DFX Intelligence

T•• E••••••••• G••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

T•• E••••••••• G••••• I•••

CRD 105823

MIAMI, FL

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Search this name across graphsid dfx:ria:f3dbf489-732b-816c-14d2-0cc8139cf4de

Data as of Feb 26, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Feb 9, 2012 to Feb 26, 2015
13 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: $245M••• Locked
Discretionary RAUM: $245M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••• B••••• P••••••	CHIEF OPERATING OFFICER	C	yes	12/1992	Feb 9, 2012	Feb 26, 2015
D••• K•••••••• P•••••••	President	D	yes	01/1987	Feb 9, 2012	Feb 26, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••• L•••••	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Feb 26, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$245M	$236M	3.8%	$198M	7.3%	7	8	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P••••••• A••••••• G••••• I•••	2	Sep 4, 2015	Nov 3, 2015	MIAMI, FL	Team lift out	Other	66.7%

Relationships

Controls (2)

← D••• K•••••••• P•••••••OwnerPRESIDENT, ownership code D, individual
Feb 9, 2012 to presentfactForm ADV
← D••• B••••• P••••••OwnerCHIEF OPERATING OFFICER, ownership code C, individual
Feb 9, 2012 to presentfactForm ADV

Owns (1)

← H•••••• C••••• A••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 9, 2012 to presentfactForm ADV

Moved with (1)

→ P••••••• A••••••• G••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f3dbf489-732b-816c-14d2-0cc8139cf4de
First observed: Feb 9, 2012
Last observed: Feb 26, 2015 140 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.