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
M••••••• W••••• P•••••••
Legal name M••••••• W••••• P•••••••• L••
Latest filing Apr 30, 2026
First filing on the tape Jun 12, 2024 · 13 filings
SEC status approved since Jul 25, 2024
RAUM
$205M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$200M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$205M as of Apr 30, 2026
Feb 7, 2025$168M then
HNW client RAUM$175M as of Apr 30, 2026
Feb 7, 2025$138M then
State-registered IARs (5.B.3)2 as of Apr 30, 2026
Feb 7, 20252 then
Employees (5.A)2 as of Apr 30, 2026
Feb 7, 20252 then
Private funds: no history
RAUM +22% over the last fiscal yearIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Apr 30, 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
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $541,123derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $90.5M, 150 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)
- 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$175M87%
- Individuals$25.1M12%
- Charitable organizations$1.5M0.8%
- Corporations and businesses$148,9190.1%
- Individual clients
- 68reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 378reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $90.5M for 150 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| D•••• E••••• F••••••• | Estero, Fl | Apr 22, 2025 | 36 y | 3 |
| B•••• D•••• F•••••••Certified Financial Planner | Estero, Fl | May 22, 2025 | 14 y | 1 |
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
- B•••• D•••• F••••••• from A••••••••• F•••••••• S•••••••• L••May 22, 2025 · Affiliated broker-dealer or bank to independent RIA
- D•••• E••••• F••••••• from A••••••••• F•••••••• S•••••••• L••Apr 22, 2025 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• B••••• D•••• · Chief Operating Officercontrolsince 07/2024 · owns less than 5%
- F•••••••• D••••• E••••• · Managing Directorcontrolsince 07/2024 · owns 75% or more
- M•••••••• M•••••••• A••• · Chief Compliance Officersince 10/2024 · 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 |
|---|---|---|---|---|---|
| Estero, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 359 to 378May 19, 2025 to Jan 30, 2026
- Charity clients · 1 to 2May 19, 2025 to Jan 30, 2026
- HNW clients · 43 to 49May 19, 2025 to Jan 30, 2026
- Individual clients · 65 to 68May 19, 2025 to Jan 30, 2026
- Assets in custody · $75.1M to $90.5MMay 19, 2025 to Jan 30, 2026
- Other offices · 0 to 1May 19, 2025 to Jan 30, 2026
- Discretionary RAUM · $168M to $205MMay 19, 2025 to Jan 30, 2026
- HNW RAUM · $138M to $175MMay 19, 2025 to Jan 30, 2026
- Individual RAUM · $21.7M to $25.1MMay 19, 2025 to Jan 30, 2026
- RAUM · $168M to $205MMay 19, 2025 to Jan 30, 2026
- Financial planning clients · 26-50 to 26-50Apr 8, 2025 to May 19, 2025
- HQ city · unset to Dec 13, 2024 to Feb 7, 2025
- Accounts · 348 to 359Dec 13, 2024 to Feb 7, 2025
- HNW clients · 44 to 43Dec 13, 2024 to Feb 7, 2025
- Individual clients · 60 to 65Dec 13, 2024 to Feb 7, 2025
- Assets in custody · $72.9M to $75.1MDec 13, 2024 to Feb 7, 2025
- Financial planning clients · 0 to 26-50Dec 13, 2024 to Feb 7, 2025
- HQ state · unset to Dec 13, 2024 to Feb 7, 2025
- Discretionary RAUM · $161M to $168MDec 13, 2024 to Feb 7, 2025
- HNW RAUM · $132M to $138MDec 13, 2024 to Feb 7, 2025
- Individual RAUM · $21.2M to $21.7MDec 13, 2024 to Feb 7, 2025
- RAUM · $161M to $168MDec 13, 2024 to Feb 7, 2025
- Accounts · 0 to 348Aug 12, 2024 to Nov 5, 2024
- Charity clients · unset to 1.0Aug 12, 2024 to Nov 5, 2024
- Corporate clients · unset to 3.0Aug 12, 2024 to Nov 5, 2024
- HNW clients · unset to 44.0Aug 12, 2024 to Nov 5, 2024
- Individual clients · unset to 60.0Aug 12, 2024 to Nov 5, 2024
- Assets in custody · unset to 72873973.0Aug 12, 2024 to Nov 5, 2024
- Custody of client assets · false to trueAug 12, 2024 to Nov 5, 2024
- Discretionary RAUM · $0 to $161MAug 12, 2024 to Nov 5, 2024
- HNW RAUM · unset to 132234809.0Aug 12, 2024 to Nov 5, 2024
- Individual RAUM · unset to 21160089.0Aug 12, 2024 to Nov 5, 2024
- RAUM · $0 to $161MAug 12, 2024 to Nov 5, 2024
- Related adviser · true to falseJun 24, 2024 to Jul 29, 2024
Signals
3 dated events
- B•••• F••••••• (Chief Operating Officer) appeared on Schedule A of M••••••• W••••• P•••••••Jul 29, 2024 · Control person joined · fact
- Sean Kevin Woodard (Member And Manager) no longer on Schedule A of M••••••• W••••• P••••••• (listed 2024-06-24, absent 2024-07-29)Jul 29, 2024 · Control person left · inference
- M••••••• W••••• P••••••• filed its initial SEC registration (Form ADV)Jun 12, 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
- 919-323-4219reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 919-323-4219reportedpublic record, Form ADV, Apr 30, 2026
- Contact form
- m•••••••••.comreportedpublished 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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026