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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SEC-registered adviser
C••••••••• M•••• M••••••••• S••••••• L••
Latest filing Jan 16, 2026
First filing on the tape Jan 25, 2012 · 8 filings
SEC status approved since Jun 20, 2025
RAUM
$200M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
93%
$187M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$100M
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
8 filings and snapshots on the tape
RAUM$200M as of Jan 16, 2026
Jan 25, 2012$70.0M then
HNW client RAUM$173M as of Jan 16, 2026
May 30, 2025$139M then
State-registered IARs (5.B.3)2 as of Jan 16, 2026
Jan 25, 20120 then
Employees (5.A)2 as of Jan 16, 2026
May 30, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $100MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $400,607derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 6.5%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 assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$173M86%
- Individuals$14.0M7.0%
- Charitable organizations$12.9M6.5%
- Corporations and businesses$830,7680.4%
- Individual clients
- 53reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 500reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• R••••• N•••••••Certified Financial Planner | Coral Gables, Fl | Mar 24, 2026 | 29 y | 0 |
| D•••• M••• M••••••Certified Financial Planner | Coral Gables, Fl | May 13, 2026 | 35 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D•••• M••• M•••••• from D••• F•••••••• S•••••••May 13, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••••• W••••••• R••••• · Managing Member & Chief Compliance Officercontrolsince 03/2002 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Coral Gables, Fl | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 544 to 500Jul 28, 2025 to Jan 16, 2026
- Advisory activities · 2 to 3Jul 28, 2025 to Jan 16, 2026
- Charity clients · unset to 1.0Jul 28, 2025 to Jan 16, 2026
- Corporate clients · unset to 2.0Jul 28, 2025 to Jan 16, 2026
- HNW clients · 44 to 49Jul 28, 2025 to Jan 16, 2026
- Individual clients · 55 to 53Jul 28, 2025 to Jan 16, 2026
- Financial planning clients · 51-100 to 101-250Jul 28, 2025 to Jan 16, 2026
- Discretionary RAUM · $141M to $172MJul 28, 2025 to Jan 16, 2026
- HNW RAUM · $139M to $173MJul 28, 2025 to Jan 16, 2026
- Individual RAUM · $17.9M to $14.0MJul 28, 2025 to Jan 16, 2026
- Non-discretionary RAUM · $21.9M to $28.5MJul 28, 2025 to Jan 16, 2026
- RAUM · $163M to $200MJul 28, 2025 to Jan 16, 2026
- Financial planning clients · 51-100 to 51-100May 30, 2025 to Jul 28, 2025
- Accounts · 88 to 544Jun 5, 2012 to May 30, 2025
- Advisory employees · unset to 1.0Jun 5, 2012 to May 30, 2025
- Advisory activities · 3 to 2Jun 5, 2012 to May 30, 2025
- HNW clients · unset to 44.0Jun 5, 2012 to May 30, 2025
- Individual clients · unset to 55.0Jun 5, 2012 to May 30, 2025
- Employees · unset to 2.0Jun 5, 2012 to May 30, 2025
- HQ city · unset to Jun 5, 2012 to May 30, 2025
- HQ state · unset to Jun 5, 2012 to May 30, 2025
- State-registered IARs · 0 to 2Jun 5, 2012 to May 30, 2025
- Other offices · unset to 0.0Jun 5, 2012 to May 30, 2025
- Discretionary RAUM · $70.0M to $141MJun 5, 2012 to May 30, 2025
- HNW RAUM · unset to 138567000.0Jun 5, 2012 to May 30, 2025
- Individual RAUM · unset to 17891000.0Jun 5, 2012 to May 30, 2025
- Non-discretionary RAUM · $0 to $21.9MJun 5, 2012 to May 30, 2025
- RAUM · $70.0M to $163MJun 5, 2012 to May 30, 2025
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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 305-402-8409reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 786-261-6100reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C•••••••••M••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 786-261-6100reportedpublic record, Form ADV, Jan 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $100Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026