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••••••• C•••••• M•••••••••

Former SEC-registered adviserCutler Bay, FloridaCRD 109549SEC 801-58048IAPD
Legal name A••••••• C•••••• M••••••••• O• F••••••• I•••
Latest filing Mar 21, 2016
First filing on the tape Dec 13, 2011 · 10 filings
RAUM
$39.1M
reported, Item 5.F
Discretionary
21%
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$39.1M as of Mar 21, 2016
Apr 4, 2012$70.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 21, 2016
Apr 1, 20132 then
Employees (5.A)2 as of Mar 21, 2016
Apr 1, 20135 then
Private funds: no history
RAUM -7.0% over the last fiscal year-14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 21, 2016; every figure names its basis
RAUM per advisor
$39.1MderivedRAUM 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
$591,998derivedRAUM over accounts (5.F.2.f)
Discretionary
21%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-7.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
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
66reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• J••••••• P••• · President/Treasurer/Chief Compliance Officercontrol
        since 10/2008 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • West Palm Beach, FL
      What changed
      consecutive filings, newest first
      • Accounts · 75 to 66
        Jun 24, 2015 to Mar 21, 2016
      • Discretionary RAUM · $29.0M to $8.3M
        Jun 24, 2015 to Mar 21, 2016
      • Non-discretionary RAUM · $13.0M to $30.7M
        Jun 24, 2015 to Mar 21, 2016
      • RAUM · $42.0M to $39.1M
        Jun 24, 2015 to Mar 21, 2016
      • Accounts · 73 to 75
        Jun 23, 2015 to Jun 24, 2015
      • Discretionary RAUM · $30.0M to $29.0M
        Jun 23, 2015 to Jun 24, 2015
      • Non-discretionary RAUM · $12.0M to $13.0M
        Jun 23, 2015 to Jun 24, 2015
      • Accounts · 95 to 73
        Mar 28, 2014 to Mar 26, 2015
      • Discretionary RAUM · $22.7M to $30.0M
        Mar 28, 2014 to Mar 26, 2015
      • Non-discretionary RAUM · $26.6M to $12.0M
        Mar 28, 2014 to Mar 26, 2015
      • RAUM · $49.3M to $42.0M
        Mar 28, 2014 to Mar 26, 2015
      • Accounts · 56 to 95
        Apr 1, 2013 to Mar 28, 2014
      • Advisory employees · 2 to 1
        Apr 1, 2013 to Mar 28, 2014
      • Employees · 5 to 2
        Apr 1, 2013 to Mar 28, 2014
      • HQ city · WEST PALM BEACH to CUTLER BAY
        Apr 1, 2013 to Mar 28, 2014
      • State-registered IARs · 2 to 1
        Apr 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $37.8M to $22.7M
        Apr 1, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $24.6M to $26.6M
        Apr 1, 2013 to Mar 28, 2014
      • RAUM · $62.4M to $49.3M
        Apr 1, 2013 to Mar 28, 2014
      • Accounts · 136 to 56
        Jun 28, 2012 to Apr 1, 2013
      • Advisory employees · unset to 2.0
        Jun 28, 2012 to Apr 1, 2013
      • Employees · unset to 5.0
        Jun 28, 2012 to Apr 1, 2013
      • HQ city · PALMETTO BAY to WEST PALM BEACH
        Jun 28, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 2.0
        Jun 28, 2012 to Apr 1, 2013
      • Discretionary RAUM · $43.8M to $37.8M
        Jun 28, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $22.3M to $24.6M
        Jun 28, 2012 to Apr 1, 2013
      • RAUM · $66.1M to $62.4M
        Jun 28, 2012 to Apr 1, 2013
      • Accounts · 62 to 136
        Apr 4, 2012 to Jun 28, 2012
      • HQ city · WEST PALM BEACH to PALMETTO BAY
        Apr 4, 2012 to Jun 28, 2012
      • Discretionary RAUM · $47.9M to $43.8M
        Apr 4, 2012 to Jun 28, 2012
      • Non-discretionary RAUM · $22.3M to $22.3M
        Apr 4, 2012 to Jun 28, 2012
      • RAUM · $70.3M to $66.1M
        Apr 4, 2012 to Jun 28, 2012
      • Related adviser · false to true
        Apr 4, 2012 to Jun 28, 2012
      • Accounts · 64 to 62
        Feb 8, 2012 to Apr 4, 2012
      • Discretionary RAUM · $47.1M to $47.9M
        Feb 8, 2012 to Apr 4, 2012
      • Non-discretionary RAUM · $22.0M to $22.3M
        Feb 8, 2012 to Apr 4, 2012
      • RAUM · $69.1M to $70.3M
        Feb 8, 2012 to Apr 4, 2012
      Signals
      No event on the tape.
      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