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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

AVENTURA CAPITAL MANAGEMENT, LLC

CRD 142478

BOCA RATON, FL

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 graphsid dfx:ria:76dcdd74-2e15-1e0b-696c-1791e983bbcc

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Nov 9, 2011 to Mar 27, 2026
31 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=true related_bank=false bd_reps=4.0
Regulatory AUM: $48.4MItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $39.8M
Private client RAUM: $48.4MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $12.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 252
Individual clients: 113
High net worth clients: 13
SEC number: 801-67322
CRD: 142478
Filings on the tape: 31
First filed: Nov 9, 2011
Latest filed: Mar 27, 2026
Organised: Limited Liability Company, FL
Website: aventuracap.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DANIEL THOMAS CAUCEGLIA	n/a	BOCA RATON, FL	19	24	2	yes
TIMOTHY BRIAN MOY	n/a	BOCA RATON, FL	18	19	1	yes
LORETTA GLORIA SCARPETTISCROGGINS	n/a	Exeter, NH \| BOCA RATON, FL	15	40	3	no
JUAN LOPEZ	n/a	BOCA RATON, FL	8	12	n/a	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
AVENTURA HOLDINGS, LLC	Member	E	yes	08/2006	Nov 9, 2011	Apr 9, 2024
CAUCEGLIA, DANIEL, THOMAS	Member	E	yes	08/2006	Nov 9, 2011	Apr 9, 2024
CAUCEGLIA, DANIEL, THOMAS	MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER/ CHIEF COMPLIANCE OFFICER	Na	yes	12/2006	Nov 9, 2011	Apr 9, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
AVENTURA INSURANCE SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a
AVENTURA SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026	$48.4M	$39.8M	4	3	0	n/a	n/a
2024	Apr 1, 2025	$57.8M	$41.9M	4	3	0	n/a	n/a
2023	Apr 9, 2024	$62.4M	$36.5M	4	3	0	n/a	n/a
2022	Mar 31, 2023	$73.1M	$58.5M	3	3	0	n/a	n/a
2021	Mar 31, 2022	$123M	$45.7M	3	3	0	n/a	n/a
2020	Mar 31, 2021	$221M	$69.2M	3	3	0	n/a	n/a
2019	Apr 8, 2020	$111M	$74.3M	3	3	0	n/a	n/a
2018	Mar 26, 2019	$147M	$38.0M	3	3	0	n/a	n/a
2017	Mar 21, 2018	$178M	$84.0M	3	3	0	n/a	n/a
2016	Mar 24, 2017	$128M	$101M	3	3	n/a	n/a	n/a
2015	Mar 7, 2016	$100M	$91.1M	3	3	n/a	n/a	n/a
2014	Mar 10, 2015	$132M	$83.0M	3	3	n/a	n/a	n/a
2013	Mar 25, 2014	$119M	$75.0M	3	3	n/a	n/a	n/a
2012	Mar 28, 2013	$105M	$81.0M	3	3	n/a	n/a	n/a
2011	Mar 26, 2012	$106M	$78.0M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$48.4M	$57.8M	-16.3%	$73.1M	-12.8%	4	4	0	0

Relationships

Registered with (7)

← JUAN LOPEZAdvisorregistration: current employment
Jan 22, 2018 to presentfactForm ADV
← LORETTA GLORIA SCARPETTISCROGGINSAdvisorregistration: previous registration
Oct 16, 2008 to Sep 15, 2009factForm ADV
← TIMOTHY BRIAN MOYAdvisorregistration: previous registration
Nov 14, 2007 to Dec 31, 2010factForm ADV
← DANIEL THOMAS CAUCEGLIAAdvisorregistration: previous registration
Dec 4, 2006 to Dec 31, 2010factForm ADV
← ROBERT L ARNOLDAdvisorregistration: previous registration
Oct 6, 2008 to Sep 11, 2009factForm ADV
← KENDALL SAVAGE BORCHARDTAdvisorregistration: previous registration
Nov 7, 2008 to Jul 20, 2009factForm ADV
← MATTHEW RADCLIFF LOWERYAdvisorregistration: previous registration
Jan 22, 2009 to Mar 11, 2009factForm ADV

Controls (2)

← CAUCEGLIA, DANIEL, THOMASOwnerMEMBER, ownership code E, individual
Nov 9, 2011 to Apr 9, 2024factForm ADV
← AVENTURA HOLDINGS, LLCOwnerMEMBER, ownership code E, domestic entity
Nov 9, 2011 to Apr 9, 2024factForm ADV

Dated events

Occurred
Mar 31, 2021
Regulatory AUM changed
Aventura Capital Management, Llc reported RAUM $220.9M, up 98% from $111.3M (2020-05-04 to 2021-03-31)
Form ADVobserved 4 days ago
$110M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:76dcdd74-2e15-1e0b-696c-1791e983bbcc
First observed: Nov 9, 2011
Last observed: Mar 27, 2026 5 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.

AVENTURA CAPITAL MANAGEMENT, LLC

CRD 142478

BOCA RATON, FL

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 graphsid dfx:ria:76dcdd74-2e15-1e0b-696c-1791e983bbcc

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:56 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DANIEL THOMAS CAUCEGLIA

n/a

BOCA RATON, FL

yes

TIMOTHY BRIAN MOY

n/a

BOCA RATON, FL

yes

LORETTA GLORIA SCARPETTISCROGGINS

n/a

Exeter, NH | BOCA RATON, FL

JUAN LOPEZ

n/a

BOCA RATON, FL

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AVENTURA HOLDINGS, LLC

Member

yes

08/2006

Nov 9, 2011

Apr 9, 2024

CAUCEGLIA, DANIEL, THOMAS

Member

yes

08/2006

Nov 9, 2011

Apr 9, 2024

CAUCEGLIA, DANIEL, THOMAS

MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER/ CHIEF COMPLIANCE OFFICER

yes

12/2006

Nov 9, 2011

Apr 9, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AVENTURA INSURANCE SERVICES, LLC

n/a

yes

n/a

AVENTURA SECURITIES, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$48.4M

$39.8M

n/a

2024

Apr 1, 2025

$57.8M

$41.9M

n/a

2023

Apr 9, 2024

$62.4M

$36.5M

n/a

2022

Mar 31, 2023

$73.1M

$58.5M

n/a

2021

Mar 31, 2022

$123M

$45.7M

n/a

2020

Mar 31, 2021

$221M

$69.2M

n/a

2019

Apr 8, 2020

$111M

$74.3M

n/a

2018

Mar 26, 2019

$147M

$38.0M

n/a

2017

Mar 21, 2018

$178M

$84.0M

n/a

2016

Mar 24, 2017

$128M

$101M

n/a

2015

Mar 7, 2016

$100M

$91.1M

n/a

2014

Mar 10, 2015

$132M

$83.0M

n/a

2013

Mar 25, 2014

$119M

$75.0M

n/a

2012

Mar 28, 2013

$105M

$81.0M

n/a

2011

Mar 26, 2012

$106M

$78.0M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$48.4M

$57.8M

-16.3%

$73.1M

-12.8%