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.

Former SEC-registered adviser

A••••• A••••••• A•••• M••••••••• C••

Former SEC-registered adviserCoral Gables, FloridaCRD 110035SEC 801-54963IAPD

Latest filing Mar 26, 2024

First filing on the tape Mar 30, 2012 · 39 filings

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

39 filings and snapshots on the tape

RAUM$48.3M as of Mar 22, 2024

Mar 30, 2012$656M then

HNW client RAUM: $0

State-registered IARs (5.B.3)1 as of Mar 22, 2024

Apr 1, 20130 then

Employees (5.A)3 as of Mar 22, 2024

Apr 1, 20137 then

Private funds: no history

RAUM -100% over the last fiscal yearIARs 3 to 1offices 2 to 0

Practice profile

derived from the filing of Mar 26, 2024; every figure names its basis

RAUM per advisor: $0derivedRAUM 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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, 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: -75%derivedbetween the last two annual amendments
Advisor growth, one year: -67%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: pension consulting, otherreportedItem 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

has discretionary authority over which securities are bought or sold (8.C.1)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

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: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 0reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
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

K•••• E• B•••••• to M•••••• C•••••• M••••••••• L••
Dec 31, 2013 · Other

Joined, latest

K•••• E• B•••••• from M••••• S••••••
Aug 29, 2011 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

R••••••••• A••••• N••••••••• · Chief Financial Officercontrol
since 10/2012 · owns less than 5%
S••• J•• R•••••• D•••• · Chairman & Presidentcontrol
since 11/2014 · owns less than 5%
S••• J•• R•••••• D•••• · Shareholdercontrol
since 09/1990 · owns 25% to 50% of A••••• A••••••• I•••
R•••• K••••• A•••••• · Chief Compliance Officer
since 11/2014 · owns less than 5%

Entity owners

A••••• A••••••• I••• · Shareholder
direct · owns 75% or more

Related persons

Schedule D 7.A

A••••• A••••••• C•••••• I•••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 1 to 0
Mar 22, 2024 to Mar 26, 2024
Discretionary RAUM · $48.3M to $0
Mar 22, 2024 to Mar 26, 2024
RAUM · $48.3M to $0
Mar 22, 2024 to Mar 26, 2024
Accounts · 4 to 1
Mar 31, 2023 to Mar 22, 2024
Advisory employees · 3 to 1
Mar 31, 2023 to Mar 22, 2024
BD registered reps · 5 to 3
Mar 31, 2023 to Mar 22, 2024
Employees · 5 to 3
Mar 31, 2023 to Mar 22, 2024
State-registered IARs · 3 to 1
Mar 31, 2023 to Mar 22, 2024
Other offices · 2 to 0
Mar 31, 2023 to Mar 22, 2024
Discretionary RAUM · $193M to $48.3M
Mar 31, 2023 to Mar 22, 2024
HNW RAUM · unset to 0.0
Mar 31, 2023 to Mar 22, 2024
Individual RAUM · unset to 0.0
Mar 31, 2023 to Mar 22, 2024
Pension RAUM · unset to 0.0
Mar 31, 2023 to Mar 22, 2024
Pooled vehicle RAUM · unset to 0.0
Mar 31, 2023 to Mar 22, 2024
RAUM · $193M to $48.3M
Mar 31, 2023 to Mar 22, 2024
Accounts · 9 to 4
Nov 7, 2022 to Mar 31, 2023
Advisory activities · 1 to 2
Nov 7, 2022 to Mar 31, 2023
State-registered IARs · 0 to 3
Nov 7, 2022 to Mar 31, 2023
Discretionary RAUM · $1.3B to $193M
Nov 7, 2022 to Mar 31, 2023
RAUM · $1.3B to $193M
Nov 7, 2022 to Mar 31, 2023
Other offices · 1 to 2
Apr 8, 2022 to Jun 7, 2022
Other offices · 2 to 1
Mar 31, 2022 to Apr 8, 2022
Accounts · 3 to 9
Apr 6, 2021 to Mar 31, 2022
Charity clients · unset to 0.0
Apr 6, 2021 to Mar 31, 2022
Corporate clients · unset to 0.0
Apr 6, 2021 to Mar 31, 2022
HNW clients · unset to 0.0
Apr 6, 2021 to Mar 31, 2022
Individual clients · unset to 0.0
Apr 6, 2021 to Mar 31, 2022
Pension plan clients · unset to 0.0
Apr 6, 2021 to Mar 31, 2022
Pooled vehicle clients · unset to 0.0
Apr 6, 2021 to Mar 31, 2022
Discretionary RAUM · $477M to $1.3B
Apr 6, 2021 to Mar 31, 2022
Non-discretionary RAUM · $49.2M to $0
Apr 6, 2021 to Mar 31, 2022
RAUM · $526M to $1.3B
Apr 6, 2021 to Mar 31, 2022
Advisory employees · 2 to 3
Oct 19, 2020 to Mar 29, 2021
Discretionary RAUM · $545M to $477M
Oct 19, 2020 to Mar 29, 2021
Non-discretionary RAUM · $230M to $49.2M
Oct 19, 2020 to Mar 29, 2021
RAUM · $775M to $526M
Oct 19, 2020 to Mar 29, 2021
Discretionary RAUM · $649M to $545M
Mar 30, 2020 to May 11, 2020
Non-discretionary RAUM · $0 to $230M
Mar 30, 2020 to May 11, 2020
RAUM · $649M to $775M
Mar 30, 2020 to May 11, 2020
Advisory employees · 4 to 2
Jul 17, 2019 to Mar 30, 2020

Signals

7 dated events

••• Locked
Mar 22, 2024 · RAUM change · derived
••• Locked
Mar 22, 2024 · Control person left · inference
••• Locked
Mar 31, 2023 · RAUM change · derived
••• Locked
Mar 31, 2022 · RAUM change · derived
••• Locked
Mar 29, 2021 · RAUM change · derived
••• Locked
Mar 29, 2021 · Control person left · inference
••• Locked
Apr 3, 2019 · 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.

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