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
F•• I••••••••• L••
Latest filing Jul 13, 2026
First filing on the tape Dec 17, 2025 · 3 filings
SEC status approved since Dec 17, 2025
RAUM
$207M
reported, Item 5.F
Discretionary
18%
of RAUM
Private clients
100%
$207M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$23.0M
derived; firm RAUM over IAPD count
Employees
5
5 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$207M as of Jul 13, 2026
Dec 17, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Jul 13, 2026
Dec 17, 20255 then
Employees (5.A)5 as of Jul 13, 2026
Dec 17, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 13, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $23.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 18%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.6derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$207M100%
- Individual clients
- 160reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 160reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••••• H••• P••••Certified Financial Planner | Tampa, Fl | May 20, 2026 | 11 y | 3 |
| M•••• M•••••••• | Tampa, Fl | Jun 4, 2026 | 10 y | 3 |
| J••••• K••••••••• | Tampa, Fl | Jul 17, 2026 | 10 y | 1 |
| C••••• J•••• C•••••• | Tampa, Fl | Jul 21, 2026 | 11 y | 2 |
| K•••• P•••••••• | Tampa, Fl | Aug 3, 2026 | 14 y | 3 |
| C••• B••••• | Tampa, Fl | Aug 4, 2026 | 12 y | 3 |
| V•••••• J••••• A••••••••• | Tampa, Fl | Sep 4, 2026 | 10 y | 2 |
| L••••• J••• A•••••••••Certified Financial Planner | Tampa, Fl | Sep 9, 2026 | 11 y | 3 |
| A•••••• V•••••• | Tampa, Fl | Sep 11, 2026 | 10 y | 1 |
Advisor movement
0 left, 9 joined in 12 months
net +9 in 12 months0 left in 90 days7 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A•••••• V•••••• from G•• S••••••••Sep 11, 2026 · RIA to RIA
- L••••• J••• A••••••••• from G•• S••••••••Sep 9, 2026 · RIA to RIA
- V•••••• J••••• A••••••••• from G•• S••••••••Sep 4, 2026 · RIA to RIA
- C••• B••••• from M•••••• • N••••• A•••••••• L••Aug 4, 2026 · RIA to RIA
- K•••• P•••••••• from S•••• M••••• F•••••••• • E••••• P••••••• S•••••••• L••Aug 3, 2026 · RIA to RIA
- C••••• J•••• C•••••• from R•••••• J•••• • A••••••••• I•••Jul 21, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••••• K••••••••• from J••• M••••• S••••••••• L••Jul 17, 2026 · Wirehouse to independent RIA
- M•••• M•••••••• from W••••• W••••• M••••••••• C••••••• A• L•••••• L•••••••• C••••••Jun 4, 2026 · RIA to RIA
- A•••••••• H••• P•••• from R•••••• J•••• • A••••••••• I•••May 20, 2026 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from G•• S••••••••Jun 26, 2026 · Orlando, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
Entity owners
- C••••••••• L•• · Owner Memberdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Tampa, Fl · principal | 9 | 9 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 160Dec 17, 2025 to Mar 17, 2026
- Individual clients · unset to 160.0Dec 17, 2025 to Mar 17, 2026
- Discretionary RAUM · $0 to $36.5MDec 17, 2025 to Mar 17, 2026
- Individual RAUM · unset to 207088515.0Dec 17, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $0 to $171MDec 17, 2025 to Mar 17, 2026
- RAUM · $0 to $207MDec 17, 2025 to Mar 17, 2026
Signals
1 dated events
- 3 advisors left G•• S•••••••• (Orlando, FL) for F•• I••••••••• L•• on the same dayJun 26, 2026 · 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
- Website
- thefractionalfamilyoffice.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (302) 584-3415reportedpublic record, Form ADV, Jul 13, 2026
- Team page
- thefractionalfamilyoffice.com/our-teamreportedpublished 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
- $23.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026