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
A••••• P•••••• W•••••
Latest filing Mar 25, 2026
First filing on the tape Oct 23, 2023 · 10 filings
SEC status approved since Dec 7, 2023
RAUM
$224M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$224M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$74.8M
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
10 filings and snapshots on the tape
RAUM$224M as of Mar 25, 2026
Mar 30, 2024$106M then
HNW client RAUM$217M as of Mar 25, 2026
Mar 30, 2024$92.9M then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 30, 20240 then
Employees (5.A)4 as of Mar 25, 2026
Mar 30, 20243 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $74.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $538,319derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +307%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$217M97%
- Individuals$7.5M3.3%
- Individual clients
- 25reported
- HNW clients
- 203reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 417reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| M••• S••••• S•••••••• | Boca Raton, Fl | Dec 6, 2024 | 42 y | 4 |
| A••• L•• | Boca Raton, Fl | Nov 14, 2025 | 12 y | 3 |
| J••• E•••••••• | Boca Raton, Fl | Aug 31, 2026 | 32 y | 4 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••• E•••••••• from S•• A•••• A•••• A•••••••Aug 31, 2026 · RIA to RIA
- A••• L•• from S•• A•••• A•••• A•••••••Nov 14, 2025 · RIA to RIA
- M••• S••••• S•••••••• from M••••• S••••••Dec 6, 2024 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S•• A•••• A•••• A•••••••Feb 20, 2024 · Boca Raton, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• A••• · Managing Member/Chief Compliance Officercontrolsince 10/2023 · owns 75% or more
Entity owners
- M••••• C•••••• L•• · Managing Memberdirect · 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 |
|---|---|---|---|---|---|
| Boca Raton, Fl · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 431 to 417Apr 30, 2025 to Mar 25, 2026
- HNW clients · 50 to 203Apr 30, 2025 to Mar 25, 2026
- Individual clients · 6 to 25Apr 30, 2025 to Mar 25, 2026
- Discretionary RAUM · $187M to $224MApr 30, 2025 to Mar 25, 2026
- HNW RAUM · $186M to $217MApr 30, 2025 to Mar 25, 2026
- Individual RAUM · $645,829 to $7.5MApr 30, 2025 to Mar 25, 2026
- RAUM · $187M to $224MApr 30, 2025 to Mar 25, 2026
- Accounts · 173 to 431Mar 30, 2024 to Apr 30, 2025
- HNW clients · 41 to 50Mar 30, 2024 to Apr 30, 2025
- Individual clients · 15 to 6Mar 30, 2024 to Apr 30, 2025
- Employees · 3 to 4Mar 30, 2024 to Apr 30, 2025
- Financial planning clients · 1-10 to 1-10Mar 30, 2024 to Apr 30, 2025
- Discretionary RAUM · $106M to $187MMar 30, 2024 to Apr 30, 2025
- HNW RAUM · $92.9M to $186MMar 30, 2024 to Apr 30, 2025
- Individual RAUM · $13.4M to $645,829Mar 30, 2024 to Apr 30, 2025
- RAUM · $106M to $187MMar 30, 2024 to Apr 30, 2025
- Accounts · 0 to 173Jan 4, 2024 to Mar 30, 2024
- HNW clients · unset to 41.0Jan 4, 2024 to Mar 30, 2024
- Individual clients · unset to 15.0Jan 4, 2024 to Mar 30, 2024
- Discretionary RAUM · $0 to $106MJan 4, 2024 to Mar 30, 2024
- HNW RAUM · unset to 92854000.0Jan 4, 2024 to Mar 30, 2024
- Individual RAUM · unset to 13424000.0Jan 4, 2024 to Mar 30, 2024
- RAUM · $0 to $106MJan 4, 2024 to Mar 30, 2024
- Accounts · 235 to 0Oct 23, 2023 to Oct 24, 2023
- HNW clients · 70.0 to unsetOct 23, 2023 to Oct 24, 2023
- Individual clients · 15.0 to unsetOct 23, 2023 to Oct 24, 2023
- Discretionary RAUM · $145M to $0Oct 23, 2023 to Oct 24, 2023
- HNW RAUM · 135000000.0 to unsetOct 23, 2023 to Oct 24, 2023
- Individual RAUM · 10000000.0 to unsetOct 23, 2023 to Oct 24, 2023
- RAUM · $145M to $0Oct 23, 2023 to Oct 24, 2023
Signals
3 dated events
- 2 advisors left S•• A•••• A•••• A••••••• (Boca Raton, FL) for A••••• P•••••• W••••• on the same dayFeb 20, 2024 · Team lift-out · derived
- A••••• P•••••• W••••• reported RAUM $0, down 100% from $145.0M (2023-10-23 to 2023-10-24)Oct 24, 2023 · RAUM change · derived
- A••••• P•••••• W••••• filed its initial SEC registration (Form ADV)Oct 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
- Business phone
- 561-576-9192reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- alliedprivatewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 9545769192reportedpublic record, Form ADV, Mar 25, 2026
- Team page
- alliedprivatewealth.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $74.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026