DFX Intelligence

O••••••• T••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

O••••••• T••••

O••••••• BANK, CRD 312982

SAN JUAN, PR

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Search this name across graphsid dfx:ria:181f2d33-b73d-190d-4c6d-08485c8a2f69

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 7
On other graphs: 0
Observed: Apr 8, 2021 to Mar 27, 2026
12 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0
Regulatory AUM: $323M••• Locked
Discretionary RAUM: $323M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• M••••••• N••	CHIEF FINANCIAL OFFICER	Na	yes	03/2017	Apr 8, 2021	Mar 27, 2024
D••••• E•••• J•	CHIEF COMPLIANCE OFFICER	Na	yes	10/2021	Oct 28, 2021	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O••••••• F•••••••• S••••••• L••	n/a	Mixed wealth	$420M	N	yes	n/a
O••••••• I•••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 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	$323M	$296M	8.8%	$305M	1.9%	9	9	0	0

Relationships

Affiliated with (1)

→ O••••••• F•••••••• S••••••• L••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (9)

← F•••••••• M•••••••• J•••• R•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Apr 8, 2021 to Mar 27, 2024factForm ADV
← G•••••••• C•••••• A••••••OwnerINDEPENDENT CONTRACTOR, ownership code NA, individual
Apr 8, 2021 to Mar 27, 2024factForm ADV
← R•••••• R••••• A•••••Owner

Dated events

Occurred
Mar 27, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 27, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 27, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 28, 2021
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:181f2d33-b73d-190d-4c6d-08485c8a2f69
First observed: Apr 8, 2021
Last observed: Mar 27, 2026 6 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.