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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Latest filing Mar 31, 2026
First filing on the tape Dec 14, 2011 · 14 filings
SEC status approved since Oct 26, 2020
RAUM
$195M
reported, Item 5.F
Discretionary
43%
of RAUM
Private clients
7.8%
$15.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$97.4M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$195M as of Mar 31, 2026
Mar 28, 2012$35.1M then
HNW client RAUM$10.5M as of Mar 31, 2026
Mar 23, 2021$40.3M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 23, 20213 then
Employees (5.A)3 as of Mar 31, 2026
Mar 23, 20215 then
Private funds: 1
RAUM +28% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $97.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $806,426derivedHNW RAUM over HNW clients
- Average account
- $4.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 43%derivedof RAUM
- Institutional
- 57%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -38%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$111M57%
- Corporations and businesses$68.4M35%
- High-net-worth individuals$10.5M5.4%
- Individuals$4.6M2.4%
- Individual clients
- 29reported
- HNW clients
- 13reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 49reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.08 fund_share=0.0 institutional_share=0.57 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••• D•••• O••••••••Certified Financial Planner | Miami Beach, Fl | Mar 21, 2018 | 22 y | 1 |
| M•••••• B••••••• O••••••• | Miami Beach, Fl | Jan 1, 2026 | 48 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
- C•••• P• O•••••••• to J••• M••••• S••••••••• L••Feb 22, 2021 · RIA to wirehouse
Joined, latest
- S••• D•••• O•••••••• from E•••••••• A•••••••• L••Mar 21, 2018 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••• F••• L••• ••••••••• M••• F••• L••no longer reported | Private Equity Fund | $3.8M | 2 | Feb 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- O•••••••• M••••••• B••••••• · President/Chief Compliance Officercontrolsince 01/1996 · owns 50% to 75%
- O••••••••• D••••• B•••••• · Treasurer/Secretarysince 01/1996 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami Beach, Fl | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 75 to 49Mar 24, 2025 to Mar 31, 2026
- HNW clients · 12 to 13Mar 24, 2025 to Mar 31, 2026
- Individual clients · 56 to 29Mar 24, 2025 to Mar 31, 2026
- Assets in custody · 55807456.0 to unsetMar 24, 2025 to Mar 31, 2026
- Discretionary RAUM · $55.8M to $83.6MMar 24, 2025 to Mar 31, 2026
- HNW RAUM · $5.6M to $10.5MMar 24, 2025 to Mar 31, 2026
- Individual RAUM · $4.0M to $4.6MMar 24, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $96.5M to $111MMar 24, 2025 to Mar 31, 2026
- RAUM · $152M to $195MMar 24, 2025 to Mar 31, 2026
- Accounts · 86 to 75Mar 20, 2024 to Mar 24, 2025
- Corporate clients · 8 to 6Mar 20, 2024 to Mar 24, 2025
- Individual clients · 62 to 56Mar 20, 2024 to Mar 24, 2025
- Assets in custody · $58.4M to $55.8MMar 20, 2024 to Mar 24, 2025
- Financial planning clients · 1-10 to 1-10Mar 20, 2024 to Mar 24, 2025
- HQ city · unset to Mar 20, 2024 to Mar 24, 2025
- HQ state · unset to Mar 20, 2024 to Mar 24, 2025
- Discretionary RAUM · $58.4M to $55.8MMar 20, 2024 to Mar 24, 2025
- HNW RAUM · $7.2M to $5.6MMar 20, 2024 to Mar 24, 2025
- Individual RAUM · $5.0M to $4.0MMar 20, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $97.0M to $96.5MMar 20, 2024 to Mar 24, 2025
- RAUM · $155M to $152MMar 20, 2024 to Mar 24, 2025
- Accounts · 87 to 86Mar 21, 2023 to Mar 20, 2024
- HNW clients · 22 to 12Mar 21, 2023 to Mar 20, 2024
- Individual clients · 53 to 62Mar 21, 2023 to Mar 20, 2024
- Assets in custody · unset to 58358244.0Mar 21, 2023 to Mar 20, 2024
- Employees · 4 to 3Mar 21, 2023 to Mar 20, 2024
- Discretionary RAUM · $56.7M to $58.4MMar 21, 2023 to Mar 20, 2024
- HNW RAUM · $9.6M to $7.2MMar 21, 2023 to Mar 20, 2024
- Individual RAUM · $5.6M to $5.0MMar 21, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $88.2M to $97.0MMar 21, 2023 to Mar 20, 2024
- RAUM · $145M to $155MMar 21, 2023 to Mar 20, 2024
- Accounts · 88 to 87Mar 17, 2022 to Mar 21, 2023
- Corporate clients · 7 to 8Mar 17, 2022 to Mar 21, 2023
- HNW clients · 25 to 22Mar 17, 2022 to Mar 21, 2023
- Individual clients · 55 to 53Mar 17, 2022 to Mar 21, 2023
- Discretionary RAUM · $62.8M to $56.7MMar 17, 2022 to Mar 21, 2023
- HNW RAUM · $13.6M to $9.6MMar 17, 2022 to Mar 21, 2023
- Individual RAUM · $6.3M to $5.6MMar 17, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $108M to $88.2MMar 17, 2022 to Mar 21, 2023
- RAUM · $171M to $145MMar 17, 2022 to Mar 21, 2023
Signals
1 dated events
- O••••••• A•••• M••••••••• I•• filed its initial SEC registration (Form ADV)Sep 24, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- O••••••• A•••• M••••••••• I•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- O•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 305-861-1883reportedpublic record, Form ADV, Mar 31, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $97.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026