DFX Intelligence
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K••••••• F•••••••• M••••••••• I•••
Independent wealth manager, based in Coral Gables, Florida, reporting $396M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $396M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +21%
- Private clients
- 96% of RAUM, $380M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $328MRAUM now $396M
custody of client assets (Item 9.A): no on the filing of 2025-03-11, yes on the filing of 2026-03-24
custody of client assets (Item 9.A) 1- Contact points 5
Every filed figure, and the identifiersCRD 131138 · SEC 801-63403 · 30 filingsShowHide
CRD 131138SEC 801-63403First filing on the tape Mar 20, 2012, latest Mar 24, 2026SEC status approved since Jul 30, 2004IAPD
RAUM
$396M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
96%
$380M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$396M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$396M as of Mar 24, 2026
Mar 20, 2012$119M then
HNW client RAUM$356M as of Mar 24, 2026
Mar 16, 2018$193M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Mar 20, 20120 then
Employees (5.A)3 as of Mar 24, 2026
Feb 14, 20132 then
Private funds: no history
RAUM +21% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $396MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 201derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $638,908derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +36%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $33.3M, 17 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$356M90%
- Individuals$23.7M6.0%
- Charitable organizations$16.1M4.1%
- Individual clients
- 109reported
- HNW clients
- 92reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 620reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $33.3M for 17 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• C•••••• H••••Certified Financial Planner | Coral Gables, Fl | Sep 20, 2005 | 21 y | 0 |
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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• B••••• C•••••• · President And Chief Compliance Officercontrolsince 12/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 24, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-11, yes on the filing of 2026-03-24peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Accounts · 460 to 620Mar 11, 2025 to Mar 24, 2026
- HNW clients · 90 to 92Mar 11, 2025 to Mar 24, 2026
- Individual clients · 58 to 109Mar 11, 2025 to Mar 24, 2026
- Assets in custody · unset to 33342151.0Mar 11, 2025 to Mar 24, 2026
- Custody of client assets · false to trueMar 11, 2025 to Mar 24, 2026
- Employees · 4 to 3Mar 11, 2025 to Mar 24, 2026
- Discretionary RAUM · $305M to $339MMar 11, 2025 to Mar 24, 2026
- HNW RAUM · $292M to $356MMar 11, 2025 to Mar 24, 2026
- Individual RAUM · $22.8M to $23.7MMar 11, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $22.1M to $56.6MMar 11, 2025 to Mar 24, 2026
- RAUM · $328M to $396MMar 11, 2025 to Mar 24, 2026
- Accounts · 454 to 460Oct 24, 2024 to Mar 11, 2025
- HNW clients · 67 to 90Oct 24, 2024 to Mar 11, 2025
- Individual clients · 101 to 58Oct 24, 2024 to Mar 11, 2025
- Financial planning clients · 1-10 to 101-250Oct 24, 2024 to Mar 11, 2025
- Discretionary RAUM · $275M to $305MOct 24, 2024 to Mar 11, 2025
- HNW RAUM · $248M to $292MOct 24, 2024 to Mar 11, 2025
- Individual RAUM · $35.6M to $22.8MOct 24, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $21.6M to $22.1MOct 24, 2024 to Mar 11, 2025
- RAUM · $297M to $328MOct 24, 2024 to Mar 11, 2025
- Accounts · 438 to 454Oct 23, 2023 to Feb 29, 2024
- Advisory employees · 3 to 1Oct 23, 2023 to Feb 29, 2024
- Charity clients · 1.0 to unsetOct 23, 2023 to Feb 29, 2024
- HNW clients · 75 to 67Oct 23, 2023 to Feb 29, 2024
- Individual clients · 66 to 101Oct 23, 2023 to Feb 29, 2024
- Employees · 5 to 4Oct 23, 2023 to Feb 29, 2024
- Financial planning clients · 101-250 to 1-10Oct 23, 2023 to Feb 29, 2024
- Discretionary RAUM · $253M to $275MOct 23, 2023 to Feb 29, 2024
- HNW RAUM · $221M to $248MOct 23, 2023 to Feb 29, 2024
- Individual RAUM · $41.1M to $35.6MOct 23, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $23.5M to $21.6MOct 23, 2023 to Feb 29, 2024
- RAUM · $276M to $297MOct 23, 2023 to Feb 29, 2024
- Accounts · 449 to 438Jun 3, 2022 to Mar 28, 2023
- Advisory employees · 1 to 3Jun 3, 2022 to Mar 28, 2023
- Charity clients · unset to 1.0Jun 3, 2022 to Mar 28, 2023
- HNW clients · 85 to 75Jun 3, 2022 to Mar 28, 2023
- Individual clients · 61 to 66Jun 3, 2022 to Mar 28, 2023
- Discretionary RAUM · $278M to $253MJun 3, 2022 to Mar 28, 2023
- HNW RAUM · $262M to $221MJun 3, 2022 to Mar 28, 2023
- Individual RAUM · $25.8M to $41.1MJun 3, 2022 to Mar 28, 2023
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 phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 24, 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
- $396Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026