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.
SEC-registered adviser
Aventura Capital Management, LLC
Latest filing Mar 27, 2026
First filing on the tape Nov 9, 2011 · 31 filings
SEC status approved since Nov 29, 2006
RAUM
$48.4M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
100%
$48.4M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$12.1M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$48.4M as of Mar 27, 2026
Mar 26, 2012$106M then
HNW client RAUM$22.4M as of Mar 27, 2026
Mar 21, 2018$120M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Mar 28, 20133 then
Employees (5.A)4 as of Mar 27, 2026
Mar 28, 20133 then
Private funds: no history
RAUM -16% over the last fiscal year-13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $12.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $192,094derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$26.0M54%
- High-net-worth individuals$22.4M46%
- Individual clients
- 113reported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 252reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Daniel Thomas Cauceglia | Boca Raton, Fl | Dec 4, 2006 | 24 y | 2 |
| Timothy Brian Moy | Boca Raton, Fl | Nov 14, 2007 | 19 y | 1 |
| Loretta Gloria Scarpettiscroggins | Exeter, Nh | Jul 20, 2011 | 40 y | 3 |
| Juan Lopez | Boca Raton, Fl | Jan 22, 2018 | 12 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
- Robert L Arnold to Lindner Capital Advisors, Inc.Sep 11, 2009 · Other
- Kendall Savage Borchardt to Lindner Capital Advisors, Inc.Jul 20, 2009 · Other
- Matthew Radcliff Lowery to Ameritrust Investment Advisors, LLCMar 11, 2009 · Other
Joined, latest
- Kendall Savage Borchardt from Capitol City Advisory GroupNov 7, 2008 · Other
- Loretta Gloria Scarpettiscroggins from Envision Investment Advisors, LLCOct 16, 2008 · Other
- Daniel Thomas Cauceglia from Npa Asset Management, LLCDec 4, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas Daniel Cauceglia · Managing Director/Chief Investment Officer/ Chief Compliance Officercontrolsince 12/2006 · owns less than 5%
- Thomas Daniel Cauceglia · Membercontrolsince 08/2006 · owns 75% or more of Aventura Holdings, LLC
Entity owners
- Aventura Holdings, LLC · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Aventura Insurance Services, LLCreal estaten
- Aventura Securities, LLCbroker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boca Raton, Fl · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 248 to 252Jul 2, 2025 to Mar 27, 2026
- Pension plan clients · 1.0 to unsetJul 2, 2025 to Mar 27, 2026
- Discretionary RAUM · $41.9M to $39.8MJul 2, 2025 to Mar 27, 2026
- HNW RAUM · $25.6M to $22.4MJul 2, 2025 to Mar 27, 2026
- Individual RAUM · $28.7M to $26.0MJul 2, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $16.0M to $8.6MJul 2, 2025 to Mar 27, 2026
- Pension RAUM · 3510964.0 to unsetJul 2, 2025 to Mar 27, 2026
- RAUM · $57.8M to $48.4MJul 2, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Apr 1, 2025 to Jul 2, 2025
- Accounts · 253 to 248Apr 9, 2024 to Apr 1, 2025
- HNW clients · 11 to 13Apr 9, 2024 to Apr 1, 2025
- Individual clients · 116 to 113Apr 9, 2024 to Apr 1, 2025
- Discretionary RAUM · $36.5M to $41.9MApr 9, 2024 to Apr 1, 2025
- HNW RAUM · $22.3M to $25.6MApr 9, 2024 to Apr 1, 2025
- Individual RAUM · $36.5M to $28.7MApr 9, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $25.9M to $16.0MApr 9, 2024 to Apr 1, 2025
- Pension RAUM · $3.6M to $3.5MApr 9, 2024 to Apr 1, 2025
- RAUM · $62.4M to $57.8MApr 9, 2024 to Apr 1, 2025
- Accounts · 288 to 253Dec 12, 2023 to Apr 9, 2024
- BD registered reps · 3 to 4Dec 12, 2023 to Apr 9, 2024
- Pension plan clients · unset to 1.0Dec 12, 2023 to Apr 9, 2024
- Employees · 3 to 4Dec 12, 2023 to Apr 9, 2024
- Discretionary RAUM · $58.5M to $36.5MDec 12, 2023 to Apr 9, 2024
- HNW RAUM · $40.4M to $22.3MDec 12, 2023 to Apr 9, 2024
- Individual RAUM · $32.7M to $36.5MDec 12, 2023 to Apr 9, 2024
- Non-discretionary RAUM · $14.6M to $25.9MDec 12, 2023 to Apr 9, 2024
- Pension RAUM · unset to 3573708.0Dec 12, 2023 to Apr 9, 2024
- RAUM · $73.1M to $62.4MDec 12, 2023 to Apr 9, 2024
- Accounts · 308 to 288Oct 6, 2022 to Mar 31, 2023
- HNW clients · 13 to 11Oct 6, 2022 to Mar 31, 2023
- Individual clients · 131 to 116Oct 6, 2022 to Mar 31, 2023
- Discretionary RAUM · $45.7M to $58.5MOct 6, 2022 to Mar 31, 2023
- HNW RAUM · $77.1M to $40.4MOct 6, 2022 to Mar 31, 2023
- Individual RAUM · $45.7M to $32.7MOct 6, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $77.1M to $14.6MOct 6, 2022 to Mar 31, 2023
- RAUM · $123M to $73.1MOct 6, 2022 to Mar 31, 2023
- HQ city · FORT LAUDERDALE to BOCA RATONMar 31, 2022 to Jul 19, 2022
- Accounts · 258 to 308May 17, 2021 to Mar 31, 2022
- Discretionary RAUM · $69.2M to $45.7MMay 17, 2021 to Mar 31, 2022
- HNW RAUM · $155M to $77.1MMay 17, 2021 to Mar 31, 2022
Signals
1 dated events
- Aventura Capital Management, Llc reported RAUM $220.9M, up 98% from $111.3M (2020-05-04 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
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
- Business email
- info@aventuracap.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 305-466-0467reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 305-675-3369reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-466-0467reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- AVENTURACAP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 305-466-0467reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- aventuracap.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- aventuracap.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $12.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026