DFX Intelligence

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

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

O••••••• F•••••••• S••••••• L••

CRD 29753

SAN J•••, PR

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Search this name across graphsid dfx:ria:8854e3a4-649e-01b0-2659-686a1e818491

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 32
Dated events: 11
On other graphs: 0
Observed: Mar 31, 2015 to Mar 30, 2026
22 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: mixed wealth managerderivedprivate_client_share=0.47 fund_share=0.0 institutional_share=0.06 related_bd=true related_bank=false bd_reps=18.0
Regulatory AUM: $420M••• Locked
Discretionary RAUM: $0
Private client RAUM: $199Mderived••• Locked
Private client share: 47%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor: $35.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• E•••••• K••••• A••••••	n/a	GUAYNABO, PR \| SAN J•••, PR	5	29	n/a	yes
S••••• A••••• M•••• T•••••	n/a	SAN J•••, PR	5	22

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• M•••••••• J••• R•••••	OPTIONS PRINCIPAL, AND DIRECTOR	Na	yes	11/2014	Mar 31, 2015	Mar 29, 2024
K••••• G•••••	Director	Na	yes	08/2012	Mar 31, 2015	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O•• B••••••	n/a	n/a	n/a	Y	no	n/a
O•• U•• L••	n/a	n/a	n/a	N	yes	n/a
O••••••• B•••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Guaynabo	Pr	United States	1	yes
Guaynabo	Pr	United States	1	yes
Ponce	Pr	United States	1	yes
SAN J•••	Pr	United States	1	yes
SAN J•••	Pr	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	3	-3	25.0%	0	0	0	1	3

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	$420M	$361M	16.3%	$189M	30.5%	28	30	3	5

Relationships

Affiliated with (1)

← O••••••• T••••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Registered with (24)

← J••• A•••••••• J••••• P••••••Advisorregistration: current employment
Jul 15, 2025 to presentfactForm ADV
← J••• M••••••• N••••••Advisorregistration: current employment
May 21, 2025 to presentfactForm ADV
←

Dated events

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

Occurred
Dec 3, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 6, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Oct 28, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8854e3a4-649e-01b0-2659-686a1e818491
First observed: Mar 31, 2015
Last observed: Mar 30, 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.