DFX Intelligence

L••••••••• W••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

L••••••••• W••••• M••••••••• L••

CRD 146966

MIAMI, FL

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Search this name across graphsid dfx:ria:2f0be090-d616-d28f-2389-c21f54434bd8

Data as of Mar 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 4
On other graphs: 0
Observed: Dec 15, 2011 to Mar 9, 2026
60 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $301M••• Locked
Discretionary RAUM: $160M
Private client RAUM: $299Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $37.6Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••••••• R••••••	n/a	MIAMI, FL	8	10	n/a	no
M••••• F•••••••• G•••••••	n/a	Caracas \| MIAMI, FL	7	12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• J•••• C•••••	PRESIDENT CHIEF EXECUTIVE OFFICER / CHIEF OPERATING OFFICER	C	yes	10/2019	Apr 10, 2018	Oct 14, 2024
O••• Z•••••• G••••••	CHAIRMAN OF THE BOARD	C	yes	07/2012	Dec 15, 2011	Oct 14, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN DIEGO	CA	United States	1	no
NEW YORK	NY	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	3

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	$301M	$447M	-32.8%	$324M	-2.5%	11	20	0	0

Relationships

Registered with (11)

← J••• R•••••• C•••••••Advisorregistration: current employment
Jul 24, 2025 to presentfactForm ADV
← A•••• D•••• A•••••Advisorregistration: current employment
Apr 15, 2025 to presentfactForm ADV
← A••••••• J••• R•••• R••••Advisorregistration: current employment
Nov 22, 2024 to presentfactForm ADV
← V••••• M••••• R••••• S•••• R••••

Dated events

Occurred
Mar 9, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-147M
Occurred
Mar 25, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 20, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 31, 2023
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2f0be090-d616-d28f-2389-c21f54434bd8
First observed: Dec 15, 2011
Last observed: Mar 9, 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.