DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

U•••••••• F•••••••• S••••••• I•••

CRD 131558

GUAYNABO, PR

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:9414f027-eb8c-43f9-1579-c740ead89151

Data as of Feb 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 7
On other graphs: 0
Observed: Jan 30, 2012 to Feb 11, 2026
12 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $325M••• Locked
Discretionary RAUM: $325M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $325Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
N•••• I••••• M•••••••••	n/a	GUAYNABO, PR	4	11	2	yes

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• J••• C•••••	EXECUTIVE REPRESENTATIVE, FINOP	Na	yes	03/2004	Jan 30, 2012	Feb 14, 2024
M••••••••• N•••• I•••••	CHIEF COMPLIANCE OFFICER	Na	yes	09/2022	Sep 29, 2022	Feb 14, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
U•••••••• L••• I•••••••• C••••••	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
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	0	0	0.0%	0	0	0	0	0

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	$325M	$339M	-4.2%	$396M	-6.4%	3	3	0	0

Relationships

Registered with (3)

← N•••• I••••• M•••••••••Advisorregistration: current employment
Aug 25, 2022 to presentfactForm ADV
← E••••• R••••• B•••••Advisorregistration: previous registration
Apr 4, 2022 to Oct 27, 2022factForm ADV
← M•••••• E• P••••••Advisorregistration: previous registration
Apr 4, 2022 to Jun 15, 2022factForm ADV

Controls (5)

Dated events

Occurred
Oct 27, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 29, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 6, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 15, 2022
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9414f027-eb8c-43f9-1579-c740ead89151
First observed: Jan 30, 2012
Last observed: Feb 11, 2026 7 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.