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
P•••• F•••••••• P•••••••• L••
Latest filing Feb 12, 2026
First filing on the tape Dec 22, 2022 · 9 filings
SEC status approved since Jan 24, 2023
RAUM
$329M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
27%
$89.5M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$82.3M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$329M as of Feb 12, 2026
Mar 20, 2024$225M then
HNW client RAUM$42.0M as of Feb 12, 2026
Mar 20, 2024$42.0M then
State-registered IARs (5.B.3)4 as of Feb 12, 2026
Mar 20, 20243 then
Employees (5.A)4 as of Feb 12, 2026
Mar 20, 20243 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Feb 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $82.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $728,190derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 73%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +60%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$239M73%
- Individuals$47.5M14%
- High-net-worth individuals$42.0M13%
- Corporations and businesses$635,3740.2%
- Individual clients
- 106reported
- HNW clients
- 27reported
- Pension plan clients
- 117reported
- Charitable clients
- 0reported
- Accounts
- 452reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.27 fund_share=0.0 institutional_share=0.73 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• S••••• M••••••Certified Financial Planner, Chartered Financial Consultant | Tampa, Fl | Feb 17, 2023 | 20 y | 1 |
| D••••• L••• T•••••Chartered Financial Consultant | Tampa, Fl | Feb 17, 2023 | 27 y | 2 |
| J••• M••••• V••••• | Tampa, Fl | Jan 1, 2025 | 12 y | 0 |
| D••••• H••••••••Certified Financial Planner | Tampa, Fl | Oct 22, 2025 | 20 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
- R•••• S••••• M•••••• from N••••••••• M••••• I••••••••• S•••••••••Feb 17, 2023 · Other
- D••••• L••• T••••• from N••••••••• M••••• I••••••••• S•••••••••Feb 17, 2023 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N••••••••• M••••• I••••••••• S•••••••••Feb 11, 2023 · Tampa, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• R••••• S••••• · Member And Chief Compliance Officercontrolsince 02/2023 · 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 |
|---|---|---|---|---|---|
| Tampa, Fl · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Feb 12, 2026institutional share of RAUM of 73% against a peer median of 0% (5676 comparable advisers, 100.0th percentile, 24.4 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 100% percentile
- account count surgeChange between filings · filing Feb 12, 2026accounts (Item 5.F.2.f) moved from 256.0 to 452.0 (+77.0%) between the annual amendments of 2025-03-10 and 2026-02-12; the peer median change was +5.0% (3687 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 97% percentile
- compensation changedChange between filings · filing Feb 12, 2026hourly charges (Item 5.E.2): no on the filing of 2025-03-10, yes on the filing of 2026-02-12peers: independent wealth managers, $100M to $500M (5,676)
- discretionary share shiftChange between filings · filing Feb 12, 2026discretionary share of RAUM moved from 79.0% to 97.0% between the annual amendments of 2025-03-10 and 2026-02-12peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 256 to 452Mar 10, 2025 to Feb 12, 2026
- Corporate clients · 0.0 to unsetMar 10, 2025 to Feb 12, 2026
- HNW clients · 21 to 27Mar 10, 2025 to Feb 12, 2026
- Individual clients · 62 to 106Mar 10, 2025 to Feb 12, 2026
- Employees · 3 to 4Mar 10, 2025 to Feb 12, 2026
- State-registered IARs · 3 to 4Mar 10, 2025 to Feb 12, 2026
- Discretionary RAUM · $214M to $319MMar 10, 2025 to Feb 12, 2026
- HNW RAUM · $39.0M to $42.0MMar 10, 2025 to Feb 12, 2026
- Individual RAUM · $29.2M to $47.5MMar 10, 2025 to Feb 12, 2026
- Non-discretionary RAUM · $57.4M to $10.0MMar 10, 2025 to Feb 12, 2026
- Pension RAUM · $203M to $239MMar 10, 2025 to Feb 12, 2026
- RAUM · $272M to $329MMar 10, 2025 to Feb 12, 2026
- Accounts · 344 to 256Mar 20, 2024 to Mar 10, 2025
- HNW clients · 15 to 21Mar 20, 2024 to Mar 10, 2025
- Individual clients · 63 to 62Mar 20, 2024 to Mar 10, 2025
- Pension plan clients · 113 to 117Mar 20, 2024 to Mar 10, 2025
- Assets in custody · 11329419.0 to unsetMar 20, 2024 to Mar 10, 2025
- Custody of client assets · true to falseMar 20, 2024 to Mar 10, 2025
- Financial planning clients · 26-50 to 51-100Mar 20, 2024 to Mar 10, 2025
- Discretionary RAUM · $213M to $214MMar 20, 2024 to Mar 10, 2025
- HNW RAUM · $42.0M to $39.0MMar 20, 2024 to Mar 10, 2025
- Individual RAUM · $17.9M to $29.2MMar 20, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $11.8M to $57.4MMar 20, 2024 to Mar 10, 2025
- Pension RAUM · $165M to $203MMar 20, 2024 to Mar 10, 2025
- RAUM · $225M to $272MMar 20, 2024 to Mar 10, 2025
- Accounts · 307 to 344Sep 13, 2023 to Mar 20, 2024
- BD registered reps · 1 to 3Sep 13, 2023 to Mar 20, 2024
- Charity clients · 7 to 0Sep 13, 2023 to Mar 20, 2024
- HNW clients · 19 to 15Sep 13, 2023 to Mar 20, 2024
- Individual clients · 49 to 63Sep 13, 2023 to Mar 20, 2024
- Pension plan clients · 94 to 113Sep 13, 2023 to Mar 20, 2024
- Assets in custody · $18.0M to $11.3MSep 13, 2023 to Mar 20, 2024
- Financial planning clients · 0 to 26-50Sep 13, 2023 to Mar 20, 2024
- Discretionary RAUM · $205M to $213MSep 13, 2023 to Mar 20, 2024
- HNW RAUM · $30.5M to $42.0MSep 13, 2023 to Mar 20, 2024
- Individual RAUM · $18.7M to $17.9MSep 13, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $8.4M to $11.8MSep 13, 2023 to Mar 20, 2024
- Pension RAUM · $154M to $165MSep 13, 2023 to Mar 20, 2024
- RAUM · $213M to $225MSep 13, 2023 to Mar 20, 2024
- Accounts · 268 to 307Jun 19, 2023 to Sep 13, 2023
Signals
4 dated events
- 2 advisors left N••••••••• M••••• I••••••••• S••••••••• (Tampa, FL) for P•••• F•••••••• P•••••••• L•• within 6 daysFeb 11, 2023 · Team lift-out · derived
- Sverre Roger Machlin (Member And Chief Compliance Officer) appeared on Schedule A of P•••• F•••••••• P•••••••• L••Feb 2, 2023 · Control person joined · fact
- Adam D••••• Bernstein (Chief Compliance Officer) no longer on Schedule A of P•••• F•••••••• P•••••••• L•• (listed 2023-02-02, absent 2023-02-02)Feb 2, 2023 · Control person left · inference
- D•• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 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 phone
- 813-212-2125reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 813-212-2125reportedpublic record, Form ADV, Feb 12, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $82.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026