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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SEC-registered adviser
F••••• A•••• A••••••• L••
Latest filing Apr 29, 2026
First filing on the tape Aug 21, 2015 · 20 filings
SEC status approved since Aug 31, 2015
RAUM
$115M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
58%
$66.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$115M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$115M as of Apr 29, 2026
Mar 23, 2016$111M then
HNW client RAUM$66.2M as of Apr 29, 2026
Mar 15, 2018$14.4M then
State-registered IARs (5.B.3)1 as of Apr 29, 2026
Mar 23, 20163 then
Employees (5.A)1 as of Apr 29, 2026
Mar 23, 20163 then
Private funds3 as of Sep 2, 2025
Mar 22, 20224 then
RAUM -61% over the last fiscal year-36% a year over threeIARs 2 to 1offices 1 to 0
Practice profile
derived from the filing of Apr 29, 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
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $6.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -61%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -35%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$66.2M58%
- Insurance companies$26.7M23%
- Corporations and businesses$21.7M19%
- Individuals$312,7870.3%
- Individual clients
- 2reported
- HNW clients
- 11reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 17reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.58 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• H•••• U•••••• | Coral Gables, Fl | Oct 3, 2005 | 34 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 headcount1 left over 36 months
Left, latest
- J••• J••••• F••••••••• to A••••••• W••••• M••••••••• L••Aug 26, 2025 · RIA to RIA
- J••• L•••••• D• L• G•••• to I•• I••••••••• A•••••••• L••Mar 16, 2021 · RIA to RIA
Joined, latest
- J••• L•••••• D• L• G•••• from I•••••• S••••••••• I•••Jan 24, 2013 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••• E•• •••••• 4••• N•••• D•• 2••• | Other Private Fund | $13.6M | 6 | Mar 22, 2022 |
| G•••• E•• •••••• 4••• N•••• D•• 2••• | Other Private Fund | $10.3M | 1 | Mar 22, 2022 |
| C••••• E•• •••••• 4••• N•••• D•• 2••• | Other Private Fund | $9.5M | 2 | Mar 22, 2022 |
| M•••••• E•• •••••• 4••• N•••• D•• 2•••no longer reported | Other Private Fund | $9.3M | 1 | Mar 22, 2022 |
Owners and control persons
Schedule A and B, latest filing
- U••••••• E•••••• H•••• · President/Chief Compliance Officercontrolsince 05/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Coral Gables, Fl · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Apr 29, 2026RAUM (Item 5.F) moved from $296,641,585 to $114,835,108 (-61.0%) between the annual amendments of 2025-04-23 and 2026-04-29; the peer median change was +15.0% (4549 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 0.3% percentile
- institutional asset share shiftChange between filings · filing Apr 29, 2026institutional share of RAUM moved from 27.0% to 42.0% between the annual amendments of 2025-04-23 and 2026-04-29peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Advisory activities · 2 to 1Mar 23, 2026 to Apr 29, 2026
- Accounts · 35 to 17Sep 2, 2025 to Mar 23, 2026
- Corporate clients · 10 to 2Sep 2, 2025 to Mar 23, 2026
- HNW clients · 20 to 11Sep 2, 2025 to Mar 23, 2026
- Individual clients · 0 to 2Sep 2, 2025 to Mar 23, 2026
- Pooled vehicle clients · 3 to 0Sep 2, 2025 to Mar 23, 2026
- Private funds · 3 to unsetSep 2, 2025 to Mar 23, 2026
- Discretionary RAUM · $284M to $107MSep 2, 2025 to Mar 23, 2026
- HNW RAUM · $178M to $66.2MSep 2, 2025 to Mar 23, 2026
- Individual RAUM · $0 to $312,787Sep 2, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $13.1M to $7.7MSep 2, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $38.9M to $0Sep 2, 2025 to Mar 23, 2026
- RAUM · $297M to $115MSep 2, 2025 to Mar 23, 2026
- Advisory employees · 2 to 1Apr 23, 2025 to Sep 2, 2025
- Employees · 2 to 1Apr 23, 2025 to Sep 2, 2025
- State-registered IARs · 2 to 1Apr 23, 2025 to Sep 2, 2025
- Other offices · 1 to 0Apr 23, 2025 to Sep 2, 2025
- Accounts · 37 to 35Nov 20, 2024 to Apr 23, 2025
- Charity clients · unset to 0.0Nov 20, 2024 to Apr 23, 2025
- Corporate clients · 13 to 10Nov 20, 2024 to Apr 23, 2025
- HNW clients · 19 to 20Nov 20, 2024 to Apr 23, 2025
- Individual clients · unset to 0.0Nov 20, 2024 to Apr 23, 2025
- Pension plan clients · unset to 0.0Nov 20, 2024 to Apr 23, 2025
- Financial planning clients · unset to Nov 20, 2024 to Apr 23, 2025
- Other offices · 0 to 1Nov 20, 2024 to Apr 23, 2025
- Discretionary RAUM · $305M to $284MNov 20, 2024 to Apr 23, 2025
- HNW RAUM · $194M to $178MNov 20, 2024 to Apr 23, 2025
- Individual RAUM · unset to 0.0Nov 20, 2024 to Apr 23, 2025
- Non-discretionary RAUM · $5.5M to $13.1MNov 20, 2024 to Apr 23, 2025
- Pension RAUM · unset to 0.0Nov 20, 2024 to Apr 23, 2025
- Pooled vehicle RAUM · $33.5M to $38.9MNov 20, 2024 to Apr 23, 2025
- RAUM · $311M to $297MNov 20, 2024 to Apr 23, 2025
- Accounts · 51 to 37Mar 28, 2023 to Mar 20, 2024
- Advisory activities · 3 to 2Mar 28, 2023 to Mar 20, 2024
- Corporate clients · 21 to 13Mar 28, 2023 to Mar 20, 2024
- HNW clients · 18 to 19Mar 28, 2023 to Mar 20, 2024
- Pooled vehicle clients · 4 to 3Mar 28, 2023 to Mar 20, 2024
- Private funds · 4 to 3Mar 28, 2023 to Mar 20, 2024
- Discretionary RAUM · $416M to $305MMar 28, 2023 to Mar 20, 2024
- HNW RAUM · $259M to $194MMar 28, 2023 to Mar 20, 2024
Signals
7 dated events
- F••••• A•••• A••••••• L•• reported RAUM $114.8M, down 61% from $296.6M (2025-09-02 to 2026-03-23)Mar 23, 2026 · RAUM change · derived
- J••• J••••• F••••••••• left F••••• A•••• A••••••• L•• for A••••••• W••••• M••••••••• L•• (registered 2025-06-03)Aug 26, 2025 · Advisor changed firm · fact
- Catalina Rey De Sa (Chief Compliance Officer) no longer on Schedule A of F••••• A•••• A••••••• L•• (listed 2024-03-20, absent 2024-11-20)Nov 20, 2024 · Control person left · inference
- F••••• A•••• A••••••• L•• reported RAUM $310.7M, down 30% from $442.9M (2023-03-28 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- F••••• A•••• A••••••• L•• reported RAUM $390.2M, up 108% from $187.2M (2021-03-31 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- Catalina Rey De Sa (Chief Compliance Officer) appeared on Schedule A of F••••• A•••• A••••••• L••Mar 12, 2019 · Control person joined · fact
- F••••• A•••• A••••••• L•• filed its initial SEC registration (Form ADV)Aug 21, 2015 · First SEC registration · fact
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
- 305-774-9906reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 305-774-9910reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (305) 774-9906reportedpublic record, Form ADV, Apr 29, 2026
- Team page
- f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $115Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026