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
R•••• • A•••••••••
Legal name R•••• • A••••••••• I•••
Latest filing May 15, 2026
First filing on the tape Mar 26, 2012 · 31 filings
SEC status approved since Mar 30, 2009
RAUM
$710M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$709M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$88.7M
derived; firm RAUM over IAPD count
Employees
14
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$710M as of May 15, 2026
Mar 26, 2012$197M then
HNW client RAUM$472M as of May 15, 2026
Mar 30, 2018$35.0M then
State-registered IARs (5.B.3)9 as of May 15, 2026
Mar 26, 20120 then
Employees (5.A)14 as of May 15, 2026
Mar 27, 201314 then
Private funds: no history
RAUM +7.1% over the last fiscal year+35% a year over threeIARs 8 to 9
Practice profile
derived from the filing of May 15, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $88.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 185derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $478,459derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -20%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $504MreportedItem 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
- High-net-worth individuals$472M67%
- Individuals$237M33%
- Corporations and businesses$319,6180.0%
- Individual clients
- 1,191reported
- HNW clients
- 290reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,483reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false 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 |
|---|---|---|---|---|
| M•••••• G••••• R•••• | Safety Harbor, Fl | Jul 22, 1997 | 29 y | 0 |
| J•••• D••• W••••Certified Financial Planner | Safety Harbor, Fl | Aug 15, 2003 | 29 y | 1 |
| H••••••• C•••• M•••• | Safety Harbor, Fl | Apr 11, 2022 | 11 y | 2 |
| D••••• J•••• H•••• | Safety Harbor, Fl | Jun 9, 2022 | 11 y | 0 |
| B•••• W••••• K•••••• | Safety Harbor, Fl | Aug 26, 2022 | 10 y | 0 |
| E•••• R••••••• F••• | Safety Harbor, Fl | Aug 29, 2022 | 22 y | 0 |
| J••••• S•••••••• M••••••• | Safety Harbor, Fl | Sep 7, 2022 | 24 y | 0 |
| A••• M•••••• L•••• | Safety Harbor, Fl | Jan 1, 2025 | 14 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount2 left over 36 months
Left, latest
- E••• D• E••••• to E••••••••• W••••• A•••••••• L••Jun 19, 2026 · RIA to RIA
- S•••• R••••• W•••• to E••••••••• W••••• A•••••••• L••Jan 15, 2025 · RIA to RIA
- D•••• R•••••• F••• to T•• M••••••••• I••Aug 3, 2015 · Other
- A••••• E•••••••• P•••••• to W•••••• R• H•••• • C••Jan 7, 2014 · Other
- P••••••• L••• L••••••••• to I••••••••• C•••••• O• A••••••• I•••Dec 31, 2008 · Other
- K•••• T••• L••••• to G••••••• F•••••••• P••••••• C•••••••••Aug 4, 2003 · Other
Joined, latest
- H••••••• C•••• M•••• from D••••• W••••• M•••••••••Apr 11, 2022 · RIA to RIA
- E••• D• E••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 23, 2017 · Other
- P••••••• L••• L••••••••• from M••••• S•••••• D• I•••May 31, 2007 · Other
- J•••• D••• W•••• from I••••• F•••••••• C•••••••••Aug 15, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• E•••• R••••••• · Chief Compliance Officer, Aml Compliance Officer, General Securities Principalcontrolsince 07/2004 · owns less than 5%
- R••••• M•••••• G••••• · President/Ceo/Cfo/Msp/Rosfp/Sole Officer/Sole Shareholder/Principal Financial Officer/Principal Operations Officercontrolsince 01/1997 · owns 75% or more
- C•••••• A•• R• · Finopsince 03/2019 · 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 |
|---|---|---|---|---|---|
| Safety Harbor, Fl · principal | 8 | 0 | 1 | ||
| East Grand Rapids, Mi | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Tampa, FL1 employees
- Lakewood Ranch, FL1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing May 15, 2026financial planning (Item 5.G.1): no on the filing of 2026-03-24, yes on the filing of 2026-05-15peers: independent wealth managers, $500M to $1B (1,482)
- business activity changedChange between filings · filing May 15, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2026-03-24, no on the filing of 2026-05-15peers: independent wealth managers, $500M to $1B (1,482)
- compensation changedChange between filings · filing May 15, 2026commissions (Item 5.E.5): yes on the filing of 2026-03-24, no on the filing of 2026-05-15peers: independent wealth managers, $500M to $1B (1,482)
- HNW share shiftChange between filings · filing Mar 24, 2026HNW share of RAUM moved from 40.0% to 67.0% between the annual amendments of 2025-03-27 and 2026-03-24peers: independent wealth managers, $500M to $1B (1,482)
- account count collapseChange between filings · filing Mar 24, 2026accounts (Item 5.F.2.f) moved from 2,606.0 to 1,483.0 (-43.0%) between the annual amendments of 2025-03-27 and 2026-03-24; the peer median change was +6.0% (1256 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 2.2% percentile
What changed
consecutive filings, newest first
- Commission compensation · true to falseMar 24, 2026 to May 15, 2026
- Financial planning clients · to 101-250Mar 24, 2026 to May 15, 2026
- Accounts · 2,606 to 1,483Dec 10, 2025 to Mar 24, 2026
- Advisory employees · 10 to 9Dec 10, 2025 to Mar 24, 2026
- BD registered reps · 10 to 8Dec 10, 2025 to Mar 24, 2026
- Corporate clients · 3 to 2Dec 10, 2025 to Mar 24, 2026
- HNW clients · 192 to 290Dec 10, 2025 to Mar 24, 2026
- Individual clients · 1,655 to 1,191Dec 10, 2025 to Mar 24, 2026
- Pension plan clients · unset to 0.0Dec 10, 2025 to Mar 24, 2026
- Employees · 16 to 14Dec 10, 2025 to Mar 24, 2026
- State-registered IARs · 8 to 9Dec 10, 2025 to Mar 24, 2026
- Discretionary RAUM · $662M to $710MDec 10, 2025 to Mar 24, 2026
- HNW RAUM · $264M to $472MDec 10, 2025 to Mar 24, 2026
- Individual RAUM · $398M to $237MDec 10, 2025 to Mar 24, 2026
- RAUM · $662M to $710MDec 10, 2025 to Mar 24, 2026
- Related broker-dealer · true to falseMar 27, 2025 to Dec 10, 2025
- Accounts · 2,117 to 2,606Mar 28, 2024 to Mar 27, 2025
- Corporate clients · 9 to 3Mar 28, 2024 to Mar 27, 2025
- HNW clients · 169 to 192Mar 28, 2024 to Mar 27, 2025
- Individual clients · 1,257 to 1,655Mar 28, 2024 to Mar 27, 2025
- Pension plan clients · 4.0 to unsetMar 28, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 27, 2025
- State-registered IARs · 12 to 8Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $563M to $662MMar 28, 2024 to Mar 27, 2025
- HNW RAUM · $156M to $264MMar 28, 2024 to Mar 27, 2025
- Individual RAUM · $421M to $398MMar 28, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $22.9M to $0Mar 28, 2024 to Mar 27, 2025
- Pension RAUM · $2.7M to $0Mar 28, 2024 to Mar 27, 2025
- RAUM · $586M to $662MMar 28, 2024 to Mar 27, 2025
- Accounts · 2,033 to 2,117Nov 9, 2023 to Mar 28, 2024
- Corporate clients · 4 to 9Nov 9, 2023 to Mar 28, 2024
- HNW clients · 162 to 169Nov 9, 2023 to Mar 28, 2024
- Individual clients · 1,373 to 1,257Nov 9, 2023 to Mar 28, 2024
- Pension plan clients · 7 to 4Nov 9, 2023 to Mar 28, 2024
- Financial planning clients · 0 to unsetNov 9, 2023 to Mar 28, 2024
- Discretionary RAUM · $256M to $563MNov 9, 2023 to Mar 28, 2024
- HNW RAUM · $127M to $156MNov 9, 2023 to Mar 28, 2024
- Individual RAUM · $157M to $421MNov 9, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $29.9M to $22.9MNov 9, 2023 to Mar 28, 2024
- Pension RAUM · $2.0M to $2.7MNov 9, 2023 to Mar 28, 2024
Signals
5 dated events
- E••• D• E••••• left R•••• • A••••••••• for E••••••••• W••••• A•••••••• L•• (registered 2026-06-23)Jun 19, 2026 · Advisor changed firm · fact
- S•••• R••••• W•••• left R•••• • A••••••••• for E••••••••• W••••• A•••••••• L•• (registered 2025-02-12)Jan 15, 2025 · Advisor changed firm · fact
- R•••• • A••••••••• reported RAUM $586.2M, up 105% from $286.0M (2023-11-09 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- R•••• • A••••••••• reported RAUM $286.0M, down 44% from $513.8M (2022-06-14 to 2023-03-24)Mar 24, 2023 · RAUM change · derived
- R•••• • A••••••••• reported RAUM $513.8M, up 113% from $240.7M (2022-02-28 to 2022-03-28)Mar 28, 2022 · RAUM change · 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 phone
- 800-393-1877reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 727-712-3400reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 972-715-2000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/R••••-&-ASSOCIATES?TRK=TYAH&TRKINFO=CLIreportedpublic record, Form ADV, Sep 18, 2026
- Website
- WHYWEPLAN.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 727-712-3400reportedpublic record, Form ADV, May 15, 2026
- Team page
- roganfinancial.com/who-we-are/our-planners/michael-roganreportedpublished 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
- $88.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026