DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

A••••• A••••••• A•••• M••••••••• C••

CRD 110035

CORAL GABLES, FL

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Data as of Mar 26, 2024 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 7
On other graphs: 0
Observed: Mar 30, 2012 to Mar 26, 2024
39 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 3
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• A••••••• I•••	Shareholder	E	yes	08/1990	Jun 8, 2016	Mar 26, 2024
R••••••••• A••••• N•••••••••	CHIEF FINANCIAL OFFICER	Na	yes	10/2012	Nov 16, 2012	Mar 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• A••••••• C•••••• I•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$0	$193M	-100.0%	$526M	n/a	3	5	0	2

Relationships

Controls (3)

← S••• J•• R•••••• D••••OwnerSHAREHOLDER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← R••••••••• A••••• N•••••••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Nov 16, 2012 to presentfactForm ADV
← A••••• A••••••• I•••OwnerSHAREHOLDER, ownership code E, domestic entity
Jun 8, 2016 to presentfactForm ADV

Owns (1)

← R•••• K••••• A••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

Order

Occurred
22 Mar 2024
Regulatory AUM changed
••• Locked
Form ADV
down $145M
Occurred
22 Mar 2024
Control person left
••• Locked
Form ADV
Occurred
31 Mar 2023
Regulatory AUM changed
••• Locked
Form ADV
down $1.1B
Occurred
31 Mar 2022
Regulatory AUM changed
••• Locked
Form ADV
$738M
Occurred
29 Mar 2021
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Mar 26, 2024 30 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.

All 13 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 31, 2014	$464M	$412M	15	9	n/a	n/a	n/a
2012	Apr 1, 2013	$563M	$528M	7	5	n/a	n/a	n/a
2011	Mar 30, 2012	$656M	$593M	n/a	n/a	n/a	n/a	n/a