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.
SEC-registered adviser
1st Discount Brokerage, Inc.
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 11 filings
SEC status approved since Jun 12, 2025
RAUM
$131M
reported, Item 5.F
Discretionary
58%
of RAUM
Private clients
97%
$128M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$16.4M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$131M as of Mar 31, 2026
May 30, 2012$17.3M then
HNW client RAUM$118M as of Mar 31, 2026
May 12, 2025$92.1M then
State-registered IARs (5.B.3)8 as of Mar 31, 2026
May 12, 20259 then
Employees (5.A)8 as of Mar 31, 2026
May 12, 20259 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $16.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $373,302derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 58%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $131MreportedItem 5.I
- Custody
- $131M, 219 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 a broker-dealer (6.A.1)
- 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)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$118M90%
- Individuals$9.6M7.3%
- Corporations and businesses$1.9M1.4%
- Charitable organizations$1.5M1.2%
- Pension and profit-sharing plans$437,1400.3%
- Individual clients
- 133reported
- HNW clients
- 83reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 352reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $131M for 219 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=8.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| William Harold Corley | Lake Worth, Fl | Jul 23, 2003 | 40 y | 0 |
| John Dillon Mchugh | Half Moon Bay, Ca | Sep 7, 2004 | 43 y | 0 |
| Nicky Cheng De Young | Lake Worth, Fl | Aug 30, 2012 | 24 y | 0 |
| Jacqueline Garner Pardew | Jonesboro, Ar | Aug 30, 2012 | 40 y | 0 |
| Jeffrey Edward Bogosian | Providence, Ri | Sep 11, 2012 | 33 y | 0 |
| Ned Joseph Pascucci | Providence, Ri | Jun 25, 2020 | 31 y | 2 |
| Ebba Alexandra Gustafsson | Lake Worth, Fl | Oct 16, 2024 | 12 y | 0 |
| George Patrick Rohloff | Lake Worth, Fl | Jan 1, 2025 | 34 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
- Duane William Sunby to LPL Financial LLCJul 1, 2021 · Other
- Desiree Elaine Batiste to Next Financial Group, Inc.Jul 1, 2015 · Other
- Donald Lee Boivin to Wells Fargo AdvisorsOct 21, 2013 · Other
- James Edward Wheeler to Creativeone Wealth, LLCApr 9, 2013 · Other
- Alec Edward Hoke to First Allied Advisory Services, Inc.Jun 29, 2012 · Other
- Judson William Ames to Dark Horse Wealth LLCDec 20, 2011 · Other
- Ned Joseph Pascucci to UBS Financial Services Inc.Sep 30, 2010 · Other
- Edward Francis Wright to Cadaret Grant & Co IncAug 30, 2010 · Other
- Neeta Balani to Sun Creek Holdings LLCMay 17, 2010 · Other
- Kenneth Cassius Butterfield to Summit Financial Group IncFeb 3, 2010 · Other
- David Carl Sabo to Independence Capital Co., Inc.Dec 31, 2009 · Other
- Jane M Hyland to Questar Asset Management, Inc.Mar 24, 2009 · Other
- Bipin Patel to World Investment Advisors, LLCDec 31, 2008 · Other
- Jenny Alice Duncan to Bonds.Com Wealth Management, LLCOct 23, 2008 · Other
- Michael Patrick Remedi to Ausdal Financial Partners, Inc.Jul 15, 2008 · Other
Joined, latest
- Ned Joseph Pascucci from UBS Financial Services Inc.Jun 25, 2020 · Other
- Duane William Sunby from Msi Financial Services, Inc.Feb 12, 2015 · Other
- Alec Edward Hoke from Saxony Capital Management, LLCJan 11, 2011 · Other
- Edward Francis Wright from LPL Financial LLCJul 20, 2009 · Other
- Jenny Alice Duncan from Davenport & Company LLCDec 6, 2007 · Other
- David Carl Sabo from Ameriprise Financial Services, LLCOct 4, 2007 · Other
- Amanda Lea Arthur from United Securities Alliance, Inc.Oct 2, 2007 · Other
- Jeffrey Douglas Thomas from MML Investors Services, LLCMay 6, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- William Harold Corley · Presidentcontrolsince 07/1995 · owns less than 5%
- William Harold Jr Corley · Shareholdercontrolsince 02/1999 · owns 75% or more of 1db Financial, Inc.
- Aileen M Gallagher · Finopsince 02/2008 · owns less than 5%
- Yulia Kalk · Chief Compliance Officersince 09/2004 · owns less than 5%
- Robert Steve Jr Kohany · Rosfpsince 06/2008 · owns less than 5%
- Donald Brent Jr Phillips · Municipal Securities Principalsince 10/2002 · owns less than 5%
Entity owners
- 1db Financial · Corporationdirect · owns 75% or more
Related persons
Schedule D 7.A
- 1st Discount Brokerage, Inc.broker-dealeryRAUM $131M
Advisers that list 1st Discount Brokerage, Inc. as a related person
- 39164 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lake Worth, Fl · principal | 4 | 0 | 0 | ||
| Providence, Ri | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 346 to 352Sep 9, 2025 to Mar 31, 2026
- Advisory employees · 9 to 8Sep 9, 2025 to Mar 31, 2026
- BD registered reps · 9 to 8Sep 9, 2025 to Mar 31, 2026
- HNW clients · 55 to 83Sep 9, 2025 to Mar 31, 2026
- Individual clients · 161 to 133Sep 9, 2025 to Mar 31, 2026
- Assets in custody · $108M to $131MSep 9, 2025 to Mar 31, 2026
- Employees · 9 to 8Sep 9, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 1-10Sep 9, 2025 to Mar 31, 2026
- State-registered IARs · 9 to 8Sep 9, 2025 to Mar 31, 2026
- Discretionary RAUM · $62.4M to $76.5MSep 9, 2025 to Mar 31, 2026
- HNW RAUM · $92.1M to $118MSep 9, 2025 to Mar 31, 2026
- Individual RAUM · $12.6M to $9.6MSep 9, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $45.7M to $54.9MSep 9, 2025 to Mar 31, 2026
- Pension RAUM · $284,276 to $437,140Sep 9, 2025 to Mar 31, 2026
- RAUM · $108M to $131MSep 9, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Aug 22, 2025 to Sep 9, 2025
- Accounts · 88 to 346Jun 12, 2012 to May 12, 2025
- Advisory employees · unset to 9.0Jun 12, 2012 to May 12, 2025
- BD registered reps · unset to 9.0Jun 12, 2012 to May 12, 2025
- Charity clients · unset to 1.0Jun 12, 2012 to May 12, 2025
- Corporate clients · unset to 1.0Jun 12, 2012 to May 12, 2025
- HNW clients · unset to 55.0Jun 12, 2012 to May 12, 2025
- Individual clients · unset to 161.0Jun 12, 2012 to May 12, 2025
- Pension plan clients · unset to 1.0Jun 12, 2012 to May 12, 2025
- Pooled vehicle clients · unset to 0.0Jun 12, 2012 to May 12, 2025
- Commission compensation · true to falseJun 12, 2012 to May 12, 2025
- Assets in custody · unset to 108117119.0Jun 12, 2012 to May 12, 2025
- Custody of client assets · false to trueJun 12, 2012 to May 12, 2025
- Employees · unset to 9.0Jun 12, 2012 to May 12, 2025
- HQ city · WELLINGTON to LAKE WORTHJun 12, 2012 to May 12, 2025
- State-registered IARs · unset to 9.0Jun 12, 2012 to May 12, 2025
- Other offices · unset to 2.0Jun 12, 2012 to May 12, 2025
- Discretionary RAUM · $11.8M to $62.4MJun 12, 2012 to May 12, 2025
- HNW RAUM · unset to 92092900.0Jun 12, 2012 to May 12, 2025
- Individual RAUM · unset to 12572182.0Jun 12, 2012 to May 12, 2025
- Non-discretionary RAUM · $5.4M to $45.7MJun 12, 2012 to May 12, 2025
- Pension RAUM · unset to 284276.0Jun 12, 2012 to May 12, 2025
- Pooled vehicle RAUM · unset to 0.0Jun 12, 2012 to May 12, 2025
- RAUM · $17.3M to $108MJun 12, 2012 to May 12, 2025
- Wrap assets (manager) · unset to 0.0Jun 12, 2012 to May 12, 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
- Business phone
- 561-515-3200reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- 1DB.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 561-515-3200reportedpublic record, Form ADV, Mar 31, 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
- $16.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026