DFX Intelligence

RIA Intelligence

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SEC-registered adviser

A•••• R••• C••••••• L•

Independent wealth managerVero Beach, FloridaCRD 332521SEC 801-131310IAPD
Latest filing Mar 5, 2026
First filing on the tape Sep 17, 2024 · 3 filings
SEC status approved since Oct 17, 2024
RAUM
$26.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$26.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$26.6M as of Mar 5, 2026
Feb 27, 2025$28.3M then
HNW client RAUM$26.6M as of Mar 5, 2026
Feb 27, 2025$28.3M then
State-registered IARs (5.B.3)0 as of Mar 5, 2026
Feb 27, 20250 then
Employees (5.A)2 as of Mar 5, 2026
Feb 27, 20252 then
Private funds: no history
RAUM -5.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
  • UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$26.6MderivedHNW RAUM over HNW clients
Average account
$26.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, performance-basedreportedItem 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
  • 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$26.6M100%
Individual clients
n/areported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, performancereported
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P••••• C••••••• M••••••• · Limited Partner And Chief Compliance Officercontrol
        since 06/2020 · owns less than 5%
      • P••••• T•••••• K•••• · Limited Partnercontrol
        since 06/2020 · owns 75% or more
      • P••••• T•••••• K•••• · Managing Membercontrol
        since 06/2020 · owns 75% or more of A•••• R••• P•••••••• L••
      • P••••• H••••• B•••••• · Limited Partner
        since 06/2020 · owns less than 5%
      • P••••• M•••••••• W••••• · Limited Partner
        since 06/2020 · owns less than 5%
      Entity owners
      • A•••• R••• P•••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $28.3M to $26.6M
        Feb 27, 2025 to Mar 5, 2026
      • HNW RAUM · $28.3M to $26.6M
        Feb 27, 2025 to Mar 5, 2026
      • RAUM · $28.3M to $26.6M
        Feb 27, 2025 to Mar 5, 2026
      • Financial planning clients · unset to
        Sep 17, 2024 to Feb 27, 2025
      • Discretionary RAUM · $34.8M to $28.3M
        Sep 17, 2024 to Feb 27, 2025
      • HNW RAUM · $34.8M to $28.3M
        Sep 17, 2024 to Feb 27, 2025
      • RAUM · $34.8M to $28.3M
        Sep 17, 2024 to Feb 27, 2025
      Signals
      1 dated events
      • A•••• R••• C••••••• L• filed its initial SEC registration (Form ADV)
        Sep 17, 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
      Principal office phone
      203-247-2194reportedpublic record, Form ADV, Mar 5, 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026