DFX Intelligence

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

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

A•••• O•• A•••• M••••••••• L••

CRD 168447

MIAMI, FL

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Data as of Mar 17, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 11, 2013 to Mar 17, 2014
10 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $29.0M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• O•• H•••••••• L••	Shareholder	E	yes	07/2013	Jul 11, 2013	Mar 17, 2014
K•••• J••••	MANAGING PARTNER	Na	yes	07/2013	Jul 11, 2013	Mar 17, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••• O•• C•••••• M••••••••• L••	n/a	Former SEC adviser	$2.1M	N	yes	n/a
A•••• O•• F•••••••• G••••• L••	n/a	n/a	n/a	N	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 17, 2014	$29.0M	$0	2	1	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$29.0M	n/a	n/a	n/a	n/a	2	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ A•••• O•• F•••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (2)

← K•••• J••••OwnerMANAGING PARTNER, ownership code NA, individual
Jul 11, 2013 to presentfactForm ADV
← A•••• O•• H•••••••• L••OwnerSHAREHOLDER, ownership code E, domestic entity
Jul 11, 2013 to presentfactForm ADV

Owns (1)

Dated events

Occurred
Jul 11, 2013
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 11, 2013
Last observed: Mar 17, 2014 152 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.