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

L••••• S••••••••• C•••••••••

Former SEC-registered adviserMiami, FloridaCRD 115624SEC 801-129796IAPD
Latest filing Apr 23, 2024
First filing on the tape Feb 28, 2024 · 5 filings
RAUM
$736M
reported, Item 5.F
Discretionary
100%
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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$736M as of Apr 23, 2024
Feb 28, 2024$736M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Apr 23, 2024
Feb 28, 20242 then
Employees (5.A)2 as of Apr 23, 2024
Feb 28, 20242 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 23, 2024; every figure names its basis
RAUM per advisor
$368MderivedRAUM 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
$123MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Banks and thrifts$689M94%
  • Insurance companies$47.0M6.4%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
0reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••••• P•••• D••••• · Chief Compliance Officercontrol
    since 07/2021 · owns less than 5%
  • Z•••••• M•••• J••••••• · Shareholdercontrol
    since 06/2001 · owns 10% to 25%
  • Z•••••• R••••• J••••• S• · Shareholdercontrol
    since 06/2001 · owns 50% to 75%
  • E••••• M•••••• Z••••• · Shareholder
    since 12/2011 · owns 10% to 25%
  • F••••••• L•••• · Finop, Pfo, Poo
    since 09/2018 · owns less than 5%
  • N••••••• J••• P•••• · Ceo
    since 09/2020 · owns less than 5%
Related persons
Schedule D 7.A
Advisers that list L••••• S••••••••• C••••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Related adviser · false to true
    Mar 28, 2024 to Apr 23, 2024
Signals
1 dated events
  • L••••• S••••••••• C••••••••• filed its initial SEC registration (Form ADV)
    Feb 28, 2024 · 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