DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

C••••••• C•••••• A••••••• L••

CRD 139895

SAN JUAN, PR

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Search this name across graphsid dfx:ria:b38930d3-3391-d968-f161-0bf5793320b6

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 8
On other graphs: 0
Observed: Apr 2, 2012 to Mar 27, 2026
38 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=true related_bank=true bd_reps=1.0
Regulatory AUM: $10B••• Locked
Discretionary RAUM: $10B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $1.5Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••• D••••• L••••	n/a	New York, NY \| SAN JUAN, PR	3	17	4	yes
J•••• B••••••	n/a	Edgewater, MD \| SAN JUAN, PR	3	12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••• R•••••• D••••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2015	Feb 18, 2015	Jun 12, 2024
M•••••• D••••• S••••	SENIOR PORTFOLIO MANAGER	A	yes	07/2006	Apr 2, 2012	Jun 12, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R••••••• A•••••••• I•••	n/a	Asset manager	$2.6B	N	yes	n/a
A••••••••• A••••••• L••	n/a	Asset manager	$433M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	2	yes

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	4	1

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	$10B	$10B	1.7%	$7.1B	13.0%	17	12	2	2

Relationships

Affiliated with (7)

← A••••••••• A••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← R••••••• A•••••••• I•••Registered adviserother investment adviser, bank, control, common control
factForm ADV
→ R••••••• A•••••••• I•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ A••••••••• A••••••• L••Registered adviserother investment adviser, bank, common control

Dated events

Occurred
Mar 27, 2026
Ria office opened
••• Locked
Form ADVobserved today
Occurred
Mar 25, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$2.2B
Occurred
Jul 8, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 29, 2023
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b38930d3-3391-d968-f161-0bf5793320b6
First observed: Apr 2, 2012
Last observed: Mar 27, 2026 6 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.