DFX Intelligence

N•••••••• 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 none

N•••••••• A•••• M••••••••• L••

CRD 117567

MIAMI, FL

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Search this name across graphsid dfx:ria:b15b35b2-a494-d235-28a2-952110e42117

Data as of Mar 6, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 45
Dated events: 3
On other graphs: 0
Observed: Mar 28, 2012 to Mar 6, 2019
30 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 0
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-71727
CRD: 117567

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• P•••• E•••••	President	Na	yes	08/2017	Aug 9, 2017	Mar 6, 2019
H••••••••• R•••	Trustee	E	yes	10/2011	Feb 28, 2017	Mar 6, 2019
H••••••••• R•••

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••••••• C•••••• A••••••• L••	n/a	Former SEC adviser	$198M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	n/a	$129M	n/a	$347M	n/a	0	14	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W•••••• I••••••••• S•••••••••	5	Dec 11, 2018	Nov 28, 2018	MIAMI, FL	Firm absorbed	RIA to RIA	71.4%
I••••••• A••••••• S•••••••• L••	4	Jul 31, 2017	Jul 31, 2017

Relationships

Affiliated with (3)

→ B•••••••• C•••••• A•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
← B•••••••• C•••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← B•••••••• C•••••• A•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV

Controls (11)

← S••••• H•••••• E•••••Owner

Dated events

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

Occurred
Mar 29, 2018
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago

Show 2 bookkeeping events

Occurred
Dec 26, 2018
••• Locked
Occurred
Mar 29, 2018
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b15b35b2-a494-d235-28a2-952110e42117
First observed: Mar 28, 2012
Last observed: Mar 6, 2019 91 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.