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

R• H• H••••••• • C••••••• I•••

Former SEC-registered adviserCRD 113060SEC 801-57463IAPD
Latest filing Jul 29, 2021
First filing on the tape Mar 30, 2012 · 20 filings
RAUM
$41.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$40.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$41.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$41.9M as of Feb 4, 2021
Mar 30, 2012$40.2M then
HNW client RAUM$30.4M as of Feb 4, 2021
Mar 30, 2018$37.3M then
State-registered IARs (5.B.3)1 as of Feb 4, 2021
Mar 28, 20131 then
Employees (5.A)2 as of Feb 4, 2021
Mar 28, 20132 then
Private funds: no history
RAUM -37% over the last fiscal year-7.6% a year over threeIARs 2 to 1offices 0 to 1
Practice profile
derived from the filing of Jul 29, 2021; every figure names its basis
RAUM per advisor
$41.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
85derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$277,794derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-37%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$41.9M, 88 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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$30.4M72%
  • Individuals$10.1M24%
  • Corporations and businesses$1.5M3.6%
Individual clients
67reported
HNW clients
18reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
151reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$41.9M for 88 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A•••• M•••• M•••••Miami Beach, FlNov 21, 201710 y0
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
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
    • H•••••••• R•••••••• H•••••• · Presidentcontrol
      since 04/1994 · owns 75% or more
    • M•••••• A••••• M•••• · Executive Vice President / Chief Compliance Officer
      since 11/2017 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Miami, FL1 employees
    What changed
    consecutive filings, newest first
    • Business name · R••• H••••••• • C••• I•• to R• H• H••••••• • C••••••• I•••
      May 19, 2021 to Jul 29, 2021
    • Legal name · R••• H••••••• • C••• I•• to R• H• H••••••• • C••••••• I•••
      May 19, 2021 to Jul 29, 2021
    • Advisory activities · 2 to 1
      Mar 2, 2021 to May 19, 2021
    • Financial planning clients · 0 to unset
      Mar 2, 2021 to May 19, 2021
    • Other offices · 0 to 1
      Mar 2, 2021 to May 19, 2021
    • Accounts · 164 to 151
      Dec 22, 2020 to Feb 4, 2021
    • HNW clients · 22 to 18
      Dec 22, 2020 to Feb 4, 2021
    • Individual clients · 56 to 67
      Dec 22, 2020 to Feb 4, 2021
    • Assets in custody · unset to 41946894.0
      Dec 22, 2020 to Feb 4, 2021
    • Custody of client assets · false to true
      Dec 22, 2020 to Feb 4, 2021
    • Financial planning clients · 1-10 to 0
      Dec 22, 2020 to Feb 4, 2021
    • State-registered IARs · 2 to 1
      Dec 22, 2020 to Feb 4, 2021
    • Discretionary RAUM · $37.3M to $41.9M
      Dec 22, 2020 to Feb 4, 2021
    • HNW RAUM · $51.7M to $30.4M
      Dec 22, 2020 to Feb 4, 2021
    • Individual RAUM · $14.0M to $10.1M
      Dec 22, 2020 to Feb 4, 2021
    • Non-discretionary RAUM · $29.6M to $0
      Dec 22, 2020 to Feb 4, 2021
    • RAUM · $67.0M to $41.9M
      Dec 22, 2020 to Feb 4, 2021
    • Insurance-licensed employees · 1 to 0
      Jul 13, 2020 to Dec 22, 2020
    • Accounts · 95 to 164
      May 3, 2019 to May 15, 2020
    • HNW clients · 20 to 22
      May 3, 2019 to May 15, 2020
    • Individual clients · 72 to 56
      May 3, 2019 to May 15, 2020
    • Financial planning clients · 11-25 to 1-10
      May 3, 2019 to May 15, 2020
    • Discretionary RAUM · $33.5M to $37.3M
      May 3, 2019 to May 15, 2020
    • HNW RAUM · $44.1M to $51.7M
      May 3, 2019 to May 15, 2020
    • Individual RAUM · $13.0M to $14.0M
      May 3, 2019 to May 15, 2020
    • Non-discretionary RAUM · $24.7M to $29.6M
      May 3, 2019 to May 15, 2020
    • RAUM · $58.2M to $67.0M
      May 3, 2019 to May 15, 2020
    • Accounts · 103 to 95
      Mar 30, 2018 to Mar 22, 2019
    • Corporate clients · 0 to 3
      Mar 30, 2018 to Mar 22, 2019
    • HNW clients · 19 to 20
      Mar 30, 2018 to Mar 22, 2019
    • Individual clients · 84 to 72
      Mar 30, 2018 to Mar 22, 2019
    • Employees · 3 to 2
      Mar 30, 2018 to Mar 22, 2019
    • Insurance-licensed employees · 0 to 1
      Mar 30, 2018 to Mar 22, 2019
    • Financial planning clients · 1-10 to 11-25
      Mar 30, 2018 to Mar 22, 2019
    • State-registered IARs · 1 to 2
      Mar 30, 2018 to Mar 22, 2019
    • Discretionary RAUM · $35.2M to $33.5M
      Mar 30, 2018 to Mar 22, 2019
    • HNW RAUM · $37.3M to $44.1M
      Mar 30, 2018 to Mar 22, 2019
    • Individual RAUM · $15.8M to $13.0M
      Mar 30, 2018 to Mar 22, 2019
    • Non-discretionary RAUM · $17.9M to $24.7M
      Mar 30, 2018 to Mar 22, 2019
    • RAUM · $53.1M to $58.2M
      Mar 30, 2018 to Mar 22, 2019
    Signals
    1 dated events
    • R••••• V••••• left R• H• H••••••• • C••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-11-10)
      Sep 30, 2022 · Advisor changed firm · 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
    $41.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026