DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

C•••••• I••••••••• M••••••••• C•

Wealth manager with institutional or fund businessSEC-registered· Miami, Floridawebsite

Wealth manager with institutional or fund business, based in Miami, Florida, reporting $296M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $296M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +54%
Private clients: 20% of RAUM, $59.4M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-03-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +54% over the last fiscal year, to $296M.
2026-03-18
RAUM a year earlier $192MRAUM now $296M
RAUM (Item 5.F) moved from $191,541,556 to $295,841,392 (+54.0%) between the annual amendments of 2025-03-17 and 2026-03-18; the peer median change was +15.0% (4548 comparable advisers, 96.0th percentile of changes)
2026-03-18
RAUM (Item 5.F) 295841392Peer median 0.152187099898764
4 published business contact points are on record, each with its source.
Contact points 4

Every filed figure, and the identifiersCRD 108642 · SEC 801-54716 · 21 filingsShow

CRD 108642SEC 801-54716First filing on the tape Apr 2, 2012, latest Mar 18, 2026SEC status approved since Jul 21, 1997IAPD

RAUM

$296M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

20%

$59.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$148M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM$296M as of Mar 18, 2026

Apr 2, 2012$208M then

HNW client RAUM$59.4M as of Mar 18, 2026

Mar 9, 2018$37.8M then

State-registered IARs (5.B.3)2 as of Mar 18, 2026

Apr 2, 20120 then

Employees (5.A)3 as of Mar 18, 2026

Apr 2, 20133 then

Private funds1 as of Mar 21, 2017

Apr 2, 20121 then

RAUM +54% over the last fiscal year+9.7% a year over threeIARs 1 to 2

Practice profile

derived from the filing of Mar 18, 2026; every figure names its basis

Archetypes, each a printed rule

Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent

RAUM per advisor: $148MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $415,176derivedHNW RAUM over HNW clients
Average account: $2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 80%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: +54%derivedbetween the last two annual amendments
Advisor growth, one year: +100%derivedItem 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 institutionsreportedItem 5.G
Custody: $748,175, 1 clientsreportedItem 9.A
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Sovereign wealth funds$236M80%
High-net-worth individuals$59.4M20%

Individual clients: n/areported
HNW clients: 143reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 144reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $748,175 for 1 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=0.2 fund_share=0.0 institutional_share=0.8 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
K•••• A•••••	Miami, Fl	Jul 1, 2003	41 y	0
A••• J• P• W•••••	Miami, Fl	Jul 1, 2003	26 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

Every departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
T•••••• C•••••• L•no longer reported	Hedge Fund	$6.4M	14	Apr 2, 2012

Owners and control persons

Schedule A and B, latest filing

A•••••• K•••• · President, Chief Compliance Officercontrol
since 05/2004 · owns 75% or more

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, Fl · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

high institutional concentrationStatic outlier · filing Mar 18, 2026
institutional share of RAUM of 80% against a peer median of 0% (5679 comparable advisers, 100.0th percentile, 26.8 robust deviations)
peers: independent wealth managers, $100M to $500M (5,679) · 100% percentile
RAUM up 50 %Change between filings · filing Mar 18, 2026
RAUM (Item 5.F) moved from $191,541,556 to $295,841,392 (+54.0%) between the annual amendments of 2025-03-17 and 2026-03-18; the peer median change was +15.0% (4548 comparable advisers, 96.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (4,548) · 96% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Employees · 2 to 3
Nov 12, 2025 to Mar 18, 2026
State-registered IARs · 1 to 2
Nov 12, 2025 to Mar 18, 2026
Discretionary RAUM · $192M to $296M
Nov 12, 2025 to Mar 18, 2026
HNW RAUM · $52.2M to $59.4M
Nov 12, 2025 to Mar 18, 2026
RAUM · $192M to $296M
Nov 12, 2025 to Mar 18, 2026
Accounts · 143 to 144
Nov 12, 2025 to Mar 18, 2026
Advisory employees · 1 to 2
Nov 12, 2025 to Mar 18, 2026
HNW clients · 142 to 143
Nov 12, 2025 to Mar 18, 2026
Assets in custody · $245,664 to $748,175
Nov 12, 2025 to Mar 18, 2026
Financial planning clients · 0 to 0
Mar 17, 2025 to Nov 12, 2025
Accounts · 162 to 143
Mar 25, 2024 to Mar 17, 2025
Advisory employees · 2 to 1
Mar 25, 2024 to Mar 17, 2025
HNW clients · 160 to 142
Mar 25, 2024 to Mar 17, 2025
Assets in custody · $299,626 to $245,664
Mar 25, 2024 to Mar 17, 2025
Employees · 3 to 2
Mar 25, 2024 to Mar 17, 2025
State-registered IARs · 2 to 1
Mar 25, 2024 to Mar 17, 2025
Discretionary RAUM · $178M to $192M
Mar 25, 2024 to Mar 17, 2025
HNW RAUM · $48.4M to $52.2M
Mar 25, 2024 to Mar 17, 2025
RAUM · $178M to $192M
Mar 25, 2024 to Mar 17, 2025
Accounts · 160 to 162
Sep 1, 2023 to Mar 25, 2024
HNW clients · 159 to 160
Sep 1, 2023 to Mar 25, 2024
Discretionary RAUM · $224M to $178M
Sep 1, 2023 to Mar 25, 2024
HNW RAUM · $45.5M to $48.4M
Sep 1, 2023 to Mar 25, 2024
RAUM · $224M to $178M
Sep 1, 2023 to Mar 25, 2024
Accounts · 107 to 160
Nov 11, 2022 to Mar 24, 2023
Corporate clients · 26.0 to unset
Nov 11, 2022 to Mar 24, 2023
HNW clients · 80 to 159
Nov 11, 2022 to Mar 24, 2023
Assets in custody · $8.4M to $299,626
Nov 11, 2022 to Mar 24, 2023
Discretionary RAUM · $252M to $224M
Nov 11, 2022 to Mar 24, 2023
HNW RAUM · $25.8M to $45.5M
Nov 11, 2022 to Mar 24, 2023
RAUM · $252M to $224M
Nov 11, 2022 to Mar 24, 2023
Accounts · 108 to 107
Dec 3, 2021 to Mar 31, 2022
Corporate clients · 24 to 26
Dec 3, 2021 to Mar 31, 2022
HNW clients · 84 to 80
Dec 3, 2021 to Mar 31, 2022
Assets in custody · unset to 8355598.0
Dec 3, 2021 to Mar 31, 2022
Custody of client assets · false to true
Dec 3, 2021 to Mar 31, 2022
Discretionary RAUM · $247M to $252M
Dec 3, 2021 to Mar 31, 2022
HNW RAUM · $28.0M to $25.8M
Dec 3, 2021 to Mar 31, 2022
RAUM · $247M to $252M
Dec 3, 2021 to Mar 31, 2022
Accounts · 110 to 108
Jun 24, 2020 to Mar 22, 2021

Signals

1 dated events

••• Locked
Mar 18, 2026 · RAUM change · derived

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 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 18, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 18, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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: Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor: $148Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026