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

M•• G•••• • A••••••••• I•••

Former SEC-registered adviserNorth Miami Beach, FloridaCRD 141559SEC 801-70662IAPD
Latest filing Mar 4, 2016
First filing on the tape Mar 23, 2012 · 10 filings
RAUM
$457M
reported, Item 5.F
Discretionary
81%
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
12
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$457M as of Mar 4, 2016
Mar 23, 2012$275M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 4, 2016
Mar 23, 20120 then
Employees (5.A)12 as of Mar 4, 2016
Mar 11, 201312 then
Private funds: no history
RAUM +19% over the last fiscal year+12% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 4, 2016; every figure names its basis
RAUM per advisor
$65.3MderivedRAUM 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
$759,218derivedRAUM over accounts (5.F.2.f)
Discretionary
81%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%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, 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
  • 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
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
602reported
Financial planning clients
26-50reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••••• T•••• M•••••• · Presidentcontrol
      since 01/2001 · owns 25% to 50%
    • G••••• M•• · Chief Executive Officercontrol
      since 02/1989 · owns 50% to 75%
    • M••••••• M••••••• C••••• · Chief Compliance Officercontrol
      since 01/2001 · owns less than 5%
    • M•••••• K••••• B•••••• · Vice President And Chief Operating Officercontrol
      since 08/2008 · owns less than 5%
    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
    • Accounts · 589 to 602
      Apr 22, 2015 to Mar 4, 2016
    • Discretionary RAUM · $382M to $370M
      Apr 22, 2015 to Mar 4, 2016
    • Non-discretionary RAUM · $99.5M to $87.3M
      Apr 22, 2015 to Mar 4, 2016
    • RAUM · $482M to $457M
      Apr 22, 2015 to Mar 4, 2016
    • Accounts · 491 to 589
      Feb 19, 2015 to Apr 22, 2015
    • Discretionary RAUM · $284M to $382M
      Feb 19, 2015 to Apr 22, 2015
    • RAUM · $384M to $482M
      Feb 19, 2015 to Apr 22, 2015
    • Accounts · 731 to 491
      Oct 24, 2014 to Feb 19, 2015
    • Advisory employees · 5 to 7
      Oct 24, 2014 to Feb 19, 2015
    • BD registered reps · 7 to 9
      Oct 24, 2014 to Feb 19, 2015
    • Employees · 11 to 12
      Oct 24, 2014 to Feb 19, 2015
    • Financial planning clients · 1-10 to 26-50
      Oct 24, 2014 to Feb 19, 2015
    • State-registered IARs · 5 to 7
      Oct 24, 2014 to Feb 19, 2015
    • Discretionary RAUM · $212M to $284M
      Oct 24, 2014 to Feb 19, 2015
    • Non-discretionary RAUM · $199M to $99.5M
      Oct 24, 2014 to Feb 19, 2015
    • RAUM · $412M to $384M
      Oct 24, 2014 to Feb 19, 2015
    • Accounts · 645 to 731
      Aug 12, 2013 to Feb 10, 2014
    • Advisory employees · 6 to 5
      Aug 12, 2013 to Feb 10, 2014
    • BD registered reps · 9 to 7
      Aug 12, 2013 to Feb 10, 2014
    • Employees · 12 to 11
      Aug 12, 2013 to Feb 10, 2014
    • State-registered IARs · 6 to 5
      Aug 12, 2013 to Feb 10, 2014
    • Discretionary RAUM · $176M to $212M
      Aug 12, 2013 to Feb 10, 2014
    • Non-discretionary RAUM · $201M to $199M
      Aug 12, 2013 to Feb 10, 2014
    • RAUM · $377M to $412M
      Aug 12, 2013 to Feb 10, 2014
    • Accounts · 535 to 645
      Mar 11, 2013 to Aug 12, 2013
    • Discretionary RAUM · $0 to $176M
      Mar 11, 2013 to Aug 12, 2013
    • Non-discretionary RAUM · $329M to $201M
      Mar 11, 2013 to Aug 12, 2013
    • RAUM · $329M to $377M
      Mar 11, 2013 to Aug 12, 2013
    • Accounts · 504 to 535
      May 8, 2012 to Mar 11, 2013
    • Advisory employees · unset to 6.0
      May 8, 2012 to Mar 11, 2013
    • BD registered reps · unset to 9.0
      May 8, 2012 to Mar 11, 2013
    • Employees · unset to 12.0
      May 8, 2012 to Mar 11, 2013
    • State-registered IARs · 0 to 6
      May 8, 2012 to Mar 11, 2013
    • Non-discretionary RAUM · $275M to $329M
      May 8, 2012 to Mar 11, 2013
    • RAUM · $275M to $329M
      May 8, 2012 to Mar 11, 2013
    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