DFX Intelligence

RIA 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

B••••• R••••• A•••••••• L••

Former SEC-registered adviserOrlando, FloridaCRD 130539SEC 801-62842IAPD
Latest filing Mar 29, 2017
First filing on the tape Mar 30, 2012 · 10 filings
RAUM
$59.8M
reported, Item 5.F
Discretionary
0.0%
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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$59.8M as of Mar 29, 2017
Mar 30, 2012$195M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Mar 30, 20120 then
Employees (5.A)4 as of Mar 29, 2017
Mar 28, 20134 then
Private funds: no history
RAUM -67% over the last fiscal year-31% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$29.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-67%derivedbetween 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, hourlyreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$16,176, 1 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 custody of client cash or bank accounts (9.A.1.a)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$16,176 for 1 clientsreported
Compensation
% of AUM, hourlyreported
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
none on the tape
    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
      • V•••• L•••• · Managing Member, President, Ceo & Chief Compliance Officercontrol
        since 01/2004 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • West Palm Beach, FL
      What changed
      consecutive filings, newest first
      • Assets in custody · $7,775 to $16,176
        Mar 23, 2016 to Mar 29, 2017
      • Non-discretionary RAUM · $181M to $59.8M
        Mar 23, 2016 to Mar 29, 2017
      • RAUM · $181M to $59.8M
        Mar 23, 2016 to Mar 29, 2017
      • Assets in custody · $6,673 to $7,775
        Mar 30, 2015 to Mar 23, 2016
      • Non-discretionary RAUM · $171M to $181M
        Mar 30, 2015 to Mar 23, 2016
      • RAUM · $171M to $181M
        Mar 30, 2015 to Mar 23, 2016
      • Assets in custody · $18,366 to $6,673
        Mar 26, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $182M to $171M
        Mar 26, 2014 to Mar 30, 2015
      • RAUM · $182M to $171M
        Mar 26, 2014 to Mar 30, 2015
      • Assets in custody · $38,965 to $18,366
        Mar 28, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · $174M to $182M
        Mar 28, 2013 to Mar 26, 2014
      • RAUM · $174M to $182M
        Mar 28, 2013 to Mar 26, 2014
      • Assets in custody · $141,460 to $38,965
        Jan 15, 2013 to Mar 28, 2013
      • Non-discretionary RAUM · $195M to $174M
        Jan 15, 2013 to Mar 28, 2013
      • RAUM · $195M to $174M
        Jan 15, 2013 to Mar 28, 2013
      • Advisory employees · unset to 4.0
        Jun 18, 2012 to Jan 15, 2013
      • Employees · unset to 4.0
        Jun 18, 2012 to Jan 15, 2013
      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.
      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