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

H••• E••••••••• I••••••••• C••••

Former SEC-registered adviserMiami, FloridaCRD 140533SEC 801-66871IAPD
Latest filing Mar 31, 2023
First filing on the tape Mar 30, 2012 · 18 filings
RAUM
$135M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$25.9M gross assets
History
18 filings and snapshots on the tape
RAUM$135M as of Mar 31, 2023
Mar 30, 2012$157M then
HNW client RAUM$299,739 as of Mar 31, 2022
Mar 30, 2018$2.6M then
State-registered IARs (5.B.3)1 as of Mar 31, 2023
Mar 30, 20120 then
Employees (5.A)2 as of Mar 31, 2023
Apr 1, 20134 then
Private funds1 as of Mar 31, 2023
Mar 27, 20141 then
RAUM -9.8% over the last fiscal year-4.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
RAUM per advisor
$135MderivedRAUM 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
$16.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-9.8%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, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$109M81%
  • Pooled investment vehicles$25.9M19%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
    • E••••••••• R•••••• · Chief Compliance Officercontrol
      since 05/2017 · owns 25% to 50%
    • H•••• R•••• · Presidentcontrol
      since 06/1997 · owns 25% to 50%
    Entity owners
    • T•• J••••• H••• R•••••••• T•••• · Shareholder
      direct · owns 25% to 50%
    • T•• R•••••• E••••••••• R•••••••• T•••• · Shareholder
      direct · owns 25% to 50%
    Related persons
    Schedule D 7.A
    Advisers that list H••• E••••••••• I••••••••• C•••• as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Miami, Fl · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 9 to 8
      Mar 31, 2022 to Mar 31, 2023
    • Discretionary RAUM · $149M to $135M
      Mar 31, 2022 to Mar 31, 2023
    • HNW RAUM · 299739.0 to unset
      Mar 31, 2022 to Mar 31, 2023
    • Pooled vehicle RAUM · $28.0M to $25.9M
      Mar 31, 2022 to Mar 31, 2023
    • RAUM · $149M to $135M
      Mar 31, 2022 to Mar 31, 2023
    • Accounts · 11 to 9
      Jul 7, 2021 to Mar 31, 2022
    • Corporate clients · 13 to 8
      Jul 7, 2021 to Mar 31, 2022
    • Employees · 4 to 2
      Jul 7, 2021 to Mar 31, 2022
    • Discretionary RAUM · $162M to $149M
      Jul 7, 2021 to Mar 31, 2022
    • HNW RAUM · $2.9M to $299,739
      Jul 7, 2021 to Mar 31, 2022
    • Pooled vehicle RAUM · $30.6M to $28.0M
      Jul 7, 2021 to Mar 31, 2022
    • RAUM · $162M to $149M
      Jul 7, 2021 to Mar 31, 2022
    • Accounts · 12 to 11
      Mar 31, 2021 to Jul 7, 2021
    • Discretionary RAUM · $165M to $162M
      Mar 31, 2021 to Jul 7, 2021
    • HNW RAUM · $3.0M to $2.9M
      Mar 31, 2021 to Jul 7, 2021
    • Pooled vehicle RAUM · $29.7M to $30.6M
      Mar 31, 2021 to Jul 7, 2021
    • RAUM · $165M to $162M
      Mar 31, 2021 to Jul 7, 2021
    • Accounts · 14 to 12
      Jun 29, 2020 to Mar 31, 2021
    • Discretionary RAUM · $150M to $165M
      Jun 29, 2020 to Mar 31, 2021
    • HNW RAUM · $2.6M to $3.0M
      Jun 29, 2020 to Mar 31, 2021
    • Pooled vehicle RAUM · $25.7M to $29.7M
      Jun 29, 2020 to Mar 31, 2021
    • RAUM · $150M to $165M
      Jun 29, 2020 to Mar 31, 2021
    • Accounts · 15 to 14
      Mar 17, 2020 to Jun 29, 2020
    • Advisory employees · 2 to 1
      Mar 17, 2020 to Jun 29, 2020
    • Employees · 5 to 4
      Mar 17, 2020 to Jun 29, 2020
    • State-registered IARs · 2 to 1
      Mar 17, 2020 to Jun 29, 2020
    • Discretionary RAUM · $155M to $150M
      Mar 17, 2020 to Jun 29, 2020
    • HNW RAUM · $2.5M to $2.6M
      Mar 17, 2020 to Jun 29, 2020
    • Pooled vehicle RAUM · $25.7M to $25.7M
      Mar 17, 2020 to Jun 29, 2020
    • RAUM · $155M to $150M
      Mar 17, 2020 to Jun 29, 2020
    • Accounts · 14 to 15
      Apr 1, 2019 to Mar 17, 2020
    • Corporate clients · 11 to 13
      Apr 1, 2019 to Mar 17, 2020
    • Discretionary RAUM · $165M to $155M
      Apr 1, 2019 to Mar 17, 2020
    • HNW RAUM · $2.6M to $2.5M
      Apr 1, 2019 to Mar 17, 2020
    • Pooled vehicle RAUM · $24.3M to $25.7M
      Apr 1, 2019 to Mar 17, 2020
    • RAUM · $165M to $155M
      Apr 1, 2019 to Mar 17, 2020
    • Advisory employees · 3 to 2
      Mar 30, 2018 to Apr 1, 2019
    • Individual clients · 0.0 to unset
      Mar 30, 2018 to Apr 1, 2019
    • State-registered IARs · 3 to 2
      Mar 30, 2018 to Apr 1, 2019
    • Discretionary RAUM · $167M to $165M
      Mar 30, 2018 to Apr 1, 2019
    Signals
    1 dated events
    • R•••• •••• H••• left H••• E••••••••• I••••••••• C•••• for A•••• C•••••• M••••••••• (registered 2023-09-27)
      Oct 5, 2023 · Advisor changed firm · 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