DFX Intelligence

A•••• P••••••• U• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserMixed wealth managerSEC registeredRAUM under $100M

A•••• P••••••• U• L••

CRD 327986

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Jul 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 15
On other graphs: 2
Observed: Nov 14, 2023 to Jul 30, 2026
16 observations

Across DFX

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

Private Equityidentity

A•••• P••••••• U• L••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Independent Sponsorsidentity

A•••• P••••••• U• L••

Capital provider to sponsors · 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: mixed wealth managerderivedprivate_client_share=0.35 fund_share=0.65 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0
Regulatory AUM: $71.3M••• Locked
Discretionary RAUM: $46.3M
Private client RAUM: $25.0Mderived••• Locked
Private client share: 35%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $35.6Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••••• A•••••••••	n/a	MIAMI, FL	1	10	n/a	no
L••• M•••• D••• L•••	n/a	MIAMI, FL	1	11

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A•••• P••••••• L••• I• L•	Private Equity Fund	$46.3M	Jul 30, 2026	16	Jul 30, 2026	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• L••••••	SOLE MEMBER	E	yes	06/2021	Nov 14, 2023	Dec 19, 2024
G•••••• J••••• E• ••••	EXECUTIVE OFFICER	Na	yes	01/2023	Nov 14, 2023	Dec 19, 2024

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Miami	FL	United States	1	no

Regulatory AUM by fiscal year

••• Locked

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

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	0

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	$71.3M	$46.0M	55.0%	n/a	n/a	6	9	1	1

Relationships

Advises (1)

→ A•••• P••••••• L••• I• L•Private fundPrivate Equity Fund, IA
Jul 30, 2026 to presentfactForm ADV

Registered with (2)

← L••• M•••• D••• L•••Advisorregistration: current employment
Apr 17, 2025 to presentfactForm ADV
← M••••• A•••••••••Advisorregistration: current employment
Apr 17, 2025 to presentfactForm ADV

Controls (4)

Dated events

4 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
30 Jul 2026
Private fund first reported
••• Locked
Form ADV
$46.3M
Occurred
30 Jul 2026
Ria principal change3 events
A•••• P••••••• U• L••: ria principal change, 3 events, on 30 Jul 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
30 Jul 2026
Ria office opened
••• Locked
Form ADV
Occurred
30 Jul 2026
Ria indirect owner change3 events
A•••• P••••••• U• L••: ria indirect owner change, 3 events, on 30 Jul 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
30 Jul 2026
Ria office closed
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 14, 2023
Last observed: Jul 30, 2026 56 days 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.