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•••••••• W••••• P•••••••
Legal name T••••••• A••••••• P••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Jan 5, 2024 · 15 filings
SEC status approved since Feb 8, 2024
RAUM
$675M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$650M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$135M
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$675M as of Mar 11, 2026
Mar 5, 2025$518M then
HNW client RAUM$458M as of Mar 11, 2026
Mar 5, 2025$343M then
State-registered IARs (5.B.3)4 as of Mar 11, 2026
Mar 5, 20254 then
Employees (5.A)10 as of Mar 11, 2026
Mar 5, 20259 then
Private funds: no history
RAUM +30% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 11, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $135MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 114derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $374,428derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Wrap fee program
- $675MreportedItem 5.I
- Custody
- $371M, 134 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$458M68%
- Individuals$192M28%
- Pension and profit-sharing plans$15.3M2.3%
- Corporations and businesses$10.4M1.5%
- Individual clients
- 373reported
- HNW clients
- 197reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 1,804reported
- Financial planning clients
- 500reported
- Wrap fee programs
- $447M sponsored, $0 managedreported
- Custody of client assets
- $371M for 134 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• M•••••• T•••••••Certified Financial Planner | Fort Myers, Fl | Feb 8, 2024 | 43 y | 2 |
| D•••• J••••• A•••••••• | Fort Myers, Fl | Feb 12, 2024 | 12 y | 1 |
| G•••••• S••• E••••••••• | Fort Myers, Fl | Jun 11, 2024 | 12 y | 0 |
| C••••• W••••• H•••••• | Fort Myers, Fl | Jan 1, 2025 | 13 y | 3 |
| S•••••• T•••••• C•••• | Fort Myers, Fl | Jun 15, 2026 | 14 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C••••• W••••• H•••••• from W•••• F•••• A•••••••Jan 1, 2025 · Wirehouse to independent RIA
- D•••• J••••• A•••••••• from A•••••••• R••••••••• G••••Feb 12, 2024 · RIA to a newly registered adviser
- A••••• M•••••• T••••••• from A•••••••• R••••••••• G••••Feb 8, 2024 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from A•••••••• R••••••••• G••••Mar 28, 2024 · Naples, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••••• A•••••• M•••••• · Ceo, President, And Foundercontrolsince 01/2024 · owns less than 5%
- H••••••• C•••••• W••••• · Chief Compliance Officer And Financial Advisorsince 09/2024 · owns less than 5%
Entity owners
- T••••••• H•••••••• L•• · Managing Memberdirect · owns 75% or more
- A•• L•••••• I••• · Managing Memberindirect · owns 50% to 75% of T••••••• F•••••••• P•••••••• L••
- N•• L•••••• I••• · Managing Memberindirect · owns 50% to 75% of T••••••• F•••••••• P•••••••• L••
- T••••••• F•••••••• P•••••••• L•• · Managing Memberindirect · owns 50% to 75% of T••••••• H•••••••• L••
Related persons
Schedule D 7.A
- N••••••• B•••••• L•••••real estaten
- A•••••••• R••••••••• G••••investment advisernRAUM $325M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Myers, Fl · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Naples, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 11, 2026custody of client assets (Item 9.A): no on the filing of 2025-11-14, yes on the filing of 2026-03-11peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,631 to 1,804Nov 14, 2025 to Mar 11, 2026
- Business name · A•••••••• R••••••••• G•••• to A•••••••• W••••• P•••••••Nov 14, 2025 to Mar 11, 2026
- Corporate clients · unset to 6.0Nov 14, 2025 to Mar 11, 2026
- HNW clients · 168 to 197Nov 14, 2025 to Mar 11, 2026
- Individual clients · 359 to 373Nov 14, 2025 to Mar 11, 2026
- Pension plan clients · 23 to 7Nov 14, 2025 to Mar 11, 2026
- Assets in custody · $127M to $371MNov 14, 2025 to Mar 11, 2026
- Custody of client assets · false to trueNov 14, 2025 to Mar 11, 2026
- Employees · 9 to 10Nov 14, 2025 to Mar 11, 2026
- Financial planning clients · 0 to More than 500Nov 14, 2025 to Mar 11, 2026
- Discretionary RAUM · $518M to $675MNov 14, 2025 to Mar 11, 2026
- HNW RAUM · $343M to $458MNov 14, 2025 to Mar 11, 2026
- Individual RAUM · $161M to $192MNov 14, 2025 to Mar 11, 2026
- Pension RAUM · $9.1M to $15.3MNov 14, 2025 to Mar 11, 2026
- RAUM · $518M to $675MNov 14, 2025 to Mar 11, 2026
- Wrap assets (sponsor) · $3.8M to $447MNov 14, 2025 to Mar 11, 2026
- Financial planning clients · 0 to 0Jul 25, 2025 to Nov 14, 2025
- Accounts · 1,515 to 1,631Nov 5, 2024 to Mar 5, 2025
- Advisory employees · 3 to 4Nov 5, 2024 to Mar 5, 2025
- HNW clients · 142 to 168Nov 5, 2024 to Mar 5, 2025
- Individual clients · 342 to 359Nov 5, 2024 to Mar 5, 2025
- Pension plan clients · unset to 23.0Nov 5, 2024 to Mar 5, 2025
- Assets in custody · unset to 126926272.0Nov 5, 2024 to Mar 5, 2025
- Employees · 8 to 9Nov 5, 2024 to Mar 5, 2025
- State-registered IARs · 3 to 4Nov 5, 2024 to Mar 5, 2025
- Discretionary RAUM · $459M to $518MNov 5, 2024 to Mar 5, 2025
- HNW RAUM · $285M to $343MNov 5, 2024 to Mar 5, 2025
- Individual RAUM · $170M to $161MNov 5, 2024 to Mar 5, 2025
- Pension RAUM · unset to 9122422.0Nov 5, 2024 to Mar 5, 2025
- RAUM · $459M to $518MNov 5, 2024 to Mar 5, 2025
- Wrap assets (sponsor) · $0 to $3.8MNov 5, 2024 to Mar 5, 2025
- Accounts · 0 to 1,515May 21, 2024 to Jun 7, 2024
- Advisory employees · 2 to 3May 21, 2024 to Jun 7, 2024
- HNW clients · unset to 142.0May 21, 2024 to Jun 7, 2024
- Individual clients · unset to 342.0May 21, 2024 to Jun 7, 2024
- Employees · 7 to 8May 21, 2024 to Jun 7, 2024
- State-registered IARs · 2 to 3May 21, 2024 to Jun 7, 2024
- Discretionary RAUM · $0 to $459MMay 21, 2024 to Jun 7, 2024
- HNW RAUM · unset to 284783486.0May 21, 2024 to Jun 7, 2024
- Individual RAUM · unset to 169598694.0May 21, 2024 to Jun 7, 2024
Signals
3 dated events
- A•••••••• W••••• P••••••• reported RAUM $675.5M, up 30% from $518.3M (2025-11-14 to 2026-03-11)Mar 11, 2026 · RAUM change · derived
- 2 advisors left A•••••••• R••••••••• G•••• (Naples, FL) for A•••••••• W••••• P••••••• on the same dayMar 28, 2024 · Team lift-out · derived
- T••••••• A••••••• P••••••• L•• filed its initial SEC registration (Form ADV)Jan 5, 2024 · 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
- 239-747-0552reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 239-561-1155reportedpublic record, Form ADV, Mar 11, 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
- $135Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026