DFX Intelligence
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CRD 112224
MIAMI, FL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B•••• B•• P•••••• S••• | Shareholder | E | yes | 07/2011 | Nov 30, 2016 | Mar 29, 2018 |
| B•• 2• T•••• | Shareholder | D | yes | 12/2009 | Dec 9, 2011 | Mar 29, 2018 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| E•• A•••• M••••••••• ••••••••• C•••• | n/a | Mixed wealth | $2.3B | N | yes | FL |
| A••••••• Y• G••••••• F••••••••• | n/a | n/a | n/a | N | yes | n/a |
| E•• A•••• M••••••••• ••••••••• S• |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2017 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2017 | $226M | $911M | -75.2% | $2.2B | -53.0% | 8 | 10 | 0 | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| E•• P•••••• W••••• M••••••••• ••••••••• C•••• | 18 | Feb 22, 2019 | Jan 1, 2025 | MIAMI, FL | Firm absorbed | RIA to RIA | 85.7% |
| O•••• F•••••••• A••••••• L•• | 3 | Apr 20, 2018 |
| 25 |
| Mar 30, 2012 |
| reported |
| n/a |
| P•••• | Hedge Fund | $42.2M | Mar 31, 2017 | 18 | Mar 30, 2012 | reported | n/a |
| P•••• | Hedge Fund | $28.2M | Mar 31, 2017 | 12 | Mar 30, 2012 | reported | n/a |
| P•••• | Hedge Fund | $28.0M | Mar 31, 2017 | 15 | Mar 30, 2012 | reported | n/a |
| P•••• | Hedge Fund | $26.6M | Mar 31, 2017 | 1 | Mar 30, 2012 | reported | n/a |
| P•••• | Hedge Fund | $25.5M | Mar 31, 2017 | 10 | Mar 30, 2012 | reported | n/a |
| P•••• | Hedge Fund | $25.4M | Mar 31, 2017 | 16 | Mar 30, 2012 | reported | n/a |
| P•••• | Hedge Fund | $25.4M | Mar 29, 2018 | 24 | Mar 30, 2012 | reported | n/a |
| P•••• | Hedge Fund | $22.8M | Mar 29, 2018 | 22 | Mar 30, 2012 | reported | n/a |
| P•••• | Hedge Fund | $20.8M | Sep 25, 2013 | 74 | Mar 30, 2012 | dropped | n/a |
| P•••• | Hedge Fund | $20.2M | May 3, 2012 | 1 | Mar 30, 2012 | dropped | n/a |
| P•••• | Hedge Fund | $19.5M | Dec 16, 2015 | 2 | Mar 30, 2012 | dropped | n/a |
| P•••• | Hedge Fund | $19.0M | Sep 25, 2013 | 1 | Mar 30, 2012 | dropped | n/a |
| P•••• | Hedge Fund | $18.1M | Dec 16, 2015 | 1 | Mar 30, 2012 | dropped | n/a |
| P•••• | Hedge Fund | $15.8M | May 3, 2012 | 1 | Mar 30, 2012 | dropped | n/a |
| P•••• | Hedge Fund | $15.3M | Mar 31, 2017 | 20 | Mar 30, 2012 | reported | n/a |
| P•••• | Hedge Fund | $14.7M | Sep 25, 2013 | 53 | Mar 30, 2012 | dropped | n/a |
| P•••• | Hedge Fund | $12.8M | Mar 29, 2018 | 1 | Mar 30, 2012 | reported | n/a |
| P•••• | Hedge Fund | $9.5M | Sep 25, 2013 | 5 | Apr 1, 2013 | dropped | n/a |
| P•••• | Other Private Fund | $8.5M | Mar 29, 2018 | 87 | Mar 30, 2012 | reported | n/a |
| P•••• | Hedge Fund | $7.3M | Sep 25, 2013 | 52 | Mar 30, 2012 | dropped | n/a |
| P•••• | Hedge Fund | $6.9M | Dec 16, 2015 | 28 | Mar 30, 2012 | dropped | n/a |
| P•••• | Hedge Fund | $5.2M | May 3, 2012 | 16 | Mar 30, 2012 | dropped | n/a |
| P•••• | Hedge Fund | $5.2M | Mar 31, 2017 | 1 | Mar 30, 2012 | reported | n/a |
| Shareholder |
| E |
| yes |
| 12/2012 |
| Nov 30, 2016 |
| Mar 29, 2018 |
| C••••••• S•••• | CHIEF EXECUTIVE OFFICER | Na | yes | 10/2014 | Jun 28, 2013 | Mar 29, 2018 |
| E••••••••• V•••••• M••••• | Director | Na | yes | 05/2013 | Jun 28, 2013 | Mar 29, 2018 |
| E•• B••• E••••••• F•••••••• G•••• S• | Parent | C | yes | 12/2009 | Dec 9, 2011 | Mar 29, 2018 |
| E•• E••••••• F•••••••• G•••• L••• | Parent | E | yes | 12/2009 | Dec 9, 2011 | Mar 29, 2018 |
| E•• I••••••••• A• | Parent | E | yes | 03/2007 | Nov 30, 2016 | Mar 29, 2018 |
| E•• I••••••••• S•••••••• I••• | SHAREHOLDER/PARENT CO. | E | yes | 05/1988 | Aug 2, 2013 | Mar 29, 2018 |
| E••••••• A••••• S••••• | Shareholder | C | yes | 06/2009 | Nov 30, 2016 | Mar 29, 2018 |
| E••••••• F•••••••• G•••• ••••••••• S• | Parent | E | yes | 12/2009 | Nov 30, 2016 | Mar 29, 2018 |
| P•••••• G• H•••••• S••• | Shareholder | D | yes | 06/2009 | Nov 30, 2016 | Mar 29, 2018 |
| P•••••• F•••••••• H••••••• L•••••• | Parent | E | yes | 12/2009 | Dec 9, 2011 | Mar 29, 2018 |
| S••••••••• M••••••• D• | CHIEF COMPLIANCE OFFICER | Na | yes | 10/2015 | Dec 16, 2015 | Mar 29, 2018 |
| S••••• B•••••• O• | MANAGING DIRECTOR | Na | yes | 01/2012 | Mar 30, 2012 | Mar 29, 2018 |
| B••••••• L•••••• ••• | Shareholder | C | no | 11/2016 | Nov 30, 2016 | Mar 29, 2018 |
| n/a |
| n/a |
| N |
| yes |
| n/a |
| E•• A•••• M••••••••• ••• L•••••• | n/a | n/a | n/a | N | yes | n/a |
| E•• B••• ••••••••• S••• | n/a | n/a | n/a | N | yes | n/a |
| E•• B••• • T•••• •••••••• L••• | n/a | n/a | n/a | N | yes | n/a |
| E•• B••• S• | n/a | n/a | n/a | N | yes | n/a |
| E•• C•••••• I••••••••• C•••• | n/a | Former SEC adviser | n/a | N | yes | n/a |
| E•• W••••• M••••••••• ••••••• L••• | n/a | n/a | n/a | N | yes | n/a |
| $226M |
| $94.3M |
| 8 |
| 2 |
| 0 |
| 13 |
| $89.3M |
| 2016 | Mar 31, 2017 | $911M | $692M | 10 | 2 | n/a | 29 | $437M |
| 2015 | Mar 24, 2016 | $1.3B | $1.0B | 20 | 3 | n/a | 29 | $437M |
| 2014 | Mar 30, 2015 | $2.2B | $1.4B | 29 | 8 | n/a | 38 | $635M |
| 2013 | Mar 27, 2014 | $1.2B | $1.1B | 30 | 8 | n/a | 39 | $810M |
| 2012 | Apr 1, 2013 | $1.3B | $1.2B | 29 | 8 | n/a | 52 | $952M |
| 2011 | Mar 30, 2012 | $1.4B | $1.3B | n/a | n/a | n/a | 57 | $1.0B |
| MIAMI, FL |
| Team lift out |
| RIA to state RIA |
| 12.5% |
| X• A••••••• U•• I••• | 2 | Mar 6, 2017 | Jun 15, 2018 | MIAMI, FL | Team lift out | Other | 7.4% |
| W•••• F•••• A••••••• | 2 | Nov 28, 2016 | Nov 21, 2016 | MIAMI, FL | Team lift out | Other | 6.9% |