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
S••••• • R••••• F•••••••• S•••••••• I•••
Latest filing Jul 10, 2026
First filing on the tape Mar 31, 2025 · 4 filings
SEC status approved since Mar 12, 2025
RAUM
$141M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$135M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$47.1M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$141M as of Jul 10, 2026
Mar 31, 2025$0 then
HNW client RAUM$83.8M as of Jul 10, 2026
Jul 8, 2025$50.0M then
State-registered IARs (5.B.3)3 as of Jul 10, 2026
Mar 31, 20252 then
Employees (5.A)4 as of Jul 10, 2026
Mar 31, 20253 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Jul 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $47.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $343,454derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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
- 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
- High-net-worth individuals$83.8M59%
- Individuals$51.0M36%
- Charitable organizations$5.3M3.8%
- Pension and profit-sharing plans$767,9040.5%
- Corporations and businesses$252,4290.2%
- Individual clients
- 198reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 411reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• J••• S••••• | Ormond Beach, Fl | Mar 24, 2025 | 40 y | 4 |
| W••• L•• R••••• | Ormond Beach, Fl | Mar 24, 2025 | 27 y | 6 |
| R••••• G••••• H•••••• | Ormond Beach, Fl | Dec 1, 2025 | 11 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
- K•••• J••• S••••• from S••••• A••••••• I•••Mar 24, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- W••• L•• R••••• from S••••• A••••••• I•••Mar 24, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S••••• A••••••• I•••Mar 26, 2025 · Birmingham, Al
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• W•••• L•• · President And Financial Advisorcontrolsince 03/2025 · owns 50% to 75%
- S•••••• K••••• J••• · Vice President, Chief Compliance Officer, And Financial Advisorcontrolsince 03/2025 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Ormond Beach, Fl · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Jul 10, 2026custody of client assets (Item 9.A): yes on the filing of 2026-02-13, no on the filing of 2026-07-10peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Assets in custody · 1200000.0 to unsetFeb 13, 2026 to Jul 10, 2026
- Custody of client assets · true to falseFeb 13, 2026 to Jul 10, 2026
- Accounts · 479 to 411Jul 8, 2025 to Feb 13, 2026
- Advisory employees · 2 to 3Jul 8, 2025 to Feb 13, 2026
- Advisory activities · 3 to 4Jul 8, 2025 to Feb 13, 2026
- BD registered reps · 2 to 0Jul 8, 2025 to Feb 13, 2026
- Corporate clients · unset to 6.0Jul 8, 2025 to Feb 13, 2026
- HNW clients · unset to 24.0Jul 8, 2025 to Feb 13, 2026
- Individual clients · 230 to 198Jul 8, 2025 to Feb 13, 2026
- Assets in custody · unset to 1200000.0Jul 8, 2025 to Feb 13, 2026
- Custody of client assets · false to trueJul 8, 2025 to Feb 13, 2026
- Employees · 3 to 4Jul 8, 2025 to Feb 13, 2026
- State-registered IARs · 2 to 3Jul 8, 2025 to Feb 13, 2026
- Discretionary RAUM · $125M to $141MJul 8, 2025 to Feb 13, 2026
- HNW RAUM · $50.0M to $83.8MJul 8, 2025 to Feb 13, 2026
- Individual RAUM · $70.6M to $51.0MJul 8, 2025 to Feb 13, 2026
- Pension RAUM · unset to 767904.0Jul 8, 2025 to Feb 13, 2026
- RAUM · $125M to $141MJul 8, 2025 to Feb 13, 2026
- Accounts · 0 to 479Mar 31, 2025 to Jul 8, 2025
- Individual clients · unset to 230.0Mar 31, 2025 to Jul 8, 2025
- Financial planning clients · 0 to 0Mar 31, 2025 to Jul 8, 2025
- Discretionary RAUM · $0 to $125MMar 31, 2025 to Jul 8, 2025
- HNW RAUM · unset to 50000000.0Mar 31, 2025 to Jul 8, 2025
- Individual RAUM · unset to 70596700.0Mar 31, 2025 to Jul 8, 2025
- RAUM · $0 to $125MMar 31, 2025 to Jul 8, 2025
Signals
1 dated events
- 2 advisors left S••••• A••••••• I••• (Birmingham, AL) for S••••• • R••••• F•••••••• S•••••••• I••• on the same dayMar 26, 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
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 386-677-0191reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (386) 677-0191reportedpublic record, Form ADV, Jul 10, 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
- $47.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026