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
A•••• F••••••••• I•••
Latest filing Mar 12, 2026
First filing on the tape Feb 8, 2021 · 22 filings
SEC status approved since Mar 11, 2021
RAUM
$195M
reported, Item 5.F
Discretionary
18%
of RAUM
Private clients
100%
$194M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$16.2M
derived; firm RAUM over IAPD count
Employees
21
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$195M as of Mar 12, 2026
Mar 23, 2022$138M then
HNW client RAUM$104M as of Mar 12, 2026
Mar 23, 2022$90.3M then
State-registered IARs (5.B.3)12 as of Mar 12, 2026
Mar 23, 202210 then
Employees (5.A)21 as of Mar 12, 2026
Mar 23, 202219 then
Private funds: no history
RAUM +22% over the last fiscal year+19% a year over threeIARs 11 to 12
Practice profile
derived from the filing of Mar 12, 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)
- 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
- $16.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $428,685derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 18%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
- 6.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminars, otherreportedItem 5.G
- Wrap fee program
- $195MreportedItem 5.I
- Custody
- $195M, 284 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)
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$104M53%
- Individuals$89.8M46%
- Corporations and businesses$839,0000.4%
- Individual clients
- 223reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 454reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $195M for 284 clientsreported
- 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=21.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• C••••• P•••••• | St. Petersburg, Fl | Jan 18, 2017 | 16 y | 0 |
| A••• E••••• M•••• | St Petersburg, Fl | Jan 23, 2017 | 14 y | 0 |
| J•••• B• A•••••• | St. Petersburg, Fl | Mar 16, 2018 | 19 y | 0 |
| M••• K•••• D•••••• | St. Petersburg, Fl | Mar 27, 2020 | 46 y | 0 |
| D•••• M•••••• P••••••••• | St. Petersburg, Fl | Mar 27, 2020 | 13 y | 1 |
| J••• V•••• S••••••••• | Little Rock, Ar | Aug 5, 2020 | 40 y | 0 |
| R••••• E••••• H•••• | Little Rock, Ar | Aug 6, 2020 | 40 y | 0 |
| J••••••• K••• B••••• | St. Petersburg, Fl | Feb 4, 2022 | 12 y | 0 |
| J••• C••••••• C••••••• | St. Petersburg, Fl | Jan 17, 2024 | 20 y | 0 |
| J•• W•••••• L••• | St. Petersburg, Fl | Jan 1, 2025 | 38 y | 0 |
| R•••••• L••••• G••••• | Little Rock, Ar | Jan 1, 2025 | 37 y | 0 |
| L•••• J•• F••••• | Little Rock, Ar | Oct 15, 2025 | 37 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
- A••••••• E•••••••• B•••• to F••••••• P••••••• A•• W•••••••• A•••••••May 14, 2020 · RIA to affiliated broker-dealer or bank
- R••••• A••••• to R•••••• J•••• • A••••••••• I•••Sep 17, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- D•••• M•••••• P••••••••• from W•••••• • R•••Mar 27, 2020 · Other
- A••••••• E•••••••• B•••• from W•••• F•••• A•••••••Jan 15, 2019 · WIREH•••• TO RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• J•••• B• · Sr. Vice Presidentcontrolsince 03/2016 · owns 10% to 25%
- A••••••• S•••••• C•••••• · Senior Tradercontrolsince 03/2016 · owns 5% to 10%
- D••••••• M••• K•••• · Sr. Vice Presidentcontrolsince 12/1980 · owns 5% to 10%
- K•••••••• E•••• R••• · Chief Financial Officercontrolsince 07/2016 · owns less than 5%
- P••••••• M•••••• C••••• · President And Chief Compliance Officercontrolsince 03/2016 · 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 |
|---|---|---|---|---|---|
| St Petersburg, Fl · principal | 8 | 0 | 0 | ||
| Little Rock, Ar | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Little Rock, AR3 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 12, 2026HNW share of RAUM moved from 73.0% to 53.0% between the annual amendments of 2025-02-24 and 2026-03-12peers: independent wealth managers, $100M to $500M (5,678)
- account count surgeChange between filings · filing Mar 12, 2026accounts (Item 5.F.2.f) moved from 274.0 to 454.0 (+66.0%) between the annual amendments of 2025-02-24 and 2026-03-12; the peer median change was +5.0% (3686 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 274 to 454Oct 10, 2025 to Mar 12, 2026
- Advisory employees · 11 to 12Oct 10, 2025 to Mar 12, 2026
- Corporate clients · 1.0 to unsetOct 10, 2025 to Mar 12, 2026
- HNW clients · 108 to 60Oct 10, 2025 to Mar 12, 2026
- Individual clients · 143 to 223Oct 10, 2025 to Mar 12, 2026
- Assets in custody · $160M to $195MOct 10, 2025 to Mar 12, 2026
- State-registered IARs · 11 to 12Oct 10, 2025 to Mar 12, 2026
- Discretionary RAUM · $20.2M to $35.8MOct 10, 2025 to Mar 12, 2026
- HNW RAUM · $117M to $104MOct 10, 2025 to Mar 12, 2026
- Individual RAUM · $42.0M to $89.8MOct 10, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $140M to $159MOct 10, 2025 to Mar 12, 2026
- RAUM · $160M to $195MOct 10, 2025 to Mar 12, 2026
- Wrap assets (manager) · $20.2M to $0Oct 10, 2025 to Mar 12, 2026
- Financial planning clients · 0 to 0Jul 7, 2025 to Oct 10, 2025
- Accounts · 368 to 274Aug 29, 2024 to Feb 24, 2025
- Assets in custody · $131M to $160MAug 29, 2024 to Feb 24, 2025
- Discretionary RAUM · $9.2M to $20.2MAug 29, 2024 to Feb 24, 2025
- HNW RAUM · $89.7M to $117MAug 29, 2024 to Feb 24, 2025
- Individual RAUM · $40.8M to $42.0MAug 29, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $122M to $140MAug 29, 2024 to Feb 24, 2025
- RAUM · $131M to $160MAug 29, 2024 to Feb 24, 2025
- Wrap assets (manager) · $54,000 to $20.2MAug 29, 2024 to Feb 24, 2025
- Accounts · 226 to 368Mar 24, 2023 to Mar 15, 2024
- Advisory employees · 10 to 11Mar 24, 2023 to Mar 15, 2024
- BD registered reps · 19 to 21Mar 24, 2023 to Mar 15, 2024
- HNW clients · 110 to 108Mar 24, 2023 to Mar 15, 2024
- Individual clients · 122 to 143Mar 24, 2023 to Mar 15, 2024
- Assets in custody · $114M to $131MMar 24, 2023 to Mar 15, 2024
- Employees · 19 to 21Mar 24, 2023 to Mar 15, 2024
- State-registered IARs · 10 to 11Mar 24, 2023 to Mar 15, 2024
- Discretionary RAUM · $0 to $9.2MMar 24, 2023 to Mar 15, 2024
- HNW RAUM · $80.0M to $89.7MMar 24, 2023 to Mar 15, 2024
- Individual RAUM · $34.0M to $40.8MMar 24, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $114M to $122MMar 24, 2023 to Mar 15, 2024
- RAUM · $114M to $131MMar 24, 2023 to Mar 15, 2024
- Wrap assets (manager) · $50,000 to $54,000Mar 24, 2023 to Mar 15, 2024
- Accounts · 228 to 226Jan 20, 2023 to Mar 24, 2023
- HNW clients · 113 to 110Jan 20, 2023 to Mar 24, 2023
- Individual clients · 121 to 122Jan 20, 2023 to Mar 24, 2023
- Assets in custody · $110M to $114MJan 20, 2023 to Mar 24, 2023
Signals
1 dated events
- A•••• F••••••••• I••• filed its initial SEC registration (Form ADV)Feb 8, 2021 · First SEC registration · fact
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
- A••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 727-825-0522reportedpublic record, Form ADV, Mar 12, 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
- $16.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026