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

N••••• W••••• P•••••••

Independent wealth managerBonita Springs, FloridaCRD 330316SEC 801-129895websiteIAPD
Legal name N••••• W••••• P•••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Mar 14, 2024 · 7 filings
SEC status approved since Apr 11, 2024
RAUM
$227M
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
100%
$227M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$28.4M
derived; firm RAUM over IAPD count
Employees
13
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$227M as of Apr 1, 2026
Apr 2, 2025$356M then
HNW client RAUM$156M as of Apr 1, 2026
Apr 2, 2025$269M then
State-registered IARs (5.B.3)10 as of Apr 1, 2026
Apr 2, 202510 then
Employees (5.A)13 as of Apr 1, 2026
Apr 2, 202513 then
Private funds: no history
RAUM -36% over the last fiscal yearIARs 10 to 10
Practice profile
derived from the filing of Apr 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
$28.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
28derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$502,068derivedRAUM over accounts (5.F.2.f)
Discretionary
51%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-36%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-37%derived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months
1derivedhalf or more of a firm's advisors moved here within 14 days
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$156M69%
  • Individuals$71.0M31%
  • Corporations and businesses$9260.0%
Individual clients
181reported
HNW clients
44reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
452reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
N••••• P••••••Certified Financial PlannerBonita Springs, FlJun 28, 202418 y6
R•••••• J• C••••••North Wales, Pa Jul 10, 202433 y6
A••••• J••••• K••••Bonita Springs, FlJan 1, 202527 y7
M•••••••• C• R••••••Certified Financial PlannerBonita Springs, FlJan 1, 202526 y8
J•••• C• P•••••Tarpon Springs, FlNov 5, 202522 y8
J••• C•••••Bonita Springs, FlDec 24, 202519 y5
M•••••• J• I••••••Bonita Springs, FlJan 1, 202634 y9
L••••••• E•••••• H••••••Bonita Springs, FlJan 1, 202619 y5
Advisor movement
0 left, 4 joined in 12 months
net +4 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Joined, latest
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
  • B••••••• B••••• J••••• · President & Chief Compliance Officer - Managing Membercontrol
    since 03/2024 · owns less than 5%
  • B••••••• B••••• J••••• · Managing Membercontrol
    since 05/2024 · owns 50% to 75% of M•• C•••••• P•••••••• L••
  • C••••••• R••••••• J• · Managing Membercontrol
    since 05/2024 · owns 50% to 75% of M•• C•••••• P•••••••• L••
  • C••••••• R••••••• J• · Strategic Advisor
    since 12/2024 · owns less than 5%
Entity owners
  • M•• C•••••• P•••••••• L•• · Managing Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • N••••• I•••••••• S••••••••• L••
    real estatey
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Bonita Springs, Fl · principal730
Offices
Schedule D 1.F, the 25 largest
  • Stuart, FL2 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
  • RAUM down advisors stableCombination · filing Apr 1, 2026
    RAUM fell 25 percent or more while the advisor count stayed within 5 percent: assets left without people leaving (a large client or institutional mandate, a fee change, or a reporting change). RAUM $356,289,605 to $226,934,674, advisors 10 to 10, private clients 356 to 225, offices 0 to 0 (2025-04-02 to 2026-04-01)
    peers: independent wealth managers, $100M to $500M (5,676)
  • RAUM down 25 %Change between filings · filing Apr 1, 2026
    RAUM (Item 5.F) moved from $356,289,605 to $226,934,674 (-36.0%) between the annual amendments of 2025-04-02 and 2026-04-01; the peer median change was +15.0% (4550 comparable advisers, 1.0th percentile of changes)
    peers: independent wealth managers, $100M to $500M (4,550) · 1.0% percentile
  • account count collapseChange between filings · filing Apr 1, 2026
    accounts (Item 5.F.2.f) moved from 795.0 to 452.0 (-43.0%) between the annual amendments of 2025-04-02 and 2026-04-01; the peer median change was +5.0% (3687 comparable advisers, 4.0th percentile of changes)
    peers: independent wealth managers, $100M to $500M (3,687) · 3.6% percentile
  • client count collapseChange between filings · filing Apr 1, 2026
    individual and HNW clients (Item 5.D) moved from 356.0 to 225.0 (-37.0%) between the annual amendments of 2025-04-02 and 2026-04-01; the peer median change was +3.0% (3309 comparable advisers, 3.0th percentile of changes)
    peers: independent wealth managers, $100M to $500M (3,309) · 3.0% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 795 to 452
    Oct 24, 2025 to Apr 1, 2026
  • Advisory activities · 4 to 5
    Oct 24, 2025 to Apr 1, 2026
  • BD registered reps · 5 to 3
    Oct 24, 2025 to Apr 1, 2026
  • Charity clients · 1.0 to unset
    Oct 24, 2025 to Apr 1, 2026
  • HNW clients · 85 to 44
    Oct 24, 2025 to Apr 1, 2026
  • Individual clients · 271 to 181
    Oct 24, 2025 to Apr 1, 2026
  • Discretionary RAUM · $186M to $116M
    Oct 24, 2025 to Apr 1, 2026
  • HNW RAUM · $269M to $156M
    Oct 24, 2025 to Apr 1, 2026
  • Individual RAUM · $84.7M to $71.0M
    Oct 24, 2025 to Apr 1, 2026
  • Non-discretionary RAUM · $171M to $111M
    Oct 24, 2025 to Apr 1, 2026
  • RAUM · $356M to $227M
    Oct 24, 2025 to Apr 1, 2026
  • HQ city · N••••• to BONITA SPRINGS
    Apr 2, 2025 to Oct 24, 2025
  • Accounts · 1,077 to 795
    Dec 16, 2024 to Apr 2, 2025
  • Advisory employees · 12 to 10
    Dec 16, 2024 to Apr 2, 2025
  • BD registered reps · 6 to 5
    Dec 16, 2024 to Apr 2, 2025
  • Charity clients · 2 to 1
    Dec 16, 2024 to Apr 2, 2025
  • Corporate clients · 3 to 1
    Dec 16, 2024 to Apr 2, 2025
  • HNW clients · 108 to 85
    Dec 16, 2024 to Apr 2, 2025
  • Individual clients · 344 to 271
    Dec 16, 2024 to Apr 2, 2025
  • Commission compensation · false to true
    Dec 16, 2024 to Apr 2, 2025
  • Employees · 15 to 13
    Dec 16, 2024 to Apr 2, 2025
  • Financial planning clients · 1-10 to 1-10
    Dec 16, 2024 to Apr 2, 2025
  • State-registered IARs · 2 to 10
    Dec 16, 2024 to Apr 2, 2025
  • Other offices · 1 to 0
    Dec 16, 2024 to Apr 2, 2025
  • Discretionary RAUM · $261M to $186M
    Dec 16, 2024 to Apr 2, 2025
  • HNW RAUM · $360M to $269M
    Dec 16, 2024 to Apr 2, 2025
  • Individual RAUM · $101M to $84.7M
    Dec 16, 2024 to Apr 2, 2025
  • Non-discretionary RAUM · $206M to $171M
    Dec 16, 2024 to Apr 2, 2025
  • RAUM · $467M to $356M
    Dec 16, 2024 to Apr 2, 2025
  • Accounts · 0 to 1,077
    Mar 19, 2024 to Aug 5, 2024
  • Charity clients · unset to 2.0
    Mar 19, 2024 to Aug 5, 2024
  • Corporate clients · unset to 3.0
    Mar 19, 2024 to Aug 5, 2024
  • HNW clients · unset to 108.0
    Mar 19, 2024 to Aug 5, 2024
  • Individual clients · unset to 344.0
    Mar 19, 2024 to Aug 5, 2024
  • Financial planning clients · 0 to 1-10
    Mar 19, 2024 to Aug 5, 2024
  • Other offices · 0 to 1
    Mar 19, 2024 to Aug 5, 2024
  • Discretionary RAUM · $0 to $261M
    Mar 19, 2024 to Aug 5, 2024
  • HNW RAUM · unset to 359731061.0
    Mar 19, 2024 to Aug 5, 2024
  • Individual RAUM · unset to 101486789.0
    Mar 19, 2024 to Aug 5, 2024
  • Non-discretionary RAUM · $0 to $206M
    Mar 19, 2024 to Aug 5, 2024
Signals
7 dated events
  • N••••• W••••• P••••••• reported RAUM $226.9M, down 36% from $356.3M (2025-10-24 to 2026-04-01)
    Apr 1, 2026 · RAUM change · derived
  • I•••••• W••••• L••'s advisors moved to N••••• W••••• P••••••• (Mount Pleasant, SC): 7 of 11 registered, on the same day
    Sep 30, 2024 · Firm absorbed (people side) · derived
  • 2 advisors left I•••••• W••••• L•• (Stuart, FL) for N••••• W••••• P••••••• on the same day
    Sep 30, 2024 · Team lift-out · derived
  • N•••• Z••• left N••••• W••••• P••••••• for M•••••• F•••••••• I••••••••• M••••••••• I••• (registered 2024-08-19)
    Sep 18, 2024 · Advisor changed firm · fact
  • C•••• D••••• P•••• left N••••• W••••• P••••••• for M•••••• F•••••••• I••••••••• M••••••••• I••• (registered 2024-08-19)
    Sep 18, 2024 · Advisor changed firm · fact
  • 2 advisors left N••••• W••••• P••••••• (Bonita Springs, FL) for M•••••• F•••••••• I••••••••• M••••••••• I••• on the same day
    Sep 18, 2024 · Team lift-out · derived
  • N••••• W••••• P••••••• filed its initial SEC registration (Form ADV)
    Mar 14, 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
239-260-9386reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
239-443-5622reportedpublished by the firm, firm site, Sep 16, 2026
Website
napleswealthplanning.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
239-330-4183reportedpublic record, Form ADV, Apr 1, 2026
Contact form
napleswealthplanning.com/contact-us-1reportedpublished by the firm, firm site, Sep 16, 2026
Team page
napleswealthplanning.com/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
$28.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026