DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

I••• I••••••••• S••••••••• I•••

CRD 144769

MIAMI, FL

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Search this name across graphsid dfx:ria:61b3751f-3644-7383-1373-de7bc1263428

Data as of Mar 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 40
Dated events: 18
On other graphs: 1
Observed: Dec 14, 2017 to Mar 30, 2022
20 observations

Across DFX

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

Private Equityidentity

I••• I••••••••• S••••••••• I•••

Intermediary · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $64.8M••• Locked
Discretionary RAUM: $0
Private client RAUM: $34.9Mderived••• Locked
Private client share: 54%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 16
RAUM per advisor: $4.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••• L•••• A•••••••	n/a	Medley, FL \| MIAMI, FL	8	13	2	yes
C••••• A•••••• D••••• L••••	Chartered Financial Analyst	MIAMI, FL \| KEY BISCAYNE, FL	8	14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• M••••••	Officer	Na	yes	10/2019	Nov 21, 2019	Mar 30, 2022
A••••••••• G•••••• F••••	SENIOR SALES TRADER	Na	yes	03/2018	Mar 29, 2019	Mar 30, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I••• U•• A•••• M••••••••• I•••	n/a	Asset manager	$9.3B	N	yes	n/a
I••• B•• U•• S••••••••• I•••	n/a	No RAUM reported	$0	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 30, 2022

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	0	2	0.0%	2	0	0	6	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
2021	$64.8M	$154M	-57.9%	$131M	-20.8%	20	20	0	0

Relationships

Affiliated with (4)

← I••• U•• A•••• M•••••••••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← I••• B•• U•• S••••••••• I•••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ I••• B•• U•• S••••••••• I•••Registered adviserbroker-dealer, common control
factForm ADV
→ I••• U•• A•••• M•••••••••Registered adviserother investment adviser, common control

Dated events

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

Occurred
Jan 3, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 7, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 7, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:61b3751f-3644-7383-1373-de7bc1263428
First observed: Dec 14, 2017
Last observed: Mar 30, 2022 54 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.