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.
SEC-registered adviser
Finiat, LLC
Latest filing Jun 26, 2026
First filing on the tape Nov 14, 2023 · 8 filings
SEC status approved since Jan 26, 2024
RAUM
$25.6M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$12.8M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$25.6M as of Jun 26, 2026
Mar 25, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jun 26, 2026
Feb 2, 20240 then
Employees (5.A)7 as of Jun 26, 2026
Feb 2, 20243 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Jun 26, 2026; every figure names its basis
- RAUM per advisor
- $12.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $25.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$25.6M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| Roman Cole Bandy | Mount Dora, Fl | Jun 21, 2024 | 12 y | 0 |
| Thomas Jon Piazzi | Mount Dora, Fl | Jul 23, 2026 | 13 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- Thomas Jon Piazzi from Sei Investments Management CorpJul 23, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L Robert Bandy · Managing Member/Chief Executive Officer/Chief Investment Officercontrolsince 09/2018 · owns 75% or more
- Joseph Mark Deangelis · Chief Compliance Officersince 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mount Dora, Fl · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 0 to 1Mar 25, 2025 to Mar 3, 2026
- Employees · 4 to 7Mar 25, 2025 to Mar 3, 2026
- State-registered IARs · 1 to 2Mar 25, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $0 to $25.6MMar 25, 2025 to Mar 3, 2026
- RAUM · $0 to $25.6MMar 25, 2025 to Mar 3, 2026
- Accounts · unset to 0.0Apr 25, 2024 to Mar 25, 2025
- Employees · 3 to 4Apr 25, 2024 to Mar 25, 2025
- Insurance-licensed employees · 0 to 1Apr 25, 2024 to Mar 25, 2025
- Financial planning clients · unset to Apr 25, 2024 to Mar 25, 2025
- State-registered IARs · 0 to 1Apr 25, 2024 to Mar 25, 2025
- Discretionary RAUM · unset to 0.0Apr 25, 2024 to Mar 25, 2025
- Non-discretionary RAUM · unset to 0.0Apr 25, 2024 to Mar 25, 2025
- RAUM · unset to 0.0Apr 25, 2024 to Mar 25, 2025
- Advisory employees · 2 to 3Jan 25, 2024 to Feb 2, 2024
- Employees · 4 to 3Jan 25, 2024 to Feb 2, 2024
Signals
1 dated events
- Finiat, Llc filed its initial SEC registration (Form ADV)Nov 14, 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
- Firm profile
- linkedin.com/company/finiat-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- finiat.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 352-729-2739reportedpublic record, Form ADV, Jun 26, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $12.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026