De | Nov 1, 2022 | 13 y | 1 |
| T••••• K• S••••• | St. Petersburg, Fl | Nov 8, 2022 | 13 y | 1 |
| W•••••• A•••••• R••• | Sarasota, Fl | Dec 22, 2022 | 18 y | 2 |
| D•••• M•••••• O•••••• | St. Petersburg, Fl | Jan 10, 2025 | 13 y | 1 |
| L•••• J•• N•••• | Sarasota, Fl | Mar 17, 2026 | 23 y | 0 |
| J••••••• P•••••• H•••••••• | St. Petersburg, Fl | Aug 12, 2026 | 10 y | 0 |
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
- D•••• M•••••• O•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 10, 2025 · Affiliated broker-dealer or bank to independent RIA
- W•••••• A•••••• R••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 22, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- T••••• K• S••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 8, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••••• S••••• R••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 1, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 4, 2022 · Bradenton, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• W••••••• A•••••• · Managing Member / Principalcontrolsince 09/2022 · owns 50% to 75%
- S•••••• T•••••• K• · Managing Member / Principal / Chief Compliance Officercontrolsince 09/2022 · 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 |
|---|---|---|---|---|---|
| St Petersburg, Fl | 6 | 2 | 0 | ||
| Sarasota, Fl | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Apr 7, 2026RAUM (Item 5.F) moved from $99,855,184 to $149,527,424 (+50.0%) between the annual amendments of 2025-03-03 and 2026-04-07; the peer median change was +15.0% (4550 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 95% percentile
What changed
consecutive filings, newest first
- Advisory employees · 5 to 6Apr 7, 2026 to Jun 26, 2026
- Employees · 8 to 9Apr 7, 2026 to Jun 26, 2026
- State-registered IARs · 5 to 6Apr 7, 2026 to Jun 26, 2026
- Other offices · 4 to 6Apr 7, 2026 to Jun 26, 2026
- Accounts · 1,973 to 2,210Jan 14, 2026 to Mar 12, 2026
- Advisory employees · 4 to 5Jan 14, 2026 to Mar 12, 2026
- Charity clients · unset to 1.0Jan 14, 2026 to Mar 12, 2026
- HNW clients · 18 to 21Jan 14, 2026 to Mar 12, 2026
- Individual clients · 844 to 964Jan 14, 2026 to Mar 12, 2026
- Pension plan clients · unset to 6.0Jan 14, 2026 to Mar 12, 2026
- Employees · 4 to 8Jan 14, 2026 to Mar 12, 2026
- Financial planning clients · 101-250 to 251-500Jan 14, 2026 to Mar 12, 2026
- State-registered IARs · 4 to 5Jan 14, 2026 to Mar 12, 2026
- Discretionary RAUM · $99.9M to $150MJan 14, 2026 to Mar 12, 2026
- HNW RAUM · $15.4M to $31.6MJan 14, 2026 to Mar 12, 2026
- Individual RAUM · $84.4M to $112MJan 14, 2026 to Mar 12, 2026
- Pension RAUM · unset to 4748426.0Jan 14, 2026 to Mar 12, 2026
- RAUM · $99.9M to $150MJan 14, 2026 to Mar 12, 2026
- Advisory employees · 2 to 4Mar 3, 2025 to Jan 14, 2026
- Advisory activities · 2 to 3Mar 3, 2025 to Jan 14, 2026
- Employees · 2 to 4Mar 3, 2025 to Jan 14, 2026
- State-registered IARs · 2 to 4Mar 3, 2025 to Jan 14, 2026
- Other offices · 1 to 4Mar 3, 2025 to Jan 14, 2026
- Accounts · 1,816 to 1,973Dec 12, 2024 to Mar 3, 2025
- Advisory employees · 4 to 2Dec 12, 2024 to Mar 3, 2025
- Corporate clients · 17.0 to unsetDec 12, 2024 to Mar 3, 2025
- HNW clients · 30 to 18Dec 12, 2024 to Mar 3, 2025
- Individual clients · 754 to 844Dec 12, 2024 to Mar 3, 2025
- Pension plan clients · 5.0 to unsetDec 12, 2024 to Mar 3, 2025
- Commission compensation · false to trueDec 12, 2024 to Mar 3, 2025
- Employees · 4 to 2Dec 12, 2024 to Mar 3, 2025
- Financial planning clients · 251-500 to 101-250Dec 12, 2024 to Mar 3, 2025
- State-registered IARs · 4 to 2Dec 12, 2024 to Mar 3, 2025
- Discretionary RAUM · $79.9M to $99.9MDec 12, 2024 to Mar 3, 2025
- HNW RAUM · $23.9M to $15.4MDec 12, 2024 to Mar 3, 2025
- Individual RAUM · $50.1M to $84.4MDec 12, 2024 to Mar 3, 2025
- Pension RAUM · 2843264.0 to unsetDec 12, 2024 to Mar 3, 2025
- RAUM · $79.9M to $99.9MDec 12, 2024 to Mar 3, 2025
- Accounts · 1,272 to 1,816Feb 17, 2023 to Mar 18, 2024
- Advisory employees · 5 to 4Feb 17, 2023 to Mar 18, 2024
Signals
2 dated events
- 3 advisors left C•••••••• I••••••••• R••••••• A•••••••• I••• (Bradenton, FL) for C•••••• F•••••••• A••••••• L•• on the same dayNov 4, 2022 · Team lift-out · derived
- C•••••• F•••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Sep 22, 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
- i•••@t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 816-786-5031reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (816) 786-5031reportedpublic record, Form ADV, Jun 26, 2026
- Contact form
- t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- t•••••••••.comreportedpublished 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
- $24.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026