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
Y•••••• I••••••••• L••
Latest filing Aug 25, 2026
First filing on the tape Aug 15, 2024 · 6 filings
SEC status approved since Sep 19, 2024
RAUM
$171M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
72%
$123M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$171M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$171M as of Aug 25, 2026
Mar 13, 2025$154M then
HNW client RAUM$86.6M as of Aug 25, 2026
Mar 13, 2025$76.3M then
State-registered IARs (5.B.3)1 as of Aug 25, 2026
Mar 13, 20251 then
Employees (5.A)2 as of Aug 25, 2026
Mar 13, 20252 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Aug 25, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $171MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $507,412derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $40.2M, 40 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
- 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$86.6M51%
- Individuals$36.2M21%
- Charitable organizations$35.1M21%
- Corporations and businesses$13.1M7.6%
- Individual clients
- 75reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 337reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $40.2M for 40 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.72 fund_share=0.0 institutional_share=0.21 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• N••• Y••••••Certified Financial Planner | Orlando, Fl | Sep 27, 2024 | 21 y | 2 |
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
- C••••••••• N••• Y•••••• from C••••••••• F•••••••• N••••••Sep 27, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• M••••••• A•••••• · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- Y••••••• C••••••••• N••• · Managing Membercontrolsince 08/2024 · owns 75% or more
Related persons
Schedule D 7.A
- D••••••• W••••• M••••••••• L••investment advisernRAUM $333M
- M• L••••• A•••••••• L••investment advisernRAUM $333M
- Y•••••• • C•••••• P••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 328 to 337Mar 13, 2025 to Mar 24, 2026
- HNW clients · 39 to 40Mar 13, 2025 to Mar 24, 2026
- Individual clients · 79 to 75Mar 13, 2025 to Mar 24, 2026
- Assets in custody · $17.0M to $40.2MMar 13, 2025 to Mar 24, 2026
- Discretionary RAUM · $154M to $171MMar 13, 2025 to Mar 24, 2026
- HNW RAUM · $76.3M to $86.6MMar 13, 2025 to Mar 24, 2026
- Individual RAUM · $34.3M to $36.2MMar 13, 2025 to Mar 24, 2026
- RAUM · $154M to $171MMar 13, 2025 to Mar 24, 2026
- Accounts · 325 to 328Nov 26, 2024 to Mar 13, 2025
- HNW clients · 40 to 39Nov 26, 2024 to Mar 13, 2025
- Individual clients · 77 to 79Nov 26, 2024 to Mar 13, 2025
- Assets in custody · $17.5M to $17.0MNov 26, 2024 to Mar 13, 2025
- Financial planning clients · 1-10 to 1-10Nov 26, 2024 to Mar 13, 2025
- Other offices · 0 to 1Nov 26, 2024 to Mar 13, 2025
- Discretionary RAUM · $151M to $154MNov 26, 2024 to Mar 13, 2025
- HNW RAUM · $76.8M to $76.3MNov 26, 2024 to Mar 13, 2025
- Individual RAUM · $32.7M to $34.3MNov 26, 2024 to Mar 13, 2025
- RAUM · $151M to $154MNov 26, 2024 to Mar 13, 2025
- Accounts · unset to 325.0Sep 13, 2024 to Nov 26, 2024
- HNW clients · unset to 40.0Sep 13, 2024 to Nov 26, 2024
- Individual clients · unset to 77.0Sep 13, 2024 to Nov 26, 2024
- Assets in custody · unset to 17512391.0Sep 13, 2024 to Nov 26, 2024
- Custody of client assets · false to trueSep 13, 2024 to Nov 26, 2024
- Discretionary RAUM · unset to 150547633.0Sep 13, 2024 to Nov 26, 2024
- HNW RAUM · unset to 76842379.0Sep 13, 2024 to Nov 26, 2024
- Individual RAUM · unset to 32717096.0Sep 13, 2024 to Nov 26, 2024
- Non-discretionary RAUM · unset to 0.0Sep 13, 2024 to Nov 26, 2024
- RAUM · unset to 150547633.0Sep 13, 2024 to Nov 26, 2024
- Financial planning clients · unset to 1-10Aug 15, 2024 to Sep 13, 2024
- Related adviser · false to trueAug 15, 2024 to Sep 13, 2024
Signals
1 dated events
- Y•••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Aug 15, 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
- 407-898-5777reportedpublic record, Form ADV, Aug 25, 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
- $171Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026