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A••••••• L••

Wealth manager with institutional or fund businessSEC-registered· St Petersburg, Floridawebsite

Wealth manager with institutional or fund business, based in St Petersburg, Florida, reporting $1.8M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$1.8M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
Private clients
41%
of RAUM, $752,448
Form ADV
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. 2 changes
    ownership and control

    1 control person joined and 1 left Schedule A in the last 12 months.

    A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.

    FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
Every filed figure, and the identifiersCRD 332477 · SEC 801-130953 · 9 filingsShow
CRD 332477SEC 801-130953First filing on the tape Jul 19, 2024, latest Mar 31, 2026SEC status approved since Aug 20, 2024IAPD
RAUM
$1.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
41%
$752,448 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.8M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape

Filed figures over time · the tape starts Jul 19, 2024

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$1.8M as of Mar 31, 2026
Jan 16, 2025$0 then
HNW client RAUM$0 as of Mar 31, 2026
Jan 16, 2025$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jan 16, 20250 then
Employees (5.A)6 as of Mar 31, 2026
Jan 16, 20251 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$1.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
133derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$13,678derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
0.3derived4 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, otherreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

59% corporations and businesses, 41% individuals

The breakdown by client type, and the client counts2 client typesShow
  • Corporations and businesses$1.1M59%
  • Individuals$752,44841%
Individual clients
133reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
134reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
RAUM: 41% private clients, 0% pooled funds, 0% institutions; a related broker-dealer; no related bank; 600% of advisors also broker-dealer representativesderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      J•• C••••Henderson, Nv Oct 31, 202532 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• R••••••• A•••••• · Chief Executive Officer And Chief Compliance Officercontrol
        since 06/2024 · owns less than 5%
      • S••••••••• K•••• S••••• · Chief Executive Officercontrol
        since 01/2022 · owns 50% to 75% of I•••••••• I•••
      • C••••••• D•••••• M••••••••• · Svp Of Operations & Compliance
        since 09/2024 · owns less than 5%
      • H•••••• A•• · Controller
        since 09/2024 · owns less than 5%
      Entity owners
      • I•••••••• I••• · Sole Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 145 to 134
        Jul 8, 2025 to Mar 31, 2026
      • BD registered reps · 2 to 6
        Jul 8, 2025 to Mar 31, 2026
      • Corporate clients · 8 to 1
        Jul 8, 2025 to Mar 31, 2026
      • Individual clients · 145 to 133
        Jul 8, 2025 to Mar 31, 2026
      • Employees · 4 to 6
        Jul 8, 2025 to Mar 31, 2026
      Full history · 23 changes
      • Discretionary RAUM · $1.6M to $1.8M
        Jul 8, 2025 to Mar 31, 2026
      • Individual RAUM · $756,887 to $752,448
        Jul 8, 2025 to Mar 31, 2026
      • Non-discretionary RAUM · $186,056 to $0
        Jul 8, 2025 to Mar 31, 2026
      • RAUM · $1.8M to $1.8M
        Jul 8, 2025 to Mar 31, 2026
      • Accounts · 0 to 145
        May 9, 2025 to Jul 8, 2025
      • Corporate clients · 0 to 8
        May 9, 2025 to Jul 8, 2025
      • Individual clients · 0 to 145
        May 9, 2025 to Jul 8, 2025
      • Financial planning clients · unset to
        May 9, 2025 to Jul 8, 2025
      • Discretionary RAUM · $0 to $1.6M
        May 9, 2025 to Jul 8, 2025
      • Individual RAUM · $0 to $756,887
        May 9, 2025 to Jul 8, 2025
      • Non-discretionary RAUM · $0 to $186,056
        May 9, 2025 to Jul 8, 2025
      • RAUM · $0 to $1.8M
        May 9, 2025 to Jul 8, 2025
      • HQ city · NEW YORK to ST PETERSBURG
        Mar 31, 2025 to May 9, 2025
      • HQ state · NY to FL
        Mar 31, 2025 to May 9, 2025
      • Advisory employees · 1 to 2
        Jan 16, 2025 to Mar 31, 2025
      • BD registered reps · 1 to 2
        Jan 16, 2025 to Mar 31, 2025
      • Employees · 1 to 4
        Jan 16, 2025 to Mar 31, 2025
      • Other offices · 0 to 3
        Jan 16, 2025 to Mar 31, 2025
      Signals
      9 dated events
      • ••• Locked
        Mar 31, 2026 · Control person left · inference
      • ••• Locked
        Mar 31, 2026 · ria principal change · derived
      • ••• Locked
        Mar 31, 2026 · ria principal change · fact
      • ••• Locked
        Mar 31, 2026 · ria office opened · fact
      • ••• Locked
        Mar 31, 2026 · Control person joined · fact
      Full timeline · 9 events
      • ••• Locked
        May 9, 2025 · ria hq relocated · fact
      • ••• Locked
        Dec 2, 2024 · Control person left · inference
      • ••• Locked
        Dec 2, 2024 · Control person joined · fact
      • ••• Locked
        Jul 19, 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 email
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $1.8Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: RAUM change, 1 year.