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

P••••••• P•••••••• M••••••••• I•••

Former SEC-registered adviserJupiter, FloridaCRD 140975SEC 801-72259IAPD
Latest filing Jul 13, 2020
First filing on the tape Feb 29, 2012 · 11 filings
RAUM
$150M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$150M 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
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$150M as of Mar 31, 2020
Feb 29, 2012$152M then
HNW client RAUM$149M as of Mar 31, 2020
Mar 8, 2018$149M then
State-registered IARs (5.B.3)0 as of Mar 31, 2020
Feb 29, 20120 then
Employees (5.A)2 as of Mar 31, 2020
Feb 14, 20132 then
Private funds: no history
RAUM +3.7% over the last fiscal year+0.5% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Jul 13, 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
$12.4MderivedHNW RAUM over HNW clients
Average account
$9.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
+3.7%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
  • is an insurance broker or agent (6.A.6)
  • 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$149M100%
  • Individuals$654,8970.4%
Individual clients
n/areported
HNW clients
12reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
16reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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•••••••• D•••••• J••• · President/Chief Compliance Officercontrol
        since 02/1985 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HNW clients · 11 to 12
        Feb 20, 2019 to Mar 31, 2020
      • Individual clients · 5.0 to unset
        Feb 20, 2019 to Mar 31, 2020
      • Financial planning clients · 0 to 1-10
        Feb 20, 2019 to Mar 31, 2020
      • Other offices · 1 to 0
        Feb 20, 2019 to Mar 31, 2020
      • HNW RAUM · $143M to $149M
        Feb 20, 2019 to Mar 31, 2020
      • Individual RAUM · $1.0M to $654,897
        Feb 20, 2019 to Mar 31, 2020
      • Non-discretionary RAUM · $144M to $150M
        Feb 20, 2019 to Mar 31, 2020
      • RAUM · $144M to $150M
        Feb 20, 2019 to Mar 31, 2020
      • Related adviser · false to true
        Feb 20, 2019 to Mar 31, 2020
      • Accounts · 17 to 16
        Mar 8, 2018 to Feb 20, 2019
      • Individual clients · unset to 5.0
        Mar 8, 2018 to Feb 20, 2019
      • HQ city · FT. LAUDERDALE to JUPITER
        Mar 8, 2018 to Feb 20, 2019
      • HNW RAUM · $149M to $143M
        Mar 8, 2018 to Feb 20, 2019
      • Individual RAUM · $1.3M to $1.0M
        Mar 8, 2018 to Feb 20, 2019
      • Non-discretionary RAUM · $151M to $144M
        Mar 8, 2018 to Feb 20, 2019
      • RAUM · $151M to $144M
        Mar 8, 2018 to Feb 20, 2019
      • Accounts · 16 to 17
        Feb 7, 2017 to Mar 8, 2018
      • Charity clients · unset to 0.0
        Feb 7, 2017 to Mar 8, 2018
      • Corporate clients · unset to 0.0
        Feb 7, 2017 to Mar 8, 2018
      • HNW clients · unset to 11.0
        Feb 7, 2017 to Mar 8, 2018
      • Pension plan clients · unset to 0.0
        Feb 7, 2017 to Mar 8, 2018
      • Pooled vehicle clients · unset to 0.0
        Feb 7, 2017 to Mar 8, 2018
      • Other offices · unset to 1.0
        Feb 7, 2017 to Mar 8, 2018
      • HNW RAUM · unset to 149363646.0
        Feb 7, 2017 to Mar 8, 2018
      • Individual RAUM · unset to 1256224.0
        Feb 7, 2017 to Mar 8, 2018
      • Non-discretionary RAUM · $147M to $151M
        Feb 7, 2017 to Mar 8, 2018
      • Pension RAUM · unset to 0.0
        Feb 7, 2017 to Mar 8, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Feb 7, 2017 to Mar 8, 2018
      • RAUM · $147M to $151M
        Feb 7, 2017 to Mar 8, 2018
      • Accounts · 17 to 16
        Mar 9, 2016 to Feb 7, 2017
      • Non-discretionary RAUM · $154M to $147M
        Mar 9, 2016 to Feb 7, 2017
      • RAUM · $154M to $147M
        Mar 9, 2016 to Feb 7, 2017
      • Accounts · 21 to 17
        Mar 10, 2015 to Mar 9, 2016
      • Non-discretionary RAUM · $155M to $154M
        Mar 10, 2015 to Mar 9, 2016
      • RAUM · $155M to $154M
        Mar 10, 2015 to Mar 9, 2016
      • Accounts · 15 to 21
        Mar 19, 2014 to Mar 10, 2015
      • HQ city · BOCA RATON to FT. LAUDERDALE
        Mar 19, 2014 to Mar 10, 2015
      • Non-discretionary RAUM · $140M to $155M
        Mar 19, 2014 to Mar 10, 2015
      • RAUM · $140M to $155M
        Mar 19, 2014 to Mar 10, 2015
      • Financial planning clients · 1-10 to 0
        Feb 14, 2013 to Mar 19, 2014
      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