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.

Former SEC-registered adviser

Efg Capital Advisors Inc.

Former SEC-registered adviserMiami, FloridaCRD 112224SEC 801-32497IAPD
Latest filing Mar 29, 2018
First filing on the tape Dec 9, 2011 · 17 filings
RAUM
$226M
reported, Item 5.F
Discretionary
42%
of RAUM
Private clients
100%
$226M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
13
$89.3M gross assets
History
17 filings and snapshots on the tape
RAUM$226M as of Mar 29, 2018
Mar 30, 2012$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 29, 2018
Apr 1, 20136 then
Employees (5.A)8 as of Mar 29, 2018
Apr 1, 201329 then
Private funds13 as of Mar 29, 2018
Mar 30, 201257 then
RAUM -75% over the last fiscal year-53% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
RAUM per advisor
$113MderivedRAUM 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
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
42%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-75%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 assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$39.5M, 22 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$226M100%
Individual clients
128reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
128reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$39.5M for 22 clientsreported
Compensation
% of AUM, fixed, performancereported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    58 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Pr54aHedge Fund$74.5M10Mar 30, 2012
    Pr09gHedge Fund$61.5M25Mar 30, 2012
    Pr09dHedge Fund$42.2M18Mar 30, 2012
    Pr03eHedge Fund$28.2M12Mar 30, 2012
    Pr01aHedge Fund$28.0M15Mar 30, 2012
    Pr87aHedge Fund$26.6M1Mar 30, 2012
    Pr29bHedge Fund$25.5M10Mar 30, 2012
    Pr12fHedge Fund$25.4M16Mar 30, 2012
    Pr12eHedge Fund$25.4M24Mar 30, 2012
    Pr12dHedge Fund$22.8M22Mar 30, 2012
    Pr09nno longer reportedHedge Fund$20.8M74Mar 30, 2012
    Pr02eno longer reportedHedge Fund$20.2M1Mar 30, 2012
    Pr07bno longer reportedHedge Fund$19.5M2Mar 30, 2012
    Pr07ino longer reportedHedge Fund$19.0M1Mar 30, 2012
    Pr42ano longer reportedHedge Fund$18.1M1Mar 30, 2012
    Pr96ano longer reportedHedge Fund$15.8M1Mar 30, 2012
    Pr09bHedge Fund$15.3M20Mar 30, 2012
    Pr09hno longer reportedHedge Fund$14.7M53Mar 30, 2012
    Pr06iHedge Fund$12.8M1Mar 30, 2012
    Pr12hno longer reportedHedge Fund$9.5M5Apr 1, 2013
    Pr68aOther Private Fund$8.5M87Mar 30, 2012
    Pr09qno longer reportedHedge Fund$7.3M52Mar 30, 2012
    Pr09rno longer reportedHedge Fund$6.9M28Mar 30, 2012
    Pr10ano longer reportedHedge Fund$5.2M16Mar 30, 2012
    Pr46cHedge Fund$5.2M1Mar 30, 2012
    Pr55dHedge Fund$4.4M1Mar 30, 2012
    Pr07jno longer reportedHedge Fund$4.3M1Mar 30, 2012
    Pr89ano longer reportedHedge Fund$4.2M10Mar 30, 2012
    Pr05cno longer reportedOther Private Fund$3.9M3Mar 30, 2012
    Pr00dno longer reportedHedge Fund$3.8M6Mar 30, 2012
    Pr00cno longer reportedHedge Fund$3.6M8Mar 30, 2012
    Pr93aHedge Fund$3.5M1Mar 30, 2012
    Pr52aHedge Fund$3.1M10Mar 30, 2012
    Pr46ano longer reportedHedge Fund$3.1M1Mar 30, 2012
    Pr04aHedge Fund$2.8M1Mar 30, 2012
    Pr55cOther Private Fund$2.1M1Mar 30, 2012
    Pr90ano longer reportedHedge Fund$1.7M1Mar 30, 2012
    Pr06nHedge Fund$1.7M1Apr 1, 2013
    Pr06vno longer reportedHedge Fund$1.7M1Mar 30, 2012
    Pr07kno longer reportedHedge Fund$1.5M1Mar 30, 2012
    All funds of Efg Capital Advisors Inc.
    Owners and control persons
    Schedule A and B, latest filing
    • Sixto Campano · Chief Executive Officercontrol
      since 10/2014 · owns less than 5%
    • Manuel Victor Echevarria · Directorcontrol
      since 05/2013 · owns less than 5%
    • D Michael Schmidtke · Chief Compliance Officercontrol
      since 10/2015 · owns less than 5%
    • O. Blanca Smith · Managing Directorcontrol
      since 01/2012 · owns less than 5%
    • Santos Andre Esteves · Shareholdercontrol
      since 06/2009 · owns 25% to 50% of Btg Pactual Holding S.A.
    Entity owners
    • Efg Investment Services, Inc. · Shareholder/Parent Co.
      direct · owns 75% or more
    • Banco Btg Pactual S.A. · Shareholder
      indirect · owns 75% or more of Btgp-Bsi Limited (Uk)
    • Bdd 2 Trust · Shareholder
      indirect · owns 50% to 75% of Private Financial Holdings Limited
    • Btg Pactual Holding S.A. · Shareholder
      indirect · owns 75% or more of Banco Btg Pactual S.A.
    • Efg Bank European Financial Group Sa · Parent
      indirect · owns 25% to 50% of Efg International Ag
    • Efg European Financial Group Ltd. · Parent
      indirect · owns 75% or more of European Financial Group (Luxembourg) Sa
    • Efg International Ag · Parent
      indirect · owns 75% or more of Efg Investment Services Inc.
    • European Financial Group (Luxembourg) Sa · Parent
      indirect · owns 75% or more of Efg Bank European Financial Group Sa
    • Pactual G7 Holding S.A. · Shareholder
      indirect · owns 50% to 75% of Btg Pactual Holding S.A.
    • Private Financial Holdings Limited · Parent
      indirect · owns 75% or more of Efg European Financial Group Ltd.
    • Btgp-Bsi Limited (Uk) · Shareholder
      indirect · owns 25% to 50% of Efg International Ag
    Related persons
    Schedule D 7.A
    • Asesores Y Gestores Financieros
      broker-dealerinvestment advisern
    • Efg Private Wealth Management (Americas) Corp.
      investment advisercustodiannRAUM $2.3B
    • Efg Asset Management (Switzerland) Sa
      investment advisern
    • Efg Asset Managetment (Uk) Limited
      investment advisern
    • Efg Bank (Luxembourg) S.A.
      custodiann
    • Efg Bank & Trust (Bahamas) Ltd.
      custodiann
    • Efg Bank Sa
      custodiann
    • Efg Capital International Corp.
      broker-dealern
    • Efg Wealth Management (Cayman) Ltd.
      investment advisercustodiann
    Advisers that list Efg Capital Advisors Inc. as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 284 to 128
      Mar 31, 2017 to Mar 29, 2018
    • Individual clients · unset to 128.0
      Mar 31, 2017 to Mar 29, 2018
    • Assets in custody · $219M to $39.5M
      Mar 31, 2017 to Mar 29, 2018
    • Employees · 10 to 8
      Mar 31, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Mar 31, 2017 to Mar 29, 2018
    • Private funds · 29 to 13
      Mar 31, 2017 to Mar 29, 2018
    • Discretionary RAUM · $692M to $94.3M
      Mar 31, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 226327839.0
      Mar 31, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $219M to $132M
      Mar 31, 2017 to Mar 29, 2018
    • RAUM · $911M to $226M
      Mar 31, 2017 to Mar 29, 2018
    • Accounts · 413 to 284
      Nov 30, 2016 to Mar 31, 2017
    • Advisory employees · 3 to 2
      Nov 30, 2016 to Mar 31, 2017
    • Assets in custody · $166M to $219M
      Nov 30, 2016 to Mar 31, 2017
    • Employees · 20 to 10
      Nov 30, 2016 to Mar 31, 2017
    • State-registered IARs · 3 to 2
      Nov 30, 2016 to Mar 31, 2017
    • Discretionary RAUM · $1.0B to $692M
      Nov 30, 2016 to Mar 31, 2017
    • Non-discretionary RAUM · $266M to $219M
      Nov 30, 2016 to Mar 31, 2017
    • RAUM · $1.3B to $911M
      Nov 30, 2016 to Mar 31, 2017
    • Accounts · 549 to 413
      Dec 16, 2015 to Mar 24, 2016
    • Advisory employees · 8 to 3
      Dec 16, 2015 to Mar 24, 2016
    • BD registered reps · 3 to 1
      Dec 16, 2015 to Mar 24, 2016
    • Assets in custody · $377M to $166M
      Dec 16, 2015 to Mar 24, 2016
    • Employees · 29 to 20
      Dec 16, 2015 to Mar 24, 2016
    • State-registered IARs · 0 to 3
      Dec 16, 2015 to Mar 24, 2016
    • Private funds · 38 to 29
      Dec 16, 2015 to Mar 24, 2016
    • Discretionary RAUM · $1.4B to $1.0B
      Dec 16, 2015 to Mar 24, 2016
    • Non-discretionary RAUM · $337M to $266M
      Dec 16, 2015 to Mar 24, 2016
    • RAUM · $1.7B to $1.3B
      Dec 16, 2015 to Mar 24, 2016
    • Related bank · true to false
      Aug 7, 2015 to Dec 16, 2015
    • Accounts · 613 to 549
      Mar 30, 2015 to Aug 7, 2015
    • Assets in custody · $960M to $377M
      Mar 30, 2015 to Aug 7, 2015
    • Discretionary RAUM · $1.4B to $1.4B
      Mar 30, 2015 to Aug 7, 2015
    • Non-discretionary RAUM · $772M to $337M
      Mar 30, 2015 to Aug 7, 2015
    • RAUM · $2.2B to $1.7B
      Mar 30, 2015 to Aug 7, 2015
    • Accounts · 450 to 613
      Dec 26, 2014 to Mar 30, 2015
    • Assets in custody · $1.0B to $960M
      Dec 26, 2014 to Mar 30, 2015
    • Insurance-licensed employees · 0 to 2
      Dec 26, 2014 to Mar 30, 2015
    • Financial planning clients · 0 to unset
      Dec 26, 2014 to Mar 30, 2015
    • State-registered IARs · 8 to 0
      Dec 26, 2014 to Mar 30, 2015
    • Private funds · 39 to 38
      Dec 26, 2014 to Mar 30, 2015
    Signals
    1 dated events
    • Efg Capital Advisors Inc. reported RAUM $226.3M, down 75% from $911.3M (2017-03-31 to 2018-03-29)
      Mar 29, 2018 · 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