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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Latest filing Mar 11, 2026
First filing on the tape Mar 26, 2012 · 21 filings
SEC status approved since Feb 28, 2006
RAUM
$373M
reported, Item 5.F
Discretionary
1.3%
of RAUM
Private clients
0.2%
$757,748 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$373M
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
21 filings and snapshots on the tape
RAUM$373M as of Mar 11, 2026
Mar 26, 2012$111M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 11, 2026
Mar 26, 20120 then
Employees (5.A)1 as of Mar 11, 2026
Mar 19, 20131 then
Private funds: no history
RAUM +17% over the last fiscal year+18% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $373MderivedRAUM 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
- $20.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 1.3%derivedof RAUM
- Institutional
- 100%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
- +17%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 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
- State and municipal entities$372M100%
- Individuals$757,7480.2%
- Corporations and businesses$262,3480.1%
- Individual clients
- 5reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 18reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 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 |
|---|---|---|---|---|
| S•••••• U••••• F•••••• | Cutler Bay, Fl | Sep 30, 2003 | 24 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
- F••••••• S••••••• U••••• · President & Chief Compliance Officercontrolsince 05/2003 · owns 50% to 75%
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
- discretionary share shiftChange between filings · filing Mar 11, 2026discretionary share of RAUM moved from 99.0% to 1.0% between the annual amendments of 2025-03-21 and 2026-03-11peers: institutional managers, $100M to $500M (108)
What changed
consecutive filings, newest first
- RAUM · $320M to $373MMar 21, 2025 to Mar 11, 2026
- Accounts · 20 to 18Mar 21, 2025 to Mar 11, 2026
- Corporate clients · unset to 1.0Mar 21, 2025 to Mar 11, 2026
- Individual clients · 8 to 5Mar 21, 2025 to Mar 11, 2026
- Discretionary RAUM · $315M to $4.7MMar 21, 2025 to Mar 11, 2026
- Individual RAUM · $946,539 to $757,748Mar 21, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $4.5M to $368MMar 21, 2025 to Mar 11, 2026
- Accounts · 18 to 20Mar 15, 2024 to Mar 21, 2025
- Individual clients · 10 to 8Mar 15, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 15, 2024 to Mar 21, 2025
- HQ city · unset to Mar 15, 2024 to Mar 21, 2025
- HQ state · unset to Mar 15, 2024 to Mar 21, 2025
- Discretionary RAUM · $4.4M to $315MMar 15, 2024 to Mar 21, 2025
- Individual RAUM · $913,678 to $946,539Mar 15, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $251M to $4.5MMar 15, 2024 to Mar 21, 2025
- RAUM · $256M to $320MMar 15, 2024 to Mar 21, 2025
- Accounts · 20 to 18Mar 15, 2023 to Mar 15, 2024
- Discretionary RAUM · $4.4M to $4.4MMar 15, 2023 to Mar 15, 2024
- Individual RAUM · $954,124 to $913,678Mar 15, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $223M to $251MMar 15, 2023 to Mar 15, 2024
- RAUM · $228M to $256MMar 15, 2023 to Mar 15, 2024
- Accounts · 15 to 20Mar 23, 2022 to Mar 15, 2023
- Corporate clients · 1.0 to unsetMar 23, 2022 to Mar 15, 2023
- Individual clients · 9 to 10Mar 23, 2022 to Mar 15, 2023
- Discretionary RAUM · $5.1M to $4.4MMar 23, 2022 to Mar 15, 2023
- Individual RAUM · $1.0M to $954,124Mar 23, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $203M to $223MMar 23, 2022 to Mar 15, 2023
- RAUM · $208M to $228MMar 23, 2022 to Mar 15, 2023
- Accounts · 20 to 15Aug 14, 2021 to Mar 23, 2022
- Corporate clients · 2 to 1Aug 14, 2021 to Mar 23, 2022
- Individual clients · 13 to 9Aug 14, 2021 to Mar 23, 2022
- Discretionary RAUM · $5.3M to $5.1MAug 14, 2021 to Mar 23, 2022
- Individual RAUM · $1.6M to $1.0MAug 14, 2021 to Mar 23, 2022
- Non-discretionary RAUM · $178M to $203MAug 14, 2021 to Mar 23, 2022
- RAUM · $184M to $208MAug 14, 2021 to Mar 23, 2022
- Discretionary RAUM · $5.5M to $5.3MJun 16, 2020 to Mar 18, 2021
- Individual RAUM · $1.6M to $1.6MJun 16, 2020 to Mar 18, 2021
- Non-discretionary RAUM · $104M to $178MJun 16, 2020 to Mar 18, 2021
- RAUM · $110M to $184MJun 16, 2020 to Mar 18, 2021
- Accounts · 19 to 20Mar 21, 2019 to Mar 23, 2020
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
- Principal office phone
- 305-253-9333reportedpublic record, Form ADV, Mar 11, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $373Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026