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
U•••• F•••••••• A•••••••
Legal name U•••• F•••••••• L••
Latest filing Apr 16, 2026
First filing on the tape Jul 19, 2024 · 4 filings
SEC status approved since Aug 16, 2024
RAUM
$156M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$155M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$77.9M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$156M as of Apr 16, 2026
Mar 27, 2025$124M then
HNW client RAUM$105M as of Apr 16, 2026
Mar 27, 2025$69.6M then
State-registered IARs (5.B.3)2 as of Apr 16, 2026
Mar 27, 20252 then
Employees (5.A)3 as of Apr 16, 2026
Mar 27, 20253 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Apr 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $77.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 97derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $274,762derivedRAUM 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
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -20%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $11.4M, 5 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$105M68%
- Individuals$49.3M32%
- Corporations and businesses$1.1M0.7%
- Individual clients
- 158reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 567reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $11.4M for 5 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 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 |
|---|---|---|---|---|
| K••••• M•••••• E••• | Clearwater, Fl | May 5, 2025 | 11 y | 2 |
| D•••• L•••• B••••••Certified Financial Planner | Clearwater, Fl | Jan 1, 2026 | 22 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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•••• L•••• B•••••• from S••••••••• P••••••••• L••Jan 1, 2026 · RIA to RIA
- K••••• M•••••• E••• from S•••••• I••••••••• L••May 5, 2025 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• D••••• L•••• · Managing Member & Chief Compliance Officercontrolsince 05/2023 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Clearwater, Fl · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 562 to 567Mar 27, 2025 to Mar 27, 2026
- Corporate clients · 6 to 3Mar 27, 2025 to Mar 27, 2026
- HNW clients · 25 to 35Mar 27, 2025 to Mar 27, 2026
- Individual clients · 216 to 158Mar 27, 2025 to Mar 27, 2026
- Assets in custody · $35.4M to $11.4MMar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $124M to $156MMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $69.6M to $105MMar 27, 2025 to Mar 27, 2026
- Individual RAUM · $52.8M to $49.3MMar 27, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $198,841 to $197,510Mar 27, 2025 to Mar 27, 2026
- RAUM · $124M to $156MMar 27, 2025 to Mar 27, 2026
- Accounts · 536 to 562Jul 19, 2024 to Mar 27, 2025
- Corporate clients · unset to 6.0Jul 19, 2024 to Mar 27, 2025
- Individual clients · 144 to 216Jul 19, 2024 to Mar 27, 2025
- Assets in custody · $116M to $35.4MJul 19, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Jul 19, 2024 to Mar 27, 2025
- Discretionary RAUM · $116M to $124MJul 19, 2024 to Mar 27, 2025
- HNW RAUM · $70.1M to $69.6MJul 19, 2024 to Mar 27, 2025
- Individual RAUM · $45.0M to $52.8MJul 19, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $200,239 to $198,841Jul 19, 2024 to Mar 27, 2025
- RAUM · $116M to $124MJul 19, 2024 to Mar 27, 2025
Signals
1 dated events
- U•••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)Jul 19, 2024 · 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
- 727-306-0299reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/unify-financial-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- u••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 727-306-0299reportedpublic record, Form ADV, Apr 16, 2026
- Contact form
- u••••••.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
- $77.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026