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

R••••• F••••••••• L••

Independent wealth managerMelbourne, FloridaCRD 324631SEC 801-127370IAPD
Latest filing Jul 31, 2026
First filing on the tape Jan 23, 2023 · 28 filings
SEC status approved since Feb 24, 2023
RAUM
$855M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$845M individuals and HNW
Advisors
31
registered through the firm on IAPD
RAUM per advisor
$27.6M
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
18
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$855M as of Jul 31, 2026
Mar 11, 2024$107M then
HNW client RAUM$161M as of Jul 31, 2026
Mar 11, 2024$75.3M then
State-registered IARs (5.B.3)2 as of Jul 31, 2026
Mar 11, 20240 then
Employees (5.A)7 as of Jul 31, 2026
Mar 11, 20248 then
Private funds: no history
RAUM +138% over the last fiscal yearIARs 2 to 2offices 9 to 18
Practice profile
derived from the filing of Jul 31, 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
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$27.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
126derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$677,235derivedHNW RAUM over HNW clients
Average account
$218,614derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.2derivedItem 5.A over advisors
Advisors per office
1.6derived19 offices incl. principal (1.F.5)
RAUM growth, one year
+58%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+216%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 advisers, educational seminarsreportedItem 5.G
Wrap fee program
$844MreportedItem 5.I
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
  • Individuals$684M80%
  • High-net-worth individuals$161M19%
  • Pension and profit-sharing plans$9.2M1.1%
  • Corporations and businesses$188,1560.0%
Individual clients
3,659reported
HNW clients
238reported
Pension plan clients
11reported
Charitable clients
n/areported
Accounts
3,910reported
Financial planning clients
251-500reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
31 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••••••••• J••••• M••••••Melbourne, Fl Mar 31, 202321 y2
J••••••• L••• S•••••••••New Berlin, Wi Oct 27, 202314 y2
K•••• T• R•••••Certified Financial PlannerAugusta, Ga Dec 5, 202324 y2
J•••• L•• R•••••Augusta, Ga Dec 6, 202314 y1
M•••••• B• R•••••••••Upper Marlboro, Md Feb 23, 202417 y5
S•••••• P••• F•••••Melbourne, FlApr 29, 202442 y7
S•••• A•••• B•••••••Melbourne, Fl May 22, 202414 y2
M•••••• T••• M•••••Chartered Financial ConsultantWorthington, Oh Jul 1, 202430 y3
R••••••• M•••••• M•••••Certified Financial PlannerWorthington, Oh Jul 2, 202429 y3
F•••••• A•• T••••Silver Spring, Md Aug 16, 202425 y3
B•••••• C••••Melbourne, Fl Aug 16, 202410 y2
G••••••• L•••••• F••••Certified Financial PlannerMelbourne, Fl Aug 16, 202411 y1
G••• P••• D••••••Chartered Financial AnalystSilver Spring, Md Dec 11, 202414 y2
A••••• J••• E••••Melbourne, Fl Jan 1, 202522 y6
A•••••• R••••The Woodlands, Tx Apr 30, 202533 y6
A••• R•••••• J••••Melbourne, Fl May 16, 202539 y3
H•••• T••••Silver Spring, MdJun 23, 202511 y0
D•••• D••••••• O•••••Certified Financial PlannerMelbourne, Fl Sep 15, 202540 y1
J••• C••••••••• R•• A••••••Anchorage, Ak Dec 5, 202518 y5
N••••• S• N•••••Chartered Financial AnalystMelbourne, Fl Dec 12, 202521 y5
P•••• L•••• C••••••Chartered Financial AnalystGinnell, Ia Jan 2, 202612 y1
J•••••• C••••• D•••••Grinnell, Ia Jan 2, 202615 y2
S•••••• A••• B••••••Chartered Financial AnalystMelbourne, Fl Jan 7, 202626 y7
B••••• O••••• D•••••••••Carlsbad, Ca Feb 17, 202613 y0
M•••••• H•••••Melbourne, Fl Apr 17, 202620 y0
B•••••• A•••• B•••••Pittstown, Nj Jun 16, 202620 y1
J•••••• P• K•••••••Certified Financial PlannerNashville, Tn Jul 6, 202611 y0
A••••• D••••• P•••••••Orleans, Vt Jul 30, 202614 y1
J••• H•••••• L•••Durham, Nc Jul 30, 202620 y3
L••••• K•• D••••••••Melbourne, Fl Sep 8, 202617 y3
J••• A•••••• R••••Certified Financial PlannerJupiter, Fl Sep 8, 202629 y4
Advisor movement
0 left, 10 joined in 12 months
net +10 in 12 months0 left in 90 days4 joined in 90 daysdeparture rate 0.0% of current headcount3 left over 36 months
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • E••••• A•••••• J••• · Ceo, Presidentcontrol
      since 12/2022 · owns 50% to 75%
    • M••••••• C••••••••• J••••• · Membercontrol
      since 06/2023 · owns 25% to 50%
    • S••••••••• A••••••••• R••• A•••••••• · Chief Compliance Officercontrol
      since 08/2024 · owns less than 5%
    • R•••••• J••••• L•• · Employee Ownership - Class A And B Shares
      since 12/2023 · owns less than 5%
    • R•••••• K••••• T• · Employee Ownership - Class A And B Shares
      since 12/2023 · owns less than 5%
    • S••••••••• J•••••••• L••• · Employee Ownership - Class A And B Shares
      since 11/2023 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Melbourne, Fl · principal30130
    Silver Spring, Md500
    Augusta, Ga200
    Jupiter, Fl220
    Worthington, Oh200
    Offices
    Schedule D 1.F, the 25 largest
    • Silver Spring, MD4 employees
    • Augusta, GA2 employees
    • Columbus, OH2 employees
    • Upper Marlboro, MD2 employees
    • New Berlin, WI2 employees
    • Valencia, PA2 employees
    • Plantation, FL1 employees
    • Friendswood, TX1 employees
    • Carlsbad, CA1 employees
    ADV anomalies
    5 against comparable advisers; where to look, not conclusions
    • HNW share shiftChange between filings · filing Apr 6, 2026
      HNW share of RAUM moved from 65.0% to 19.0% between the annual amendments of 2025-04-04 and 2026-04-06
      peers: independent wealth managers, $500M to $1B (1,482)
    • RAUM up 50 %Change between filings · filing Apr 6, 2026
      RAUM (Item 5.F) moved from $358,627,117 to $565,987,673 (+58.0%) between the annual amendments of 2025-04-04 and 2026-04-06; the peer median change was +16.0% (1385 comparable advisers, 95.0th percentile of changes)
      peers: independent wealth managers, $500M to $1B (1,385) · 95% percentile
    • account count surgeChange between filings · filing Apr 6, 2026
      accounts (Item 5.F.2.f) moved from 804.0 to 2,544.0 (+216.0%) between the annual amendments of 2025-04-04 and 2026-04-06; the peer median change was +6.0% (1256 comparable advisers, 99.0th percentile of changes)
      peers: independent wealth managers, $500M to $1B (1,256) · 99% percentile
    • client count surgeChange between filings · filing Apr 6, 2026
      individual and HNW clients (Item 5.D) moved from 804.0 to 2,542.0 (+216.0%) between the annual amendments of 2025-04-04 and 2026-04-06; the peer median change was +5.0% (1216 comparable advisers, 100.0th percentile of changes)
      peers: independent wealth managers, $500M to $1B (1,216) · 100% percentile
    • office count surgeChange between filings · filing Apr 6, 2026
      offices other than the principal office (Item 1.F.5) moved from 9.0 to 15.0 (+67.0%) between the annual amendments of 2025-04-04 and 2026-04-06; the peer median change was 0.0% (233 comparable advisers, 95.0th percentile of changes)
      peers: independent wealth managers, $500M to $1B (233) · 95% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Other offices · 15 to 18
      May 28, 2026 to Jul 31, 2026
    • Accounts · 2,544 to 3,910
      Apr 6, 2026 to May 28, 2026
    • Individual clients · 2,304 to 3,659
      Apr 6, 2026 to May 28, 2026
    • Pension plan clients · unset to 11.0
      Apr 6, 2026 to May 28, 2026
    • Discretionary RAUM · $565M to $844M
      Apr 6, 2026 to May 28, 2026
    • HNW RAUM · $108M to $161M
      Apr 6, 2026 to May 28, 2026
    • Individual RAUM · $458M to $684M
      Apr 6, 2026 to May 28, 2026
    • Non-discretionary RAUM · $848,426 to $10.5M
      Apr 6, 2026 to May 28, 2026
    • Pension RAUM · unset to 9181777.0
      Apr 6, 2026 to May 28, 2026
    • RAUM · $566M to $855M
      Apr 6, 2026 to May 28, 2026
    • Accounts · 804 to 2,544
      Dec 2, 2025 to Mar 31, 2026
    • Corporate clients · unset to 2.0
      Dec 2, 2025 to Mar 31, 2026
    • HNW clients · 104 to 238
      Dec 2, 2025 to Mar 31, 2026
    • Individual clients · 700 to 2,304
      Dec 2, 2025 to Mar 31, 2026
    • Employees · 4 to 7
      Dec 2, 2025 to Mar 31, 2026
    • Other offices · 10 to 15
      Dec 2, 2025 to Mar 31, 2026
    • Discretionary RAUM · $359M to $565M
      Dec 2, 2025 to Mar 31, 2026
    • HNW RAUM · $232M to $108M
      Dec 2, 2025 to Mar 31, 2026
    • Individual RAUM · $127M to $458M
      Dec 2, 2025 to Mar 31, 2026
    • Non-discretionary RAUM · $0 to $848,426
      Dec 2, 2025 to Mar 31, 2026
    • RAUM · $359M to $566M
      Dec 2, 2025 to Mar 31, 2026
    • Financial planning clients · 251-500 to 251-500
      Jun 13, 2025 to Jul 22, 2025
    • Other offices · 9 to 10
      Apr 4, 2025 to Jun 13, 2025
    • Accounts · 541 to 804
      Dec 13, 2024 to Mar 4, 2025
    • Advisory employees · 8 to 2
      Dec 13, 2024 to Mar 4, 2025
    • Advisory activities · 7 to 5
      Dec 13, 2024 to Mar 4, 2025
    • BD registered reps · 8 to 1
      Dec 13, 2024 to Mar 4, 2025
    • HNW clients · 207 to 104
      Dec 13, 2024 to Mar 4, 2025
    • Individual clients · 125 to 700
      Dec 13, 2024 to Mar 4, 2025
    • Employees · 8 to 4
      Dec 13, 2024 to Mar 4, 2025
    • Financial planning clients · 0 to 251-500
      Dec 13, 2024 to Mar 4, 2025
    • State-registered IARs · 0 to 2
      Dec 13, 2024 to Mar 4, 2025
    • Discretionary RAUM · $107M to $359M
      Dec 13, 2024 to Mar 4, 2025
    • HNW RAUM · $75.3M to $232M
      Dec 13, 2024 to Mar 4, 2025
    • Individual RAUM · $32.0M to $127M
      Dec 13, 2024 to Mar 4, 2025
    • RAUM · $107M to $359M
      Dec 13, 2024 to Mar 4, 2025
    • Other offices · 3 to 9
      Aug 16, 2024 to Sep 26, 2024
    • HNW clients · 541 to 207
      Feb 23, 2024 to Mar 11, 2024
    • Individual clients · unset to 125.0
      Feb 23, 2024 to Mar 11, 2024
    • Custody of client assets · true to false
      Feb 23, 2024 to Mar 11, 2024
    Signals
    16 dated events
    • 2 advisors left N•••••• A••••••• (Jupiter, FL) for R••••• F••••••••• L•• on the same day
      Aug 31, 2026 · Team lift-out · derived
    • R••••• F••••••••• L•• reported RAUM $854.8M, up 51% from $566.0M (2026-04-06 to 2026-05-28)
      May 28, 2026 · RAUM change · derived
    • R••••• F••••••••• L•• reported 15 offices beyond its principal office, up from 10 (2025-12-02 to 2026-03-31)
      Mar 31, 2026 · Office count change · derived
    • R••••• F••••••••• L•• reported RAUM $566.0M, up 58% from $358.6M (2025-12-02 to 2026-03-31)
      Mar 31, 2026 · RAUM change · derived
    • 2 advisors left C•••••••• I••••••••• R••••••• A•••••••• I••• (Grinnell, IA) for R••••• F••••••••• L•• on the same day
      Jan 7, 2026 · Team lift-out · derived
    • A•••••••• R••• A•••••••• S••••••••• left R••••• F••••••••• L•• for R••• F•••••••• P••••••• (registered 2025-03-27)
      Mar 21, 2025 · Advisor changed firm · fact
    • R••••• F••••••••• L•• reported RAUM $358.6M, up 234% from $107.3M (2024-12-13 to 2025-03-04)
      Mar 4, 2025 · RAUM change · derived
    • A•••••• P•••••• F••••• left R••••• F••••••••• L•• for C••••••• P••••••• (registered 2024-11-14)
      Nov 8, 2024 · Advisor changed firm · fact
    • R••••• F••••••••• L•• reported 9 offices beyond its principal office, up from 3 (2024-08-16 to 2024-09-26)
      Sep 26, 2024 · Office count change · derived
    • R••• A•••••••• A•••••••• S••••••••• (Chief Compliance Officer) appeared on Schedule A of R••••• F••••••••• L••
      Sep 26, 2024 · Control person joined · fact
    • 4 advisors left C•••••••• I••••••••• R••••••• A•••••••• I••• (Silver Spring, MD) for R••••• F••••••••• L•• on the same day
      Aug 22, 2024 · Team lift-out · derived
    • E•••••••• S•••••••• S•••••••• M••••• left R••••• F••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-07-22)
      Jul 17, 2024 · Advisor changed firm · fact
    • 2 advisors left C•••••••• I••••••••• R••••••• A•••••••• I••• (Columbus, OH) for R••••• F••••••••• L•• on the same day
      Jul 16, 2024 · Team lift-out · derived
    • 2 advisors left C•••••••• I••••••••• R••••••• A•••••••• I••• (Augusta, GA) for R••••• F••••••••• L•• on the same day
      Dec 11, 2023 · Team lift-out · derived
    • Joseph Christopher Marsico (Member) appeared on Schedule A of R••••• F••••••••• L••
      Jun 26, 2023 · Control person joined · fact
    • R••••• F••••••••• L•• filed its initial SEC registration (Form ADV)
      Jan 23, 2023 · 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
    321-209-0111reportedpublic record, Form ADV, Jul 31, 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
    $27.6Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026