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

U••••• B•••••• S••• •••••• D• V•••••••

Former SEC-registered adviserMontevideo, CRD 135347SEC 801-67306IAPD
Latest filing Jun 26, 2020
First filing on the tape Mar 29, 2012 · 10 filings
RAUM
$91.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
47%
$42.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$91.4M as of Mar 6, 2020
Mar 29, 2012$13.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 6, 2020
Mar 29, 20120 then
Employees (5.A)16 as of Mar 6, 2020
Mar 22, 201310 then
Private funds: no history
RAUM +32% over the last fiscal year+60% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 26, 2020; 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
$657,370derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
+32%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-based, commissionsreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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
  • Corporations and businesses$48.6M53%
  • Individuals$42.7M47%
Individual clients
114reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
139reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
performance, 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
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
      • C•••••• M••••• · Shareholder And Tradercontrol
        since 01/2017 · owns 25% to 50%
      • G•••••••• S•••• S••••• · President And Shareholdercontrol
        since 11/2011 · owns 75% or more
      • C•••••• M••••• · Trader
        since 02/2011 · owns less than 5%
      • D••••• J•••• M•••• · Chief Compliance Officer
        since 01/2013 · owns less than 5%
      • P••••••• L•••• · Certified Public Accountant
        since 11/2002 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Montevideo, Uruguay3 employees
      What changed
      consecutive filings, newest first
      • Accounts · 138 to 139
        Mar 18, 2019 to Mar 6, 2020
      • Corporate clients · 28 to 25
        Mar 18, 2019 to Mar 6, 2020
      • Individual clients · 110 to 114
        Mar 18, 2019 to Mar 6, 2020
      • Employees · 14 to 16
        Mar 18, 2019 to Mar 6, 2020
      • Discretionary RAUM · $69.3M to $91.4M
        Mar 18, 2019 to Mar 6, 2020
      • Individual RAUM · $36.0M to $42.7M
        Mar 18, 2019 to Mar 6, 2020
      • RAUM · $69.3M to $91.4M
        Mar 18, 2019 to Mar 6, 2020
      • Accounts · 144 to 138
        Mar 13, 2018 to Mar 18, 2019
      • Corporate clients · 31 to 28
        Mar 13, 2018 to Mar 18, 2019
      • Individual clients · 113 to 110
        Mar 13, 2018 to Mar 18, 2019
      • Discretionary RAUM · $88.0M to $69.3M
        Mar 13, 2018 to Mar 18, 2019
      • Individual RAUM · $45.8M to $36.0M
        Mar 13, 2018 to Mar 18, 2019
      • RAUM · $88.0M to $69.3M
        Mar 13, 2018 to Mar 18, 2019
      • Accounts · 57 to 144
        Mar 27, 2017 to Mar 13, 2018
      • Corporate clients · unset to 31.0
        Mar 27, 2017 to Mar 13, 2018
      • Individual clients · unset to 113.0
        Mar 27, 2017 to Mar 13, 2018
      • Other offices · unset to 1.0
        Mar 27, 2017 to Mar 13, 2018
      • Discretionary RAUM · $22.2M to $88.0M
        Mar 27, 2017 to Mar 13, 2018
      • Individual RAUM · unset to 45840360.0
        Mar 27, 2017 to Mar 13, 2018
      • RAUM · $22.2M to $88.0M
        Mar 27, 2017 to Mar 13, 2018
      • Accounts · 51 to 57
        Mar 23, 2016 to Mar 27, 2017
      • Advisory employees · 2 to 3
        Mar 23, 2016 to Mar 27, 2017
      • Employees · 11 to 14
        Mar 23, 2016 to Mar 27, 2017
      • Discretionary RAUM · $23.6M to $22.2M
        Mar 23, 2016 to Mar 27, 2017
      • RAUM · $23.6M to $22.2M
        Mar 23, 2016 to Mar 27, 2017
      • Accounts · 55 to 51
        Mar 26, 2015 to Mar 23, 2016
      • Employees · 10 to 11
        Mar 26, 2015 to Mar 23, 2016
      • Discretionary RAUM · $26.0M to $23.6M
        Mar 26, 2015 to Mar 23, 2016
      • RAUM · $26.0M to $23.6M
        Mar 26, 2015 to Mar 23, 2016
      • Accounts · 59 to 55
        Mar 24, 2014 to Mar 26, 2015
      • Discretionary RAUM · $24.7M to $26.0M
        Mar 24, 2014 to Mar 26, 2015
      • RAUM · $24.7M to $26.0M
        Mar 24, 2014 to Mar 26, 2015
      • Related adviser · false to true
        Mar 24, 2014 to Mar 26, 2015
      • Accounts · 58 to 59
        Mar 22, 2013 to Mar 24, 2014
      • Discretionary RAUM · $16.1M to $24.7M
        Mar 22, 2013 to Mar 24, 2014
      • RAUM · $16.1M to $24.7M
        Mar 22, 2013 to Mar 24, 2014
      • Accounts · 76 to 58
        Mar 29, 2012 to Mar 22, 2013
      • Advisory employees · unset to 2.0
        Mar 29, 2012 to Mar 22, 2013
      • Employees · unset to 10.0
        Mar 29, 2012 to Mar 22, 2013
      • Discretionary RAUM · $13.5M to $16.1M
        Mar 29, 2012 to Mar 22, 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