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
C•••••• P•••••• W••••• A•••••••
Legal name C•••••• P•••••• W••••• L••
Latest filing Feb 10, 2026
First filing on the tape Feb 12, 2025 · 6 filings
SEC status approved since Feb 26, 2025
RAUM
$418M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$396M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$59.7M
derived; firm RAUM over IAPD count
Employees
12
8 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$418M as of Feb 10, 2026
Feb 12, 2025$0 then
HNW client RAUM$265M as of Feb 10, 2026
Jun 17, 2025$268M then
State-registered IARs (5.B.3)6 as of Feb 10, 2026
Feb 12, 20256 then
Employees (5.A)12 as of Feb 10, 2026
Feb 12, 202512 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 6 to 6
Practice profile
derived from the filing of Feb 10, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $59.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 213derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $406,663derivedHNW RAUM over HNW clients
- Average account
- $274,903derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 1,500reportedItem 5.H
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $5.9M, 10 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$265M63%
- Individuals$131M31%
- Corporations and businesses$13.3M3.2%
- Charitable organizations$5.1M1.2%
- Pension and profit-sharing plans$3.7M0.9%
- Individual clients
- 837reported
- HNW clients
- 651reported
- Pension plan clients
- 9reported
- Charitable clients
- 4reported
- Accounts
- 1,519reported
- Financial planning clients
- 1,500reported
- Wrap fee programs
- $0 sponsored, $418M managedreported
- Custody of client assets
- $5.9M for 10 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••••• F•••••• M••••••• | Summerville, Sc | Mar 3, 2025 | 23 y | 3 |
| L••• R•••••• V•• W•••• | Port Charlotte, Fl | Mar 5, 2025 | 34 y | 1 |
| J••••• P••••••• W•••••••Certified Financial Planner, Chartered Financial Consultant | Boca Raton, Fl | Mar 6, 2025 | 48 y | 3 |
| S•••••• G••••• C••• | Boca Raton, Fl | Mar 6, 2025 | 46 y | 3 |
| S•••••• C••• S•••Certified Financial Planner | Port Charlotte, Fl | Mar 10, 2025 | 11 y | 3 |
| L•••• L••••• A•••••••Certified Financial Planner | Port Charlotte, Fl | Mar 17, 2025 | 32 y | 3 |
| T•••• J•••• A••••••• | Port Charlotte, Fl | Feb 24, 2026 | 19 y | 0 |
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
- L•••• L••••• A••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 17, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••••• C••• S••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 10, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••••• G••••• C••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 6, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••• P••••••• W••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 6, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- L••• R•••••• V•• W•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 5, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- W••••• F•••••• M••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 3, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 31, 2025 · Boca Raton, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• L••••• L••••• · Chief Executive Officercontrolsince 07/2021 · owns 50% to 75%
- V•••••••• L•••• R•••••• · Chief Compliance Officercontrolsince 12/2024 · owns less than 5%
- W•••••••• J•••••• P••••••• · Chief Financial Officercontrolsince 07/2021 · owns 50% to 75%
- W••••••• B••••••• S•• · Chief Operations Officersince 12/2024 · 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 |
|---|---|---|---|---|---|
| Port Charlotte, Fl · principal | 7 | 1 | 0 | ||
| Boca Raton, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,541 to 1,519Nov 7, 2025 to Feb 10, 2026
- Charity clients · 10 to 4Nov 7, 2025 to Feb 10, 2026
- Corporate clients · 17 to 18Nov 7, 2025 to Feb 10, 2026
- HNW clients · 657 to 651Nov 7, 2025 to Feb 10, 2026
- Individual clients · 846 to 837Nov 7, 2025 to Feb 10, 2026
- Pension plan clients · 11 to 9Nov 7, 2025 to Feb 10, 2026
- Assets in custody · $5.8M to $5.9MNov 7, 2025 to Feb 10, 2026
- Discretionary RAUM · $392M to $418MNov 7, 2025 to Feb 10, 2026
- HNW RAUM · $268M to $265MNov 7, 2025 to Feb 10, 2026
- Individual RAUM · $94.8M to $131MNov 7, 2025 to Feb 10, 2026
- Pension RAUM · $3.3M to $3.7MNov 7, 2025 to Feb 10, 2026
- RAUM · $392M to $418MNov 7, 2025 to Feb 10, 2026
- Wrap assets (manager) · $0 to $418MNov 7, 2025 to Feb 10, 2026
- Accounts · 0 to 1,541May 23, 2025 to Jun 17, 2025
- Charity clients · unset to 10.0May 23, 2025 to Jun 17, 2025
- Corporate clients · unset to 17.0May 23, 2025 to Jun 17, 2025
- HNW clients · unset to 657.0May 23, 2025 to Jun 17, 2025
- Individual clients · unset to 846.0May 23, 2025 to Jun 17, 2025
- Pension plan clients · unset to 11.0May 23, 2025 to Jun 17, 2025
- Assets in custody · unset to 5786382.0May 23, 2025 to Jun 17, 2025
- Custody of client assets · false to trueMay 23, 2025 to Jun 17, 2025
- Financial planning clients · 0 to More than 500May 23, 2025 to Jun 17, 2025
- Discretionary RAUM · $0 to $392MMay 23, 2025 to Jun 17, 2025
- HNW RAUM · unset to 268140038.0May 23, 2025 to Jun 17, 2025
- Individual RAUM · unset to 94768151.0May 23, 2025 to Jun 17, 2025
- Pension RAUM · unset to 3262833.0May 23, 2025 to Jun 17, 2025
- RAUM · $0 to $392MMay 23, 2025 to Jun 17, 2025
- Other offices · 3 to 4Feb 12, 2025 to Apr 30, 2025
Signals
1 dated events
- 5 advisors left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (Boca Raton, FL) for C•••••• P•••••• W••••• A••••••• on the same dayMar 31, 2025 · Team lift-out · derived
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
- r•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j•••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- b••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- c•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 561-372-9144reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 863-658-5359reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 863-381-1253reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 941-206-5120reportedpublic record, Form ADV, Feb 10, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $59.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026