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••• T• P•••••• W••••• M•••••••••
Legal name P••••••• W••••• M••••••••• L••
Latest filing Jul 6, 2026
First filing on the tape Jan 14, 2025 · 3 filings
SEC status approved since Feb 13, 2025
RAUM
$234M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
86%
$201M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
4
2 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$234M as of Jul 6, 2026
Jan 14, 2025$149M then
HNW client RAUM$125M as of Jul 6, 2026
Jan 14, 2025$58.0M then
State-registered IARs (5.B.3)2 as of Jul 6, 2026
Jan 14, 20251 then
Employees (5.A)4 as of Jul 6, 2026
Jan 14, 20251 then
Private funds: no history
RAUM +57% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Jul 6, 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
- retirement p••• adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 195derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $359,937derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +57%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $125M, 303 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$125M53%
- Individuals$76.2M33%
- Pension and profit-sharing plans$33.1M14%
- Individual clients
- 339reported
- HNW clients
- 51reported
- Pension plan clients
- 28reported
- Charitable clients
- n/areported
- Accounts
- 651reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $125M for 303 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.14 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 |
|---|---|---|---|---|
| B•••• M•••••• B••••••••• | Ormond Beach, Fl | Apr 4, 2025 | 13 y | 0 |
| E•••• J••• R••• P••••••• | Ormond Beach, Fl | Jan 1, 2026 | 24 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
- E•••• J••• R••• P••••••• from X••• W••••• M••••••••• L••Jan 1, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• E••••• J••• R••• · Managing Member & Chief Compliance Officercontrolsince 08/2023 · 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 |
|---|---|---|---|---|---|
| Ormond Beach, Fl · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Feb 16, 2026RAUM (Item 5.F) moved from $149,121,483 to $234,319,226 (+57.0%) between the annual amendments of 2025-01-14 and 2026-02-16; the peer median change was +15.0% (4549 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 96% percentile
- account count collapseChange between filings · filing Feb 16, 2026accounts (Item 5.F.2.f) moved from 1,030.0 to 651.0 (-37.0%) between the annual amendments of 2025-01-14 and 2026-02-16; the peer median change was +5.0% (3686 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 4.4% percentile
What changed
consecutive filings, newest first
- Accounts · 1,030 to 651Jan 14, 2025 to Feb 16, 2026
- Advisory employees · 1 to 2Jan 14, 2025 to Feb 16, 2026
- HNW clients · 24 to 51Jan 14, 2025 to Feb 16, 2026
- Individual clients · 342 to 339Jan 14, 2025 to Feb 16, 2026
- Assets in custody · unset to 125131697.0Jan 14, 2025 to Feb 16, 2026
- Custody of client assets · false to trueJan 14, 2025 to Feb 16, 2026
- Employees · 1 to 4Jan 14, 2025 to Feb 16, 2026
- State-registered IARs · 1 to 2Jan 14, 2025 to Feb 16, 2026
- Discretionary RAUM · $121M to $201MJan 14, 2025 to Feb 16, 2026
- HNW RAUM · $58.0M to $125MJan 14, 2025 to Feb 16, 2026
- Individual RAUM · $63.3M to $76.2MJan 14, 2025 to Feb 16, 2026
- Non-discretionary RAUM · $27.9M to $33.1MJan 14, 2025 to Feb 16, 2026
- Pension RAUM · $27.9M to $33.1MJan 14, 2025 to Feb 16, 2026
- RAUM · $149M to $234MJan 14, 2025 to Feb 16, 2026
Signals
No event on the tape.
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
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 386-271-2127reportedpublic record, Form ADV, Jul 6, 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026