DFX Intelligence

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

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

E••• P•••••• A•••• M••••••••• L••

CRD 152922

DORADO, PR

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Search this name across graphsid dfx:ria:d5815117-ec25-4b40-4916-055b538d2988

Data as of Jul 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 3
On other graphs: 0
Observed: Feb 1, 2012 to Jul 31, 2026
32 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=0.45 fund_share=0.52 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0
Regulatory AUM: $2.2B••• Locked
Discretionary RAUM: $2.2B
Private client RAUM: $989Mderived••• Locked
Private client share: 45%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor: $218Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P•••••• B• R•••	Chartered Financial Analyst	DORADO, PR	11	15	n/a	no
J•••• R••• N•••••	Chartered Financial Analyst	DORADO, PR	11	18	1

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N•••••• J••••• R•••	M••••••• M••••• P•••••••• I• Q•••• C••••••••• C••••••••• L••	B	yes	12/2009	Jul 31, 2026	Jul 31, 2026
S•••••• P••••• D••••	Member	E	yes	12/2009	Jul 31, 2026	Jul 31, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• • A••••••• G••••• P•••••••• L••	n/a	Independent wealth	$2.3B	N	yes	n/a
G••••• S•••••••• M••••••••• I••	n/a	Independent wealth	$222M	N	no	n/a

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
0	0	0	0.0%	0	0	0	1	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	$2.2B	$1.4B	60.3%	$1.2B	23.0%	14	14	0	0

Relationships

Affiliated with (3)

→ A••••• D•• A•••• M•••••••••Registered adviserother investment adviser
factForm ADV
→ A•••• • A••••••• G••••• P•••••••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← A••••• D•• A•••• M•••••••••Registered adviserother investment adviser
factForm ADV

Controls (3)

← N•••••• J••••• R•••Owner

Dated events

Occurred
Mar 28, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$820M
Occurred
Mar 29, 2021
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$411M
Occurred
Jan 13, 2014
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d5815117-ec25-4b40-4916-055b538d2988
First observed: Feb 1, 2012
Last observed: Jul 31, 2026 54 days 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.