DFX Intelligence

P•••• S••••••••• M•••••• U•• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserOther adviserSEC registeredRAUM 1b 10b

P•••• S••••••••• M•••••• U•• I•••

CRD 325145

MIAMI, FL

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Search this name across graphs

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 10
On other graphs: 2
Observed: Apr 20, 2023 to Mar 30, 2026
15 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Independent Sponsorsidentity

P•••• S••••••••• M•••••• U•• I•••

Capital provider to sponsors · key_crd, key_sfn_adviser, shared_crd

Private Creditidentity

P•••• S••••••••• M•••••• U•• I•••

Private credit manager · key_crd, key_sfn_adviser, shared_crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.58 institutional_share=0.28 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $1.1B••• Locked
Discretionary RAUM: $1.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 31

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••• S••••••••• I••••••••• C••••• F••• I• ••••••••• L•••	Other Private Fund	$148M	Mar 30, 2026	3	Apr 20, 2023	reported	021-488713
P•••• S••••••••• D••••••••• F••• I• L•••	Other Private Fund	$82,314

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• D••••	GENERAL COUNSEL AND SECRETARY	Na	yes	07/2022	Apr 20, 2023	May 14, 2024
D••••••••• A••••• R••••	Trustee	F	yes	10/2013	Apr 20, 2023	May 14, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••• S••••••••• C•••• A••••••• C••• S••••••• ••• G•• L••	n/a	n/a	n/a	N	yes	n/a
P•••• S••••••••• C•••• A••••••• C••• S••••••• G• I•••	n/a	n/a	n/a	N	yes	n/a
P•••• S••••••••• I••••••••• M••••••••• I•••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
MONTREAL, QUEBEC	n/a	Canada	0	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.1B	$715M	50.0%	n/a	n/a	31	18	2	2

Relationships

Advises (2)

→ P•••• S••••••••• I••••••••• C••••• F••• I• ••••••••• L•••Private fundOther Private Fund, IA
Apr 20, 2023 to presentfactForm ADV
→ P•••• S••••••••• D••••••••• F••• I• L•••Private fundOther Private Fund, IA
Mar 30, 2026 to presentfactForm ADV

Affiliated with (1)

← P•••• S••••••••• I••••••••• M••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV

Controls (12)

Dated events

Order

Occurred
30 Mar 2026
Ria office opened
••• Locked
Form ADV
Occurred
30 Mar 2026
Regulatory AUM changed
••• Locked
Form ADV
$358M
Occurred
30 Mar 2026
Private fund first reported
••• Locked
Form ADV
$82K
Occurred
14 May 2024
Control person left2 events
P•••• S••••••••• M•••••• U•• I•••: control person left, 2 events, on 14 May 2024
- ••• Locked
- ••• Locked
Occurred
29 Mar 2024
Control person joined2 events
P•••• S••••••••• M•••••• U•• I•••: control person joined, 2 events, on 29 Mar 2024
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 20, 2023
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

All 13 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••• S••••••••• M•••••• I••	Shareholder	E	yes	07/2022	Apr 20, 2023	May 14, 2024
T•• D•••••••• F••••• R•••••••• T••••	Shareholder	E	yes	10/2015	Apr 20, 2023	May 14, 2024
D••••••••• S•••••• C•••••••	TRUSTEE, NON-VOTING	F	no	03/2018	Apr 20, 2023	May 14, 2024