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•••••• C••••• A•••••• G••••• L••

Independent wealth managerPalm City, FloridaCRD 330038SEC 801-134899websiteIAPD
Latest filing Aug 1, 2026
First filing on the tape Dec 12, 2025 · 3 filings
SEC status approved since Dec 9, 2025
RAUM
$110M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$110M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$18.3M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$110M as of Aug 1, 2026
Dec 12, 2025$110M then
HNW client RAUM$74.8M as of Aug 1, 2026
Dec 12, 2025$52.1M then
State-registered IARs (5.B.3)6 as of Aug 1, 2026
Dec 12, 20255 then
Employees (5.A)6 as of Aug 1, 2026
Dec 12, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 1, 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
RAUM per advisor
$18.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
32derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$281,330derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$39.4M, 55 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • High-net-worth individuals$74.8M68%
  • Individuals$35.2M32%
Individual clients
138reported
HNW clients
52reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
391reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$39.4M for 55 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
6 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
B•••••• S••• N•••••Overland Park, Ks Jun 13, 202411 y3
D•••• W•••••• B•••Palm City, Fl Jun 13, 202418 y6
M••• E••••• S•••••••Palm City, FlJun 14, 202434 y3
S•••• W••••• R•••Alpine, Ut Aug 1, 202421 y6
D••• E••••• P•••••Henryetta, Ok Jan 1, 202523 y2
B•••• S•••• N•••••Overland Park, Ks May 27, 202512 y0
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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••••• M•••• E••••• · Managing Member, Chief Compliance Officercontrol
        since 01/2024 · 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
      OfficeAdvisorsJoinedLeftTeams outForming
      Palm City, Fl · principal600
      Overland Park, Ks200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 340 to 391
        Dec 12, 2025 to Feb 26, 2026
      • Advisory employees · 5 to 6
        Dec 12, 2025 to Feb 26, 2026
      • HNW clients · 32 to 52
        Dec 12, 2025 to Feb 26, 2026
      • Assets in custody · $61.7M to $39.4M
        Dec 12, 2025 to Feb 26, 2026
      • Employees · 5 to 6
        Dec 12, 2025 to Feb 26, 2026
      • State-registered IARs · 5 to 6
        Dec 12, 2025 to Feb 26, 2026
      • Other offices · 0 to 1
        Dec 12, 2025 to Feb 26, 2026
      • Discretionary RAUM · $110M to $110M
        Dec 12, 2025 to Feb 26, 2026
      • HNW RAUM · $52.1M to $74.8M
        Dec 12, 2025 to Feb 26, 2026
      • Individual RAUM · $30.1M to $35.2M
        Dec 12, 2025 to Feb 26, 2026
      • RAUM · $110M to $110M
        Dec 12, 2025 to Feb 26, 2026
      Signals
      1 dated events
      • 2 advisors left O•••• (Lenexa, KS) for P•••••• C••••• A•••••• G••••• L•• within 4 days
        Aug 22, 2024 · Team lift-out · derived
      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
      516-241-3934reportedpublished by the firm, firm site, Sep 17, 2026
      Business phone
      866-308-9448reportedpublished by the firm, firm site, Sep 17, 2026
      Website
      privateclientadvisor.netreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      516-241-3934reportedpublic record, Form ADV, Aug 1, 2026
      Contact form
      privateclientadvisor.net/contact-us.htmreportedpublished by the firm, firm site, Sep 17, 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
      $18.3Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026