DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

P••••• C•••••• P•••••••• I•••

Former SEC-registered adviserFt. Lauderdale, FloridaCRD 106039SEC 801-46059IAPD
Latest filing Jun 23, 2015
First filing on the tape Mar 30, 2012 · 17 filings
RAUM
$1.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$1.3M gross assets
History
17 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2015
Mar 30, 2012$6.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 30, 2015
Mar 21, 20130 then
Employees (5.A)5 as of Mar 30, 2015
Mar 21, 201348 then
Private funds: 1
RAUM -100% over the last fiscal year-94% a year over threeIARs 0 to 2
Practice profile
derived from the filing of Jun 23, 2015; every figure names its basis
RAUM per advisor
$625,000derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-100%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••• G••••• V•••• F•••Private Equity Fund$1.3M0Mar 13, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • H•••• R•••••• W•••• · President/Ceo/Director/Treasurer/Chief Investment Officercontrol
        since 07/2014 · owns less than 5%
      • H•••• R•••••• W•••• · Shareholdercontrol
        since 09/2014 · owns 75% or more of P••••• H••••••• I•••
      • D••••• J••••••• A•••••••• · Chief Administrative Officer/Chief Compliance Officer
        since 09/2014 · owns less than 5%
      Entity owners
      • P••••• H••••••• I••• · Parent
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 1
        Mar 30, 2015 to May 8, 2015
      • Discretionary RAUM · $0 to $1.3M
        Mar 30, 2015 to May 8, 2015
      • RAUM · $0 to $1.3M
        Mar 30, 2015 to May 8, 2015
      • HQ city · FORT LAUDERDALE to FT. LAUDERDALE
        Mar 13, 2015 to Mar 30, 2015
      • Accounts · 24 to 0
        Dec 26, 2014 to Mar 13, 2015
      • Advisory employees · 9 to 2
        Dec 26, 2014 to Mar 13, 2015
      • Advisory activities · 4 to 3
        Dec 26, 2014 to Mar 13, 2015
      • Employees · 36 to 5
        Dec 26, 2014 to Mar 13, 2015
      • State-registered IARs · 0 to 2
        Dec 26, 2014 to Mar 13, 2015
      • Private funds · unset to 1
        Dec 26, 2014 to Mar 13, 2015
      • Discretionary RAUM · $4.3B to $0
        Dec 26, 2014 to Mar 13, 2015
      • RAUM · $4.3B to $0
        Dec 26, 2014 to Mar 13, 2015
      • Business name · H••••••••• G••••• I••••••••• I••• to P••••• C•••••• P•••••••• I•••
        Jul 31, 2014 to Sep 30, 2014
      • Legal name · H••••••••• G••••• I••••••••• I••• to P••••• C•••••• P•••••••• I•••
        Jul 31, 2014 to Sep 30, 2014
      • Related adviser · true to false
        Jul 31, 2014 to Sep 30, 2014
      • Related bank · true to false
        Jul 31, 2014 to Sep 30, 2014
      • Related broker-dealer · true to false
        Jul 31, 2014 to Sep 30, 2014
      • Accounts · 25 to 24
        Sep 3, 2013 to Mar 31, 2014
      • Advisory employees · 13 to 9
        Sep 3, 2013 to Mar 31, 2014
      • Employees · 46 to 36
        Sep 3, 2013 to Mar 31, 2014
      • Discretionary RAUM · $4.1B to $4.3B
        Sep 3, 2013 to Mar 31, 2014
      • RAUM · $4.1B to $4.3B
        Sep 3, 2013 to Mar 31, 2014
      • Accounts · 40 to 25
        Mar 21, 2013 to Sep 3, 2013
      • Advisory employees · 15 to 13
        Mar 21, 2013 to Sep 3, 2013
      • Employees · 48 to 46
        Mar 21, 2013 to Sep 3, 2013
      • Discretionary RAUM · $5.3B to $4.1B
        Mar 21, 2013 to Sep 3, 2013
      • RAUM · $5.3B to $4.1B
        Mar 21, 2013 to Sep 3, 2013
      • Accounts · 42 to 40
        Feb 6, 2013 to Mar 21, 2013
      • Advisory employees · 16 to 15
        Feb 6, 2013 to Mar 21, 2013
      • Employees · 50 to 48
        Feb 6, 2013 to Mar 21, 2013
      • Discretionary RAUM · $5.2B to $5.3B
        Feb 6, 2013 to Mar 21, 2013
      • RAUM · $5.2B to $5.3B
        Feb 6, 2013 to Mar 21, 2013
      • Accounts · 51 to 42
        Oct 22, 2012 to Feb 6, 2013
      • Advisory employees · unset to 16.0
        Oct 22, 2012 to Feb 6, 2013
      • Employees · unset to 50.0
        Oct 22, 2012 to Feb 6, 2013
      • State-registered IARs · unset to 0.0
        Oct 22, 2012 to Feb 6, 2013
      • Discretionary RAUM · $6.5B to $5.2B
        Oct 22, 2012 to Feb 6, 2013
      • Non-discretionary RAUM · $1,677 to $0
        Oct 22, 2012 to Feb 6, 2013
      • RAUM · $6.5B to $5.2B
        Oct 22, 2012 to Feb 6, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026