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

T•• H•••••• G••••• R••••••••• W••••• A•••••••• L••

Independent wealth managerClearwater, FloridaCRD 326421SEC 801-128805website IAPD

Latest filing Mar 18, 2026

First filing on the tape Aug 30, 2023 · 8 filings

SEC status approved since Oct 24, 2023

RAUM

$286M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$282M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$95.4M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM$286M as of Mar 18, 2026

Apr 11, 2025$215M then

HNW client RAUM: $81.5M

State-registered IARs (5.B.3)3 as of Mar 18, 2026

Feb 14, 20241 then

Employees (5.A)10 as of Mar 18, 2026

Feb 14, 20249 then

Private funds: no history

RAUM +33% over the last fiscal yearIARs 3 to 3

Practice profile

derived from the filing of Mar 18, 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $95.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 248derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.1MderivedHNW RAUM over HNW clients
Average account: $157,954derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.3derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +33%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 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, selection of other advisers, educational seminarsreportedItem 5.G
Financial planning clients: 2,000reportedItem 5.H
Wrap fee program: $286MreportedItem 5.I
Custody: $9.0M, 58 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

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

Individuals$201M70%
High-net-worth individuals$81.5M28%
Pension and profit-sharing plans$3.7M1.3%
Corporations and businesses$5000.0%

Individual clients: 706reported
HNW clients: 38reported
Pension plan clients: 11reported
Charitable clients: n/areported
Accounts: 1,811reported
Financial planning clients: 2,000reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $9.0M for 58 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
S••••• L•••• H••••••	Clearwater, Fl	Apr 2, 2025	19 y	1
J••••• P••• P••••••••	Clearwater, Fl	May 8, 2025	12 y	1
A•••• L•••• C•••••••Certified Financial Planner	Clearwater, Fl	Jan 1, 2026	15 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 headcount1 left over 36 months

Left, latest

P••• J•••• D•••••• to L•••• W••••• L••
Jan 30, 2025 · RIA to RIA

Joined, latest

A•••• L•••• C••••••• from M••••• T•••• A•••• M••••• I•••
Jan 1, 2026 · RIA to RIA
J••••• P••• P•••••••• from M••••• S••••••
May 8, 2025 · Wirehouse to independent RIA
S••••• L•••• H•••••• from M••••• T•••• A•••• M••••• I•••
Apr 2, 2025 · RIA to RIA
P••• J•••• D•••••• from M••••• T•••• A•••• M••••• I•••
Jan 11, 2024 · RIA to a newly registered adviser

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 joined from M••••• T•••• A•••• M••••• I•••
May 14, 2024 · Clearwater, Fl

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H••••••• S•••••• L•••• · Ceo And Ccocontrol
since 01/2003 · 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	3	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

unusually high clients per advisorStatic outlier · filing Mar 18, 2026
private clients per advisor of 248.0 against a peer median of 57.3 (3076 comparable advisers, 98.0th percentile, 5.4 robust deviations)
peers: independent wealth managers, $100M to $500M (3,076) · 98% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 1,628 to 1,811
Apr 11, 2025 to Mar 18, 2026
HNW clients · unset to 38.0
Apr 11, 2025 to Mar 18, 2026
Individual clients · 665 to 706
Apr 11, 2025 to Mar 18, 2026
Pension plan clients · 29 to 11
Apr 11, 2025 to Mar 18, 2026
Discretionary RAUM · $215M to $286M
Apr 11, 2025 to Mar 18, 2026
HNW RAUM · unset to 81468743.0
Apr 11, 2025 to Mar 18, 2026
Individual RAUM · $211M to $201M
Apr 11, 2025 to Mar 18, 2026
Pension RAUM · $4.0M to $3.7M
Apr 11, 2025 to Mar 18, 2026
RAUM · $215M to $286M
Apr 11, 2025 to Mar 18, 2026
Wrap assets (sponsor) · $6.4M to $0
Apr 11, 2025 to Mar 18, 2026
Accounts · 488 to 1,628
Jun 21, 2024 to Apr 11, 2025
Advisory employees · 1 to 3
Jun 21, 2024 to Apr 11, 2025
Individual clients · 152 to 665
Jun 21, 2024 to Apr 11, 2025
Pension plan clients · 6 to 29
Jun 21, 2024 to Apr 11, 2025
Assets in custody · $15.3M to $9.0M
Jun 21, 2024 to Apr 11, 2025
Custody of client assets · false to true
Jun 21, 2024 to Apr 11, 2025
Employees · 9 to 10
Jun 21, 2024 to Apr 11, 2025
Financial planning clients · 101-250 to More than 500
Jun 21, 2024 to Apr 11, 2025
State-registered IARs · 1 to 3
Jun 21, 2024 to Apr 11, 2025
Discretionary RAUM · $100M to $215M
Jun 21, 2024 to Apr 11, 2025
Individual RAUM · $99.2M to $211M
Jun 21, 2024 to Apr 11, 2025
Pension RAUM · $513,687 to $4.0M
Jun 21, 2024 to Apr 11, 2025
RAUM · $100M to $215M
Jun 21, 2024 to Apr 11, 2025
Wrap assets (manager) · unset to 0.0
Jun 21, 2024 to Apr 11, 2025
Wrap assets (sponsor) · unset to 6386674.0
Jun 21, 2024 to Apr 11, 2025
Accounts · unset to 488.0
Feb 14, 2024 to Jun 21, 2024
Individual clients · unset to 152.0
Feb 14, 2024 to Jun 21, 2024
Pension plan clients · unset to 6.0
Feb 14, 2024 to Jun 21, 2024
Assets in custody · unset to 15251779.0
Feb 14, 2024 to Jun 21, 2024
Financial planning clients · 0 to 101-250
Feb 14, 2024 to Jun 21, 2024
Discretionary RAUM · unset to 100205898.0
Feb 14, 2024 to Jun 21, 2024
Individual RAUM · unset to 99216604.0
Feb 14, 2024 to Jun 21, 2024
Non-discretionary RAUM · unset to 0.0
Feb 14, 2024 to Jun 21, 2024
Pension RAUM · unset to 513687.0
Feb 14, 2024 to Jun 21, 2024
RAUM · unset to 100205898.0
Feb 14, 2024 to Jun 21, 2024
Accounts · 0.0 to unset
Nov 6, 2023 to Feb 14, 2024
Discretionary RAUM · 0.0 to unset
Nov 6, 2023 to Feb 14, 2024
Non-discretionary RAUM · 0.0 to unset
Nov 6, 2023 to Feb 14, 2024
RAUM · 0.0 to unset
Nov 6, 2023 to Feb 14, 2024
Business name · T•• H•••••• G•••• I••••• T•• A•• F•••••••• S••••••••• I••• to T•• H•••••• G••••• R••••••••• W••••• A•••••••• L••
Aug 30, 2023 to Sep 29, 2023

Signals

4 dated events

T•• H•••••• G••••• R••••••••• W••••• A•••••••• L•• reported RAUM $215.2M, up 115% from $100.2M (2024-06-21 to 2025-04-11)
Apr 11, 2025 · RAUM change · derived
P••• J•••• D•••••• left T•• H•••••• G••••• R••••••••• W••••• A•••••••• L•• for L•••• W••••• L•• (registered 2025-02-28)
Jan 30, 2025 · Advisor changed firm · fact
3 advisors left M••••• T•••• A•••• M••••• I••• (Clearwater, FL) for T•• H•••••• G••••• R••••••••• W••••• A•••••••• L•• on the same day
May 14, 2024 · Team lift-out · derived
T•• H•••••• G•••• I••••• T•• A•• F•••••••• S••••••••• I••• filed its initial SEC registration (Form ADV)
Aug 30, 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

Business email: a•••••••••@t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 727-724-9107reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 800-724-6744reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 727-724-3334reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/the-holland-group-retirement-wealth-advreportedpublic record, Form ADV, Sep 18, 2026
Website: t•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 727-734-3334reportedpublic record, Form ADV, Mar 18, 2026
Team page: t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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: $95.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026