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•••• F••••• L••

Former SEC-registered adviserMiami, FloridaCRD 140202SEC 801-67413IAPD
Latest filing Apr 1, 2013
First filing on the tape Dec 19, 2011 · 4 filings
RAUM
$67.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$34.4M gross assets
History
4 filings and snapshots on the tape
RAUM$67.3M as of Apr 1, 2013
Mar 30, 2012$44.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 3
Private funds1 as of Apr 1, 2013
Mar 30, 20121 then
RAUM +50% over the last fiscal year
Practice profile
derived from the filing of Apr 1, 2013; 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
$2.9MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+50%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$34.4M, 3 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
23reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$34.4M for 3 clientsreported
Compensation
% of AUM, performancereported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••• M••••••••• B••• M••••• F•••• L•Hedge Fund$34.4M3Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• A••• · Chief Investment Officercontrol
        since 01/2006 · owns less than 5%
      • G•••••••• J••••• B•••••• · Chief Compliance Officercontrol
        since 10/2012 · owns less than 5%
      • H••••••••• R•••• •••• · Chief Executive Officercontrol
        since 01/2006 · owns less than 5%
      • H••••••••• V•••••• M••••• · Managing Partnercontrol
        since 08/2007 · owns less than 5%
      Entity owners
      • A•••• C•••••• I••••••••• L•• · Member
        direct · owns 50% to 75%
      • A•• I••••••••• L•• · Member
        direct · owns 50% to 75%
      • A•••• C•••••• H••••••• ••• · Member
        indirect · owns 75% or more of A•••• Capital Investments,LLC
      • R••••••••• H••••••• L• · Shareholder
        indirect · owns 50% to 75% of A•••• C•••••• H••••••• •••
      • R••• H•••••••• R•• T•••• •• T••••••• · Member
        indirect · owns 75% or more of R••••••••• H••••••• L•
      • T•• A•••••••• A•• A•• M•••• C•••• J•••• R•••••••• T•••• · Member
        indirect · owns 75% or more of Asc Investments ,LLC
      • V••••••••• H••••••• L• · Share Holder
        indirect · owns 50% to 75% of A•••• C•••••• H••••••• •••
      • V••••• H•••••••• R•• T••••••• T••••••• · Member
        indirect · owns 75% or more of V••••••••• H••••••• L•
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 23
        Nov 1, 2012 to Apr 1, 2013
      • Discretionary RAUM · $44.9M to $67.3M
        Nov 1, 2012 to Apr 1, 2013
      • RAUM · $44.9M to $67.3M
        Nov 1, 2012 to Apr 1, 2013
      • Advisory employees · unset to 2.0
        Mar 30, 2012 to Nov 1, 2012
      • BD registered reps · unset to 1.0
        Mar 30, 2012 to Nov 1, 2012
      • Employees · unset to 3.0
        Mar 30, 2012 to Nov 1, 2012
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Nov 1, 2012
      • Accounts · 1 to 12
        Dec 19, 2011 to Mar 30, 2012
      • Assets in custody · unset to 34429000.0
        Dec 19, 2011 to Mar 30, 2012
      • Custody of client assets · false to true
        Dec 19, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 19, 2011 to Mar 30, 2012
      • Financial planning clients · 0 to unset
        Dec 19, 2011 to Mar 30, 2012
      • Private funds · unset to 1
        Dec 19, 2011 to Mar 30, 2012
      • Discretionary RAUM · $38.9M to $44.9M
        Dec 19, 2011 to Mar 30, 2012
      • RAUM · $38.9M to $44.9M
        Dec 19, 2011 to Mar 30, 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