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
S••••• A••••••• S••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 20, 2012 · 24 filings
SEC status approved since Feb 12, 2008
RAUM
$6.3B
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
99%
$6.2B individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$6.3B
derived; firm RAUM over IAPD count
Employees
21
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$6.3B as of Mar 31, 2026
Mar 20, 2012$833M then
HNW client RAUM$6.2B as of Mar 31, 2026
Mar 26, 2018$1.7B then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Feb 21, 20130 then
Employees (5.A)21 as of Mar 31, 2026
Feb 21, 201310 then
Private funds3 as of Mar 31, 2026
Mar 20, 20121 then
RAUM +55% over the last fiscal year+33% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $6.3BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $63.7MderivedHNW RAUM over HNW clients
- Average account
- $9.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 21.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +55%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $36.6M, 3 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$6.2B99%
- Pooled investment vehicles$41.8M0.7%
- Individual clients
- n/areported
- HNW clients
- 98reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 690reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $36.6M for 3 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.99 fund_share=0.01 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• H••••••• | Miami, Fl | Nov 30, 2025 | 15 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- F••••••• P•••• M••••••• to C•••••••• C•••••• A••••••• L••Mar 5, 2025 · RIA to RIA
Joined, latest
- R•••••• H••••••• from U•• F•••••••• S••••••• I•••Nov 30, 2025 · Wirehouse to independent RIA
- F••••••• P•••• M••••••• from G•• I••••••••• A••••••Dec 17, 2018 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• S•• | Other Private Fund | $27.0M | 43 | Mar 10, 2017 |
| S•• P•••••• C•••• F••• I•• L•• | Private Equity Fund | $9.6M | 21 | Mar 31, 2022 |
| S•• K•• L•• | $5.2M | 10 | Mar 31, 2026 | |
| S•• M•••••• A••••• V•••••• L•••no longer reported | Hedge Fund | $1.2M | 22 | Mar 20, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••• L•••• M•••• · Chief Compliance Officercontrolsince 02/2020 · owns less than 5%
- P••••• D• P•••••• C••••••• · Coocontrolsince 03/2019 · owns less than 5%
- P•••••• C•••••• E•••••• · Chairman Of The Boardcontrolsince 02/2025 · owns less than 5%
- V•••• R••••• A•••••• · Ceocontrolsince 02/2025 · owns less than 5%
- D• V••• C•••••• C••••••• D• S•••••• · M••••••controlsince 02/2007 · owns 50% to 75% of C•• H•••••••• L••
- P•••••• C•••••• E•••••• · Ownercontrolsince 05/2019 · owns 25% to 50% of I••••••• L••
Entity owners
- I••••••• L•• · Ownerdirect · owns 75% or more
- C•• H•••••••• L•• · Ownerindirect · owns 50% to 75% of I••••••• L••
Related persons
Schedule D 7.A
- S••••• C•••••• P••••••• L••investment adviserpooled vehicle sponsornRAUM $1.0B
Advisers that list S••••• A••••••• S••••••• L•• as a related person
- 163081 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl | 1 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Coral Gables, FL3 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 369.0 to 690.0 (+87.0%) between the annual amendments of 2025-03-25 and 2026-03-31; the peer median change was +8.0% (253 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $5B to $20B (253) · 94% percentile
- control person changedChange between filings · filing Mar 31, 2026V•••• R••••• A•••••• (CEO) appeared on Schedule A between the filings of 2020-02-28 and 2026-03-31peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 31, 2026D• V••• C•••••• C••••••• D• S•••••• (M••••••) left Schedule A between the filings of 2020-02-28 and 2026-03-31peers: independent wealth managers, $5B to $20B (289)
- private fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-25 and 2026-03-31; the peer median change was 0.0% (71 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $5B to $20B (71) · 93% percentile
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $4,060,308,136 to $6,286,367,512 (+55.0%) between the annual amendments of 2025-03-25 and 2026-03-31; the peer median change was +18.0% (271 comparable advisers, 91.0th percentile of changes)peers: independent wealth managers, $5B to $20B (271) · 91% percentile
What changed
consecutive filings, newest first
- Accounts · 369 to 690Dec 11, 2025 to Mar 31, 2026
- Advisory employees · 9 to 10Dec 11, 2025 to Mar 31, 2026
- HNW clients · 88 to 98Dec 11, 2025 to Mar 31, 2026
- Pooled vehicle clients · 2 to 3Dec 11, 2025 to Mar 31, 2026
- Assets in custody · $33.5M to $36.6MDec 11, 2025 to Mar 31, 2026
- Employees · 22 to 21Dec 11, 2025 to Mar 31, 2026
- State-registered IARs · 2 to 1Dec 11, 2025 to Mar 31, 2026
- Private funds · 2 to 3Dec 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.6B to $4.2BDec 11, 2025 to Mar 31, 2026
- HNW RAUM · $4.0B to $6.2BDec 11, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.4B to $2.1BDec 11, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $34.6M to $41.8MDec 11, 2025 to Mar 31, 2026
- RAUM · $4.1B to $6.3BDec 11, 2025 to Mar 31, 2026
- Accounts · 460 to 369Oct 16, 2024 to Mar 25, 2025
- Advisory employees · 12 to 9Oct 16, 2024 to Mar 25, 2025
- HNW clients · 100 to 88Oct 16, 2024 to Mar 25, 2025
- Assets in custody · $31.4M to $33.5MOct 16, 2024 to Mar 25, 2025
- Employees · 24 to 22Oct 16, 2024 to Mar 25, 2025
- Financial planning clients · 51-100 to 51-100Oct 16, 2024 to Mar 25, 2025
- Discretionary RAUM · $2.2B to $2.6BOct 16, 2024 to Mar 25, 2025
- HNW RAUM · $3.9B to $4.0BOct 16, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $1.8B to $1.4BOct 16, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $36.3M to $34.6MOct 16, 2024 to Mar 25, 2025
- RAUM · $3.9B to $4.1BOct 16, 2024 to Mar 25, 2025
- Accounts · 470 to 460Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $28.5M to $31.4MMar 31, 2023 to Mar 28, 2024
- Financial planning clients · 101-250 to 51-100Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.8B to $2.2BMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $2.6B to $3.9BMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $870M to $1.8BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $36.1M to $36.3MMar 31, 2023 to Mar 28, 2024
- RAUM · $2.7B to $3.9BMar 31, 2023 to Mar 28, 2024
- Accounts · 414 to 470Nov 15, 2022 to Mar 31, 2023
- HNW clients · 103 to 100Nov 15, 2022 to Mar 31, 2023
- Assets in custody · $22.1M to $28.5MNov 15, 2022 to Mar 31, 2023
- Employees · 23 to 24Nov 15, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.4B to $1.8BNov 15, 2022 to Mar 31, 2023
- HNW RAUM · $2.6B to $2.6BNov 15, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $282M to $870MNov 15, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $22.1M to $36.1MNov 15, 2022 to Mar 31, 2023
Signals
5 dated events
- S••••• A••••••• S••••••• L•• reported RAUM $6.3B, up 55% from $4.1B (2025-12-11 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- F••••••• P•••• M••••••• left S••••• A••••••• S••••••• L•• for C•••••••• C•••••• A••••••• L•• (registered 2025-11-21)Mar 5, 2025 · a•••••• firm change · fact
- S••••• A••••••• S••••••• L•• reported RAUM $3.9B, up 48% from $2.7B (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- S••••• A••••••• S••••••• L•• reported RAUM $3.2B, up 66% from $1.9B (2020-06-22 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Maria Lina Arias (Chief Compliance Officer) appeared on Schedule A of S••••• A••••••• S••••••• L••Feb 28, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- S••••• A••••••• S••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••• A••••••• S••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S•••••.COM/A••••••Y-SERVICESreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-920-3890reportedpublic record, Form ADV, Mar 31, 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
- $6.3Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026