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

A••• F•••••••• A••••••••• I••

Former SEC-registered adviserBoca Raton, FloridaCRD 109315SEC 801-106548IAPD
Latest filing Jan 13, 2020
First filing on the tape Mar 30, 2012 · 14 filings
RAUM
$161M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$161M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$161M as of Mar 28, 2019
Mar 30, 2012$70.4M then
HNW client RAUM$112M as of Mar 28, 2019
Mar 27, 2018$117M then
State-registered IARs (5.B.3)2 as of Mar 28, 2019
Mar 30, 20120 then
Employees (5.A)5 as of Mar 28, 2019
Mar 28, 20164 then
Private funds: no history
RAUM -3.1% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 13, 2020; every figure names its basis
RAUM per advisor
$80.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
99derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$254,438derivedRAUM 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
-3.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.6%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$114M, 185 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
  • is an insurance broker or agent (6.A.6)
  • 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
  • High-net-worth individuals$112M70%
  • Individuals$48.7M30%
Individual clients
132reported
HNW clients
65reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
632reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$114M for 185 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A•••• M•••• B••••••••• · President, Chief Compliance Officercontrol
    since 06/1995 · owns less than 5%
Entity owners
  • M••••• G••••• A••••••• I••• · Parent Company
    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 · 621 to 632
    Mar 30, 2018 to Mar 28, 2019
  • HNW clients · 68 to 65
    Mar 30, 2018 to Mar 28, 2019
  • Individual clients · 124 to 132
    Mar 30, 2018 to Mar 28, 2019
  • Assets in custody · $84.3M to $114M
    Mar 30, 2018 to Mar 28, 2019
  • Discretionary RAUM · $166M to $161M
    Mar 30, 2018 to Mar 28, 2019
  • HNW RAUM · $117M to $112M
    Mar 30, 2018 to Mar 28, 2019
  • Individual RAUM · $48.9M to $48.7M
    Mar 30, 2018 to Mar 28, 2019
  • RAUM · $166M to $161M
    Mar 30, 2018 to Mar 28, 2019
  • Accounts · 594 to 621
    Mar 29, 2017 to Mar 27, 2018
  • Advisory employees · 3 to 2
    Mar 29, 2017 to Mar 27, 2018
  • Charity clients · unset to 0.0
    Mar 29, 2017 to Mar 27, 2018
  • Corporate clients · unset to 0.0
    Mar 29, 2017 to Mar 27, 2018
  • HNW clients · unset to 68.0
    Mar 29, 2017 to Mar 27, 2018
  • Individual clients · unset to 124.0
    Mar 29, 2017 to Mar 27, 2018
  • Pension plan clients · unset to 0.0
    Mar 29, 2017 to Mar 27, 2018
  • Pooled vehicle clients · unset to 0.0
    Mar 29, 2017 to Mar 27, 2018
  • Assets in custody · unset to 84303404.0
    Mar 29, 2017 to Mar 27, 2018
  • Custody of client assets · false to true
    Mar 29, 2017 to Mar 27, 2018
  • Employees · 4 to 5
    Mar 29, 2017 to Mar 27, 2018
  • State-registered IARs · 3 to 2
    Mar 29, 2017 to Mar 27, 2018
  • Other offices · unset to 0.0
    Mar 29, 2017 to Mar 27, 2018
  • Discretionary RAUM · $131M to $166M
    Mar 29, 2017 to Mar 27, 2018
  • HNW RAUM · unset to 117130391.0
    Mar 29, 2017 to Mar 27, 2018
  • Individual RAUM · unset to 48879479.0
    Mar 29, 2017 to Mar 27, 2018
  • Pension RAUM · unset to 0.0
    Mar 29, 2017 to Mar 27, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Mar 29, 2017 to Mar 27, 2018
  • RAUM · $131M to $166M
    Mar 29, 2017 to Mar 27, 2018
  • Accounts · 569 to 594
    Oct 17, 2016 to Mar 29, 2017
  • Advisory employees · 1 to 3
    Oct 17, 2016 to Mar 29, 2017
  • State-registered IARs · 1 to 3
    Oct 17, 2016 to Mar 29, 2017
  • Discretionary RAUM · $120M to $131M
    Oct 17, 2016 to Mar 29, 2017
  • RAUM · $120M to $131M
    Oct 17, 2016 to Mar 29, 2017
  • Accounts · 556 to 569
    Aug 11, 2015 to Mar 28, 2016
  • Discretionary RAUM · $120M to $120M
    Aug 11, 2015 to Mar 28, 2016
  • RAUM · $120M to $120M
    Aug 11, 2015 to Mar 28, 2016
  • Accounts · 132 to 556
    Jun 15, 2012 to Aug 11, 2015
  • Advisory employees · unset to 1.0
    Jun 15, 2012 to Aug 11, 2015
  • Employees · unset to 4.0
    Jun 15, 2012 to Aug 11, 2015
  • State-registered IARs · 0 to 1
    Jun 15, 2012 to Aug 11, 2015
  • Discretionary RAUM · $70.4M to $120M
    Jun 15, 2012 to Aug 11, 2015
Signals
1 dated events
  • A••• F•••••••• A••••••••• I•• filed its initial SEC registration (Form ADV)
    Aug 11, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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