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
5• N•••• P•••••• W•••••
Legal name 5• N•••• P•••••• W•••••• L••
Latest filing Mar 27, 2026
First filing on the tape May 12, 2025 · 3 filings
SEC status approved since May 16, 2025
RAUM
$581M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
93%
$541M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$83.0M
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$581M as of Mar 27, 2026
May 12, 2025$367M then
HNW client RAUM$517M as of Mar 27, 2026
May 12, 2025$310M then
State-registered IARs (5.B.3)7 as of Mar 27, 2026
May 12, 20255 then
Employees (5.A)8 as of Mar 27, 2026
May 12, 20256 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- i••••••••• 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
- RAUM per advisor
- $83.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $834,044derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $47.0M, 75 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$517M89%
- Pension and profit-sharing plans$32.8M5.6%
- Individuals$23.5M4.0%
- Charitable organizations$7.9M1.4%
- Individual clients
- 50reported
- HNW clients
- 102reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 697reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $47.0M for 75 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• R••• A•••••••Chartered Financial Analyst | Winter Park, Fl | Mar 4, 2024 | 11 y | 2 |
| S•••••• A••••••• C•••••Certified Financial Planner, Chartered Financial Analyst | Winter Park, Fl | Apr 23, 2024 | 18 y | 2 |
| A••••• J••••• B•••••••Certified Financial Planner | Winter Park, Fl | Dec 17, 2024 | 10 y | 3 |
| D•••••• C•••• D••••••Certified Financial Planner | Winter Park, Fl | Dec 18, 2024 | 22 y | 4 |
| H•••• B•••• H••••••••Personal Financial Specialist | Winter Park, Fl | Apr 10, 2025 | 15 y | 0 |
| S••••• M•••••• S•••••Chartered Financial Analyst | Winter Park, Fl | Jan 23, 2026 | 10 y | 0 |
| M••• S••••• W•••••••••Chartered Financial Analyst | Winter Park, Fl | Jan 30, 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 headcount2 left over 36 months
Left, latest
- B•••• S•••• to S••••• W••••• A•••••••• I•••Aug 25, 2025 · Other
- J••••• M•••••• A•••••• to T•••••• W••••• M••••••••• L••Sep 16, 2024 · RIA to a state-registered adviser
Joined, latest
- D•••••• C•••• D•••••• from L•• F•••••••• L••Dec 18, 2024 · Other
- A••••• J••••• B••••••• from I••••••••• F•••••••• P•••••••Dec 17, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••••• M•••••• A•••••• from H•••••••• A•••••••• L••May 30, 2024 · Affiliated broker-dealer or bank to independent RIA
- S•••••• A••••••• C••••• from E•••• V•••• W••••••• A•••••••Apr 23, 2024 · RIA to RIA
- M•••••• R••• A••••••• from C••••••Mar 4, 2024 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• M••••••• R••• · Principal, Coo & Ccocontrolsince 01/2025 · owns 5% to 10%
- C•••••• S••••••• A••••••• · Co- Managing Principalcontrolsince 01/2025 · owns 25% to 50%
- D••••••• D••••••• C•••• · Co- Managing Principalcontrolsince 01/2025 · owns 25% to 50%
- B•••••••• A•••••• J••••• · Principal And Advisorsince 01/2025 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Winter Park, Fl · principal | 7 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 557 to 697Jun 6, 2025 to Mar 27, 2026
- Advisory employees · 5 to 7Jun 6, 2025 to Mar 27, 2026
- HNW clients · 79 to 102Jun 6, 2025 to Mar 27, 2026
- Individual clients · 47 to 50Jun 6, 2025 to Mar 27, 2026
- Assets in custody · $17.5M to $47.0MJun 6, 2025 to Mar 27, 2026
- Employees · 6 to 8Jun 6, 2025 to Mar 27, 2026
- State-registered IARs · 5 to 7Jun 6, 2025 to Mar 27, 2026
- Discretionary RAUM · $316M to $526MJun 6, 2025 to Mar 27, 2026
- HNW RAUM · $310M to $517MJun 6, 2025 to Mar 27, 2026
- Individual RAUM · $24.6M to $23.5MJun 6, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $50.9M to $55.7MJun 6, 2025 to Mar 27, 2026
- Pension RAUM · $31.9M to $32.8MJun 6, 2025 to Mar 27, 2026
- RAUM · $367M to $581MJun 6, 2025 to Mar 27, 2026
- Financial planning clients · 101-250 to 101-250May 12, 2025 to Jun 6, 2025
Signals
3 dated events
- 5• N•••• P•••••• W••••• reported RAUM $581.3M, up 58% from $366.8M (2025-06-06 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- B•••• S•••• left 5• N•••• P•••••• W••••• for S••••• W••••• A•••••••• I••• (registered 2025-09-19)Aug 25, 2025 · Advisor changed firm · fact
- J••••• M•••••• A•••••• left 5• N•••• P•••••• W••••• for T•••••• W••••• M••••••••• L•• (registered 2026-01-28)Sep 16, 2024 · Advisor changed firm · 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
- info@5•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 407-960-4769reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/55northprivatewealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- 55northprivatewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 407-960-4769reportedpublic record, Form ADV, Mar 27, 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
- $83.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026