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

D••••• D••••• • C••••••

Former SEC-registered adviserDelray Beach, FloridaCRD 131260SEC 801-63207IAPD
Latest filing Mar 12, 2018
First filing on the tape Feb 28, 2012 · 12 filings
RAUM
$258M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$258M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$258M as of Mar 12, 2018
Feb 28, 2012$170M then
HNW client RAUM: $258M
State-registered IARs (5.B.3)2 as of Mar 12, 2018
Feb 28, 20120 then
Employees (5.A)2 as of Mar 12, 2018
Feb 28, 20132 then
Private funds: no history
RAUM -3.2% over the last fiscal year+0.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 12, 2018; every figure names its basis
RAUM per advisor
$129MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$3.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-3.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • 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
  • High-net-worth individuals$258M100%
Individual clients
n/areported
HNW clients
71reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
71reported
Financial planning clients
n/areported
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
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
    • D•••••• D•••••• E••••• · President, Chief Compliance Officercontrol
      since 03/2004 · owns 75% or more
    • P•••••• K•••••••• L•••• · Vice-Presidentcontrol
      since 03/2004 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 76 to 71
      Feb 3, 2017 to Mar 12, 2018
    • Advisory activities · 2 to 1
      Feb 3, 2017 to Mar 12, 2018
    • HNW clients · unset to 71.0
      Feb 3, 2017 to Mar 12, 2018
    • Other offices · unset to 0.0
      Feb 3, 2017 to Mar 12, 2018
    • Discretionary RAUM · $267M to $258M
      Feb 3, 2017 to Mar 12, 2018
    • HNW RAUM · unset to 258148818.0
      Feb 3, 2017 to Mar 12, 2018
    • RAUM · $267M to $258M
      Feb 3, 2017 to Mar 12, 2018
    • Accounts · 68 to 76
      Mar 2, 2016 to Feb 3, 2017
    • Discretionary RAUM · $250M to $267M
      Mar 2, 2016 to Feb 3, 2017
    • RAUM · $250M to $267M
      Mar 2, 2016 to Feb 3, 2017
    • Accounts · 67 to 68
      Aug 4, 2015 to Mar 2, 2016
    • Discretionary RAUM · $253M to $250M
      Aug 4, 2015 to Mar 2, 2016
    • RAUM · $253M to $250M
      Aug 4, 2015 to Mar 2, 2016
    • Accounts · 64 to 67
      Jan 14, 2015 to Aug 4, 2015
    • Discretionary RAUM · $246M to $253M
      Jan 14, 2015 to Aug 4, 2015
    • Non-discretionary RAUM · $9.6M to $0
      Jan 14, 2015 to Aug 4, 2015
    • RAUM · $256M to $253M
      Jan 14, 2015 to Aug 4, 2015
    • Accounts · 48 to 64
      Feb 14, 2014 to Jan 14, 2015
    • Discretionary RAUM · $224M to $246M
      Feb 14, 2014 to Jan 14, 2015
    • Non-discretionary RAUM · $31.3M to $9.6M
      Feb 14, 2014 to Jan 14, 2015
    • RAUM · $255M to $256M
      Feb 14, 2014 to Jan 14, 2015
    • Accounts · 42 to 48
      Oct 9, 2013 to Feb 14, 2014
    • Discretionary RAUM · $192M to $224M
      Oct 9, 2013 to Feb 14, 2014
    • Non-discretionary RAUM · $26.8M to $31.3M
      Oct 9, 2013 to Feb 14, 2014
    • RAUM · $218M to $255M
      Oct 9, 2013 to Feb 14, 2014
    • Accounts · 33 to 42
      Jan 31, 2013 to Feb 28, 2013
    • Advisory activities · 1 to 2
      Jan 31, 2013 to Feb 28, 2013
    • Discretionary RAUM · $170M to $192M
      Jan 31, 2013 to Feb 28, 2013
    • Non-discretionary RAUM · $0 to $26.8M
      Jan 31, 2013 to Feb 28, 2013
    • RAUM · $170M to $218M
      Jan 31, 2013 to Feb 28, 2013
    • Related adviser · true to false
      Jan 31, 2013 to Feb 28, 2013
    • Advisory employees · unset to 2.0
      Oct 2, 2012 to Jan 31, 2013
    • Employees · unset to 2.0
      Oct 2, 2012 to Jan 31, 2013
    • State-registered IARs · 0 to 2
      Oct 2, 2012 to Jan 31, 2013
    • Organization form · Limited Liability Company to Corporation
      Feb 28, 2012 to Sep 27, 2012
    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