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
B••••••• W••••• M•••••••••
Legal name B••• S••• W••••• M••••••••• L••
Latest filing Feb 27, 2026
First filing on the tape Jun 24, 2025 · 3 filings
SEC status approved since Jun 30, 2025
RAUM
$134M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$134M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$67.0M
derived; firm RAUM over IAPD count
Employees
2
2 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$134M as of Feb 27, 2026
Jun 24, 2025$0 then
HNW client RAUM$118M as of Feb 27, 2026
Oct 30, 2025$115M then
State-registered IARs (5.B.3)2 as of Feb 27, 2026
Jun 24, 20252 then
Employees (5.A)2 as of Feb 27, 2026
Jun 24, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 27, 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
- $67.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $592,920derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $134M, 68 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$118M88%
- Individuals$16.0M12%
- Individual clients
- 34reported
- HNW clients
- 34reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 226reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $134M for 68 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• A•••• H•••••••• | Lake Mary, Fl | Jun 30, 2025 | 27 y | 2 |
| J••• D••••• R••••Certified Financial Planner | Lake Mary, Fl | Jun 30, 2025 | 27 y | 5 |
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
- J••• D••••• R•••• from B••• S••• W••••• M••••••••• L••Jun 30, 2025 · Other
- R•••••• A•••• H•••••••• from N•••• A•••••••Jun 30, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• R••••••• A•••• · Managing Partner And Co Presidentcontrolsince 03/2021 · owns 50% to 75%
- R••••• J•••• D••••• · Managing Partner, Co President, And Chief Compliance Officercontrolsince 03/2021 · 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 |
|---|---|---|---|---|---|
| Lake Mary, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 88 to 226Oct 30, 2025 to Feb 27, 2026
- HNW clients · 39 to 34Oct 30, 2025 to Feb 27, 2026
- Individual clients · 49 to 34Oct 30, 2025 to Feb 27, 2026
- Assets in custody · $0 to $134MOct 30, 2025 to Feb 27, 2026
- Financial planning clients · to 11-25Oct 30, 2025 to Feb 27, 2026
- Discretionary RAUM · $126M to $128MOct 30, 2025 to Feb 27, 2026
- HNW RAUM · $115M to $118MOct 30, 2025 to Feb 27, 2026
- Individual RAUM · $17.0M to $16.0MOct 30, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $6.3M to $6.0MOct 30, 2025 to Feb 27, 2026
- RAUM · $132M to $134MOct 30, 2025 to Feb 27, 2026
- Accounts · 0 to 88Jun 24, 2025 to Oct 30, 2025
- Charity clients · unset to 0.0Jun 24, 2025 to Oct 30, 2025
- Corporate clients · unset to 0.0Jun 24, 2025 to Oct 30, 2025
- HNW clients · unset to 39.0Jun 24, 2025 to Oct 30, 2025
- Individual clients · unset to 49.0Jun 24, 2025 to Oct 30, 2025
- Pension plan clients · unset to 0.0Jun 24, 2025 to Oct 30, 2025
- Pooled vehicle clients · unset to 0.0Jun 24, 2025 to Oct 30, 2025
- Discretionary RAUM · $0 to $126MJun 24, 2025 to Oct 30, 2025
- HNW RAUM · unset to 115000000.0Jun 24, 2025 to Oct 30, 2025
- Individual RAUM · unset to 17000000.0Jun 24, 2025 to Oct 30, 2025
- Non-discretionary RAUM · $0 to $6.3MJun 24, 2025 to Oct 30, 2025
- Pension RAUM · unset to 0.0Jun 24, 2025 to Oct 30, 2025
- Pooled vehicle RAUM · unset to 0.0Jun 24, 2025 to Oct 30, 2025
- RAUM · $0 to $132MJun 24, 2025 to Oct 30, 2025
Signals
No event on the tape.
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
- 888-788-6478reportedpublic record, Form ADV, Feb 27, 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
- $67.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026