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

C•••••• G••••••• W••••• M••••••••• L••

Former SEC-registered adviserMiami, FloridaCRD 131631SEC 801-63969IAPD
Latest filing Jul 24, 2018
First filing on the tape Mar 29, 2012 · 32 filings
RAUM
$465M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
64%
$300M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
30
23 advisory (5.B.1)
Offices
12
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$465M as of Mar 26, 2018
Mar 29, 2012$412M then
HNW client RAUM: $164M
State-registered IARs (5.B.3)20 as of Mar 26, 2018
Mar 29, 20120 then
Employees (5.A)30 as of Mar 26, 2018
Mar 28, 201385 then
Private funds: no history
RAUM -22% over the last fiscal year-14% a year over threeIARs 41 to 20
Practice profile
derived from the filing of Jul 24, 2018; every figure names its basis
RAUM per advisor
$23.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$540,699derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.5derived13 offices incl. principal (1.F.5)
RAUM growth, one year
-22%derivedbetween the last two annual amendments
Advisor growth, one year
-51%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$456MreportedItem 5.I
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$164M35%
  • Individuals$136M29%
  • Insurance companies$71.0M15%
  • Pooled investment vehicles$67.0M14%
  • Corporations and businesses$10.0M2.2%
  • Other investment advisers$10.0M2.2%
  • Banks and thrifts$7.5M1.6%
Individual clients
799reported
HNW clients
56reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
860reported
Financial planning clients
1-10reported
Wrap fee programs
$274M sponsored, $8.6M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H••••• G••••••• P•••• · Managing Membercontrol
    since 03/2016 · owns less than 5%
  • L•••• J•••••• P•••• · Managing Member/Chief Compliance Officercontrol
    since 03/2016 · owns 25% to 50%
  • L•••• J•••••• P•••• · Ownercontrol
    since 01/2015 · owns 25% to 50% of N••••••• S••• C•••••• H•••••••• L••
Entity owners
  • C•••••• G••••••• H••••••• L•• · Owner
    direct · owns 75% or more
  • N••••••• S••• C•••••• H•••••••• L•• · Owner
    indirect · owns 50% to 75% of N••••••• S••• C•••••• M••••••••• L••
  • N••••••• S••• C•••••• M••••••••• L•• · Owner
    indirect · owns 50% to 75% of C•••••• G••••••• H••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Winter Park, FL4 employees
  • New York, NY3 employees
  • Ft. Lauderdale, FL2 employees
  • Pensacola, FL2 employees
  • Coral Springs, FL2 employees
  • Boynton Beach, FL1 employees
  • Norfolk, VA1 employees
  • Pittsburgh, PA1 employees
  • Richmond, VA1 employees
  • Brewster, MA1 employees
  • Hickory, NC1 employees
  • Naples, FL1 employees
What changed
consecutive filings, newest first
  • Accounts · 2,500 to 860
    Jan 17, 2018 to Mar 26, 2018
  • Advisory employees · 21 to 23
    Jan 17, 2018 to Mar 26, 2018
  • BD registered reps · 24 to 18
    Jan 17, 2018 to Mar 26, 2018
  • Charity clients · unset to 0.0
    Jan 17, 2018 to Mar 26, 2018
  • Corporate clients · unset to 1.0
    Jan 17, 2018 to Mar 26, 2018
  • HNW clients · unset to 56.0
    Jan 17, 2018 to Mar 26, 2018
  • Individual clients · unset to 799.0
    Jan 17, 2018 to Mar 26, 2018
  • Pension plan clients · unset to 0.0
    Jan 17, 2018 to Mar 26, 2018
  • Pooled vehicle clients · unset to 1.0
    Jan 17, 2018 to Mar 26, 2018
  • Employees · 28 to 30
    Jan 17, 2018 to Mar 26, 2018
  • Financial planning clients · 26-50 to 1-10
    Jan 17, 2018 to Mar 26, 2018
  • State-registered IARs · 28 to 20
    Jan 17, 2018 to Mar 26, 2018
  • Other offices · 10 to 12
    Jan 17, 2018 to Mar 26, 2018
  • Discretionary RAUM · $113M to $465M
    Jan 17, 2018 to Mar 26, 2018
  • HNW RAUM · unset to 163966722.0
    Jan 17, 2018 to Mar 26, 2018
  • Individual RAUM · unset to 135534635.0
    Jan 17, 2018 to Mar 26, 2018
  • Non-discretionary RAUM · $480M to $0
    Jan 17, 2018 to Mar 26, 2018
  • Pension RAUM · unset to 0.0
    Jan 17, 2018 to Mar 26, 2018
  • Pooled vehicle RAUM · unset to 67000000.0
    Jan 17, 2018 to Mar 26, 2018
  • RAUM · $593M to $465M
    Jan 17, 2018 to Mar 26, 2018
  • Wrap assets (manager) · unset to 8615697.0
    Jan 17, 2018 to Mar 26, 2018
  • Wrap assets (sponsor) · unset to 274033335.0
    Jan 17, 2018 to Mar 26, 2018
  • Succession · true to false
    Nov 20, 2017 to Nov 21, 2017
  • Succession · false to true
    Nov 13, 2017 to Nov 20, 2017
  • Advisory employees · 33 to 21
    Aug 25, 2017 to Nov 7, 2017
  • BD registered reps · 41 to 24
    Aug 25, 2017 to Nov 7, 2017
  • Employees · 41 to 28
    Aug 25, 2017 to Nov 7, 2017
  • State-registered IARs · 41 to 28
    Aug 25, 2017 to Nov 7, 2017
  • Other offices · unset to 10.0
    Aug 25, 2017 to Nov 7, 2017
  • HQ city · CHARLOTTE to MIAMI
    Jul 12, 2017 to Jul 27, 2017
  • HQ state · NC to FL
    Jul 12, 2017 to Jul 27, 2017
  • Related adviser · true to false
    Jul 12, 2017 to Jul 27, 2017
  • Related broker-dealer · true to false
    Jul 12, 2017 to Jul 27, 2017
  • Accounts · 2,080 to 2,500
    Jan 30, 2017 to Mar 31, 2017
  • Advisory employees · 39 to 33
    Jan 30, 2017 to Mar 31, 2017
  • Discretionary RAUM · $103M to $113M
    Jan 30, 2017 to Mar 31, 2017
  • Non-discretionary RAUM · $378M to $480M
    Jan 30, 2017 to Mar 31, 2017
  • RAUM · $480M to $593M
    Jan 30, 2017 to Mar 31, 2017
  • Accounts · 4,209 to 2,080
    Feb 10, 2016 to Mar 31, 2016
  • Advisory employees · 55 to 39
    Feb 10, 2016 to Mar 31, 2016
Signals
1 dated events
  • C•••••• G••••••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Nov 20, 2017 · Succession (Item 4) · 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