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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SEC-registered adviser
P•••••••• R•••••••• A•••••• G••••• I•••
Latest filing Oct 17, 2025
First filing on the tape Nov 28, 2011 · 39 filings
SEC status approved since Oct 6, 2017
RAUM
$122M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$101M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$11.1M
derived; firm RAUM over IAPD count
Employees
17
15 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$122M as of Oct 17, 2025
Nov 29, 2011$32.6M then
HNW client RAUM$18.2M as of Oct 17, 2025
Oct 17, 2018$0 then
State-registered IARs (5.B.3)12 as of Oct 17, 2025
Nov 29, 20110 then
Employees (5.A)17 as of Oct 17, 2025
Oct 17, 201816 then
Private funds: no history
RAUM +13% over the last fiscal year+3.2% a year over threeIARs 14 to 12
Practice profile
derived from the filing of Oct 17, 2025; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $11.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $284,741derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $122MreportedItem 5.I
- 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
- Individuals$82.9M68%
- Corporations and businesses$20.7M17%
- High-net-worth individuals$18.2M15%
- Pension and profit-sharing plans$13,5000.0%
- Individual clients
- 307reported
- HNW clients
- 11reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 428reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $122M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=13.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• K••••••• M••••Chartered Financial Consultant | Emmaus, Pa | Jan 3, 2008 | 34 y | 1 |
| A•••••• N•• C••••• | Coral Gables, Fl | Jan 4, 2008 | 39 y | 1 |
| N•••• J••••••• B•••••• J•••••• | Coral Gables, Fl | Dec 7, 2010 | 18 y | 0 |
| D•••••• A••• G••••••••Certified Financial Planner | Coral Gables, Fl | Jul 31, 2015 | 34 y | 1 |
| A•••• K•••••• | Coral Gables, Fl | Jul 21, 2016 | 21 y | 1 |
| G•••••• G•••••••• D•••••• C••••• | Caracas | Nov 3, 2020 | 13 y | 0 |
| N••• C••••• | Coral Gables, Fl | Nov 6, 2020 | 33 y | 0 |
| R•••••• J••• L••••••••• | Caracas | Aug 12, 2021 | 23 y | 0 |
| A••••• M••••••• N••••••••• | Piso 10, Chacao Caracas | Oct 10, 2022 | 15 y | 0 |
| R•••••• I••••Certified Financial Planner | Weston, Fl | Sep 18, 2023 | 23 y | 2 |
| E•••••• E•••• V••••• M••••••Chartered Financial Analyst | Caracas | Apr 23, 2025 | 13 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
- J•••• L••••••••• to S••••••• M••••• L••Oct 14, 2021 · RIA to RIA
- J••• C••••••••• C••••••• to S••••• O•• S••••••••• I•••Oct 12, 2021 · RIA to affiliated broker-dealer or bank
- H••••• J••••• M•••• to S••••••••• A••••••• A••••••• L••Apr 30, 2021 · RIA to a newly registered adviser
- P••••• S•••••• B••••• to S••••••••• A••••••• A••••••• L••Apr 27, 2021 · RIA to a newly registered adviser
- K••••• A••• S••••••••• to S••••••••• A••••••• A••••••• L••Jan 5, 2021 · RIA to a newly registered adviser
- E••••• F•••••••• S•••• to V•••• F•••••••• A•••••••• I•••May 9, 2017 · Other
- J••• C••••• S•••• to P••••••• I••••••••• M•••••••••May 9, 2017 · Other
- T•••••• J•••• R••• to F•••••••• W••• G••••Jul 14, 2011 · Other
Joined, latest
- R•••••• I•••• from D••••••••• A•••••••Sep 18, 2023 · Other
- A•••• K•••••• from A•••••• I••••• I••••••••• A••••••••• L••Jul 21, 2016 · Other
- J••• C••••• S•••• from B••••• G••••• A•••• M•••••••••Aug 11, 2015 · Other
- D•••••• A••• G•••••••• from A•••••• I••••• I••••••••• A••••••••• L••Jul 31, 2015 · Other
- E••••• F•••••••• S•••• from P••••••• I••••••••• M•••••••••Jul 10, 2015 · Other
- T•••••• J•••• R••• from F•••••••• W••• G••••Mar 18, 2008 · Other
- J••• C••••••••• C••••••• from F•••••••• W••• G••••Jan 16, 2008 · Other
- A•••••• N•• C••••• from A•••••• I••••• I••••••••• A••••••••• L••Jan 4, 2008 · Other
- J•••• K••••••• M•••• from F•••••••• W••• G••••Jan 3, 2008 · Other
- K••••• A••• S••••••••• from F•••••••• W••• G••••Jan 3, 2008 · Other
- P••••• S•••••• B••••• from F•••••••• W••• G••••Jan 3, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• D• J••••••• N••••• J••••••• · Chief Financial Officercontrolsince 06/2022 · owns less than 5%
- C•••••• A•••••• · President/Chief Compliance Officer/Shareholdercontrolsince 04/2007 · owns 25% to 50%
- M••••••• J•••• M••••• · Shareholdersince 04/2007 · owns 25% to 50%
Entity owners
- I••••••••• S•••••• · Shareholderdirect · owns 25% to 50%
- H••••••• S•••••• · Shareholderindirect · owns 75% or more of I••••••••• S••••••
Related persons
Schedule D 7.A
- P•••••••• R•••••••• G••••• I•••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Coral Gables, Fl · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Dn North Yehuda, Israel1 employees
- Jerusalem, Israel1 employees
- Caracas, Venezuela1 employees
- Caracas, Venezuela1 employees
- Caracas, Venezuela1 employees
- Caracas, Venezuela1 employees
- Caracas, Venezuela1 employees
- Miami, FL1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 362 to 428Nov 15, 2024 to Oct 17, 2025
- Advisory employees · 16 to 15Nov 15, 2024 to Oct 17, 2025
- BD registered reps · 12 to 13Nov 15, 2024 to Oct 17, 2025
- Corporate clients · 27 to 30Nov 15, 2024 to Oct 17, 2025
- HNW clients · 8 to 11Nov 15, 2024 to Oct 17, 2025
- Individual clients · 301 to 307Nov 15, 2024 to Oct 17, 2025
- Employees · 16 to 17Nov 15, 2024 to Oct 17, 2025
- Financial planning clients · 1-10 to 11-25Nov 15, 2024 to Oct 17, 2025
- Discretionary RAUM · $116M to $122MNov 15, 2024 to Oct 17, 2025
- HNW RAUM · $13.2M to $18.2MNov 15, 2024 to Oct 17, 2025
- Individual RAUM · $82.0M to $82.9MNov 15, 2024 to Oct 17, 2025
- Non-discretionary RAUM · $0 to $162,859Nov 15, 2024 to Oct 17, 2025
- Pension RAUM · $12,057 to $13,500Nov 15, 2024 to Oct 17, 2025
- RAUM · $116M to $122MNov 15, 2024 to Oct 17, 2025
- Wrap assets (sponsor) · $116M to $122MNov 15, 2024 to Oct 17, 2025
- Accounts · 533 to 362Oct 18, 2024 to Nov 15, 2024
- Advisory employees · 18 to 16Oct 18, 2024 to Nov 15, 2024
- BD registered reps · 14 to 12Oct 18, 2024 to Nov 15, 2024
- Corporate clients · 31 to 27Oct 18, 2024 to Nov 15, 2024
- HNW clients · 4 to 8Oct 18, 2024 to Nov 15, 2024
- Individual clients · 342 to 301Oct 18, 2024 to Nov 15, 2024
- Employees · 18 to 16Oct 18, 2024 to Nov 15, 2024
- Financial planning clients · 0 to 1-10Oct 18, 2024 to Nov 15, 2024
- HQ city · MIAMI to CORAL GABLESOct 18, 2024 to Nov 15, 2024
- State-registered IARs · 14 to 12Oct 18, 2024 to Nov 15, 2024
- Discretionary RAUM · $108M to $116MOct 18, 2024 to Nov 15, 2024
- HNW RAUM · $5.3M to $13.2MOct 18, 2024 to Nov 15, 2024
- Individual RAUM · $78.1M to $82.0MOct 18, 2024 to Nov 15, 2024
- Pension RAUM · $10,839 to $12,057Oct 18, 2024 to Nov 15, 2024
- RAUM · $108M to $116MOct 18, 2024 to Nov 15, 2024
- Wrap assets (manager) · $2.5M to $0Oct 18, 2024 to Nov 15, 2024
- Wrap assets (sponsor) · $105M to $116MOct 18, 2024 to Nov 15, 2024
- Other offices · 11 to 10Jan 29, 2024 to May 24, 2024
- Other offices · 10 to 11Oct 16, 2023 to Jan 29, 2024
- Accounts · 456 to 533Sep 27, 2022 to Oct 16, 2023
- Advisory employees · 15 to 18Sep 27, 2022 to Oct 16, 2023
- BD registered reps · 11 to 14Sep 27, 2022 to Oct 16, 2023
- Corporate clients · 24 to 31Sep 27, 2022 to Oct 16, 2023
- HNW clients · 5 to 4Sep 27, 2022 to Oct 16, 2023
- Individual clients · 284 to 342Sep 27, 2022 to Oct 16, 2023
Signals
3 dated events
- J••••••• Nancy Baquero De Jimenez (Chief Financial Officer) appeared on Schedule A of P•••••••• R•••••••• A•••••• G••••• I•••Oct 16, 2023 · Control person joined · fact
- P•••••••• R•••••••• A•••••• G••••• I••• reported 17 offices beyond its principal office, up from 11 (2020-06-10 to 2020-10-13)Oct 13, 2020 · Office count change · derived
- P•••••••• R•••••••• A•••••• G••••• I••• filed its initial SEC registration (Form ADV)Sep 6, 2017 · First SEC registration · fact
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
- Website
- isasiwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 305-372-0299reportedpublic record, Form ADV, Oct 17, 2025
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
- $11.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026