DFX Intelligence
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M••••••• A•••• M••••••••• L••
Independent wealth manager, based in Coral Gables, Florida, reporting $236M of regulatory assets across 3 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $236M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +18%
- Private clients
- 99% of RAUM, $235M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $200MRAUM now $236M
- Contact points 2
Every filed figure, and the identifiersCRD 144620 · SEC 801-96296 · 20 filingsShowHide
CRD 144620SEC 801-96296First filing on the tape May 8, 2015, latest Feb 24, 2026SEC status approved since May 15, 2015IAPD
RAUM
$236M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$235M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$78.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$236M as of Feb 24, 2026
Mar 28, 2016$336M then
HNW client RAUM$228M as of Feb 24, 2026
Mar 29, 2018$120M then
State-registered IARs (5.B.3)3 as of Feb 24, 2026
Mar 28, 20164 then
Employees (5.A)3 as of Feb 24, 2026
Mar 28, 20165 then
Private funds: no history
RAUM +18% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $78.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.5MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.2%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $5.3M, 4 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$228M97%
- Individuals$6.4M2.7%
- Pension and profit-sharing plans$1.3M0.6%
- Corporations and businesses$1,7240.0%
- Individual clients
- 15reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 154reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.3M for 4 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- D••••• R••• O•••• to S••••••••• A•••••••• L••Jul 18, 2017 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• J•••••• M••••• · Managing Member / Chief Compliance Officercontrolsince 01/2010 · owns 25% to 50%
- M•••••••• M••••• R••••••• · Managing Membercontrolsince 02/2005 · owns 25% to 50%
- M•••••••• R••••• M••••• · Managing Membercontrolsince 02/2005 · owns 25% to 50%
Related persons
Schedule D 7.A
- J••••• M• M•••••••y
- M•••• M•••••••insurancey
- R•••• M•••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Coral Gables, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 145 to 154Aug 13, 2025 to Feb 24, 2026
- Individual clients · 13 to 15Aug 13, 2025 to Feb 24, 2026
- Assets in custody · $4.7M to $5.3MAug 13, 2025 to Feb 24, 2026
- Discretionary RAUM · $200M to $236MAug 13, 2025 to Feb 24, 2026
- HNW RAUM · $194M to $228MAug 13, 2025 to Feb 24, 2026
- Individual RAUM · $5.1M to $6.4MAug 13, 2025 to Feb 24, 2026
- Pension RAUM · $982,144 to $1.3MAug 13, 2025 to Feb 24, 2026
- RAUM · $200M to $236MAug 13, 2025 to Feb 24, 2026
- Financial planning clients · 0 to 0Mar 12, 2025 to Aug 13, 2025
- Accounts · 139 to 145Mar 28, 2024 to Mar 12, 2025
- Corporate clients · 1.0 to unsetMar 28, 2024 to Mar 12, 2025
- Individual clients · 12 to 13Mar 28, 2024 to Mar 12, 2025
- Pension plan clients · 1.0 to unsetMar 28, 2024 to Mar 12, 2025
- Assets in custody · $4.9M to $4.7MMar 28, 2024 to Mar 12, 2025
- Discretionary RAUM · $177M to $200MMar 28, 2024 to Mar 12, 2025
- HNW RAUM · $169M to $194MMar 28, 2024 to Mar 12, 2025
- Individual RAUM · $3.9M to $5.1MMar 28, 2024 to Mar 12, 2025
- Pension RAUM · $4.0M to $982,144Mar 28, 2024 to Mar 12, 2025
- RAUM · $177M to $200MMar 28, 2024 to Mar 12, 2025
- Accounts · 130 to 139Mar 23, 2023 to Mar 28, 2024
- HNW clients · 37 to 35Mar 23, 2023 to Mar 28, 2024
- Individual clients · 14 to 12Mar 23, 2023 to Mar 28, 2024
- Assets in custody · $5.0M to $4.9MMar 23, 2023 to Mar 28, 2024
- Discretionary RAUM · $164M to $177MMar 23, 2023 to Mar 28, 2024
- HNW RAUM · $156M to $169MMar 23, 2023 to Mar 28, 2024
- Individual RAUM · $3.2M to $3.9MMar 23, 2023 to Mar 28, 2024
- Pension RAUM · $3.6M to $4.0MMar 23, 2023 to Mar 28, 2024
- RAUM · $164M to $177MMar 23, 2023 to Mar 28, 2024
- Accounts · 131 to 130Mar 19, 2022 to Mar 23, 2023
- HNW clients · 32 to 37Mar 19, 2022 to Mar 23, 2023
- Individual clients · 19 to 14Mar 19, 2022 to Mar 23, 2023
- Assets in custody · $5.2M to $5.0MMar 19, 2022 to Mar 23, 2023
- Discretionary RAUM · $173M to $164MMar 19, 2022 to Mar 23, 2023
- HNW RAUM · $164M to $156MMar 19, 2022 to Mar 23, 2023
- Individual RAUM · $4.2M to $3.2MMar 19, 2022 to Mar 23, 2023
- Pension RAUM · $3.8M to $3.6MMar 19, 2022 to Mar 23, 2023
- RAUM · $173M to $164MMar 19, 2022 to Mar 23, 2023
- Accounts · 169 to 131Mar 18, 2021 to Mar 19, 2022
- Corporate clients · 2 to 1Mar 18, 2021 to Mar 19, 2022
- HNW clients · 30 to 32Mar 18, 2021 to Mar 19, 2022
Signals
1 dated events
- ••• LockedMay 8, 2015 · 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
- ••• Lockedreportedpublic record, Form ADV, Feb 24, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 24, 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
- $78.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026