DFX Intelligence
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C••••••• C•••••• M••••••••• I••
Independent wealth manager, based in Miami, Florida, reporting $303M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $303M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +23%
- Private clients
- 100% of RAUM, $303M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $248MRAUM now $303M
- HNW share of RAUM 0.813592847535406
- Contact points 3
Every filed figure, and the identifiersCRD 106130 · SEC 801-31473 · 23 filingsShowHide
CRD 106130SEC 801-31473First filing on the tape Mar 29, 2012, latest Mar 10, 2026SEC status approved since Apr 1, 1988IAPD
RAUM
$303M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$303M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$303M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$303M as of Mar 10, 2026
Mar 29, 2012$99.1M then
HNW client RAUM$247M as of Mar 10, 2026
Mar 29, 2018$107M then
State-registered IARs (5.B.3)0 as of Mar 10, 2026
Mar 29, 20120 then
Employees (5.A)3 as of Mar 10, 2026
Feb 22, 20132 then
Private funds: no history
RAUM +23% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $303MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 265derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$247M81%
- Individuals$56.5M19%
- Individual clients
- 164reported
- HNW clients
- 101reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 265reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• G••• C••••••• | South Miami, Fl | Aug 15, 1989 | 41 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• C•••• G••• · Presidentcontrolsince 01/1992 · owns 75% or more
- C•••••••• K•••• D•••• · Chief Compliance Officercontrolsince 06/2020 · owns less than 5%
Related persons
Schedule D 7.A
- E•••• R•••••••• P•insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 10, 2026HNW share of RAUM moved from 53.0% to 81.0% between the annual amendments of 2025-04-04 and 2026-03-10peers: independent wealth managers, $100M to $500M (5,682)
What changed
consecutive filings, newest first
- Accounts · 263 to 265Apr 4, 2025 to Mar 10, 2026
- Corporate clients · 10.0 to unsetApr 4, 2025 to Mar 10, 2026
- HNW clients · 52 to 101Apr 4, 2025 to Mar 10, 2026
- Individual clients · 201 to 164Apr 4, 2025 to Mar 10, 2026
- Discretionary RAUM · $248M to $303MApr 4, 2025 to Mar 10, 2026
- HNW RAUM · $130M to $247MApr 4, 2025 to Mar 10, 2026
- Individual RAUM · $84.6M to $56.5MApr 4, 2025 to Mar 10, 2026
- RAUM · $248M to $303MApr 4, 2025 to Mar 10, 2026
- Advisory employees · 2 to 1Jan 11, 2024 to Apr 4, 2025
- Corporate clients · 6 to 10Jan 11, 2024 to Apr 4, 2025
- HNW clients · 57 to 52Jan 11, 2024 to Apr 4, 2025
- Individual clients · 199 to 201Jan 11, 2024 to Apr 4, 2025
- Pension plan clients · 1 to 0Jan 11, 2024 to Apr 4, 2025
- Employees · 2 to 3Jan 11, 2024 to Apr 4, 2025
- Financial planning clients · unset to Jan 11, 2024 to Apr 4, 2025
- Discretionary RAUM · $245M to $248MJan 11, 2024 to Apr 4, 2025
- HNW RAUM · $145M to $130MJan 11, 2024 to Apr 4, 2025
- Individual RAUM · $69.2M to $84.6MJan 11, 2024 to Apr 4, 2025
- Pension RAUM · $1.6M to $0Jan 11, 2024 to Apr 4, 2025
- RAUM · $245M to $248MJan 11, 2024 to Apr 4, 2025
- Related insurance company · true to falseJan 11, 2024 to Apr 4, 2025
- Accounts · 265 to 263Jul 26, 2023 to Jan 11, 2024
- Charity clients · 1 to 0Jul 26, 2023 to Jan 11, 2024
- Corporate clients · 7 to 6Jul 26, 2023 to Jan 11, 2024
- HNW clients · 61 to 57Jul 26, 2023 to Jan 11, 2024
- Individual clients · 193 to 199Jul 26, 2023 to Jan 11, 2024
- Pension plan clients · 3 to 1Jul 26, 2023 to Jan 11, 2024
- Discretionary RAUM · $211M to $245MJul 26, 2023 to Jan 11, 2024
- HNW RAUM · $116M to $145MJul 26, 2023 to Jan 11, 2024
- Individual RAUM · $62.9M to $69.2MJul 26, 2023 to Jan 11, 2024
- Pension RAUM · $6.6M to $1.6MJul 26, 2023 to Jan 11, 2024
- RAUM · $211M to $245MJul 26, 2023 to Jan 11, 2024
- Accounts · 259 to 265Mar 30, 2022 to Mar 30, 2023
- Advisory employees · 3 to 2Mar 30, 2022 to Mar 30, 2023
- HNW clients · 58 to 61Mar 30, 2022 to Mar 30, 2023
- Individual clients · 190 to 193Mar 30, 2022 to Mar 30, 2023
- Employees · 3 to 2Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $264M to $211MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $156M to $116MMar 30, 2022 to Mar 30, 2023
- Individual RAUM · $70.3M to $62.9MMar 30, 2022 to Mar 30, 2023
Signals
3 dated events
- ••• LockedMar 10, 2026 · ria principal change · derived
- ••• LockedMar 10, 2026 · Control person left · inference
- ••• LockedAug 31, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 10, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 10, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $303Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026