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.

Former SEC-registered adviser

Efg Capital Advisors LLC

Former SEC-registered adviserMiami, FloridaCRD 145208SEC 801-68609IAPD
Latest filing Mar 28, 2014
First filing on the tape Mar 29, 2012 · 8 filings
RAUM
$48.2M
reported, Item 5.F
Discretionary
100%
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$48.2M as of Mar 28, 2014
Mar 29, 2012$373M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 28, 2014
Mar 28, 201333 then
Employees (5.A)5 as of Mar 28, 2014
Mar 28, 201336 then
Private funds: no history
RAUM -83% over the last fiscal yearIARs 33 to 4
Practice profile
derived from the filing of Mar 28, 2014; every figure names its basis
RAUM per advisor
$12.0MderivedRAUM 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
$426,472derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-83%derivedbetween the last two annual amendments
Advisor growth, one year
-88%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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)
  • 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)
  • a related person acts as qualified custodian (9.D.2)
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
113reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Sixto Campano · Board Member/Presidentcontrol
    since 10/2007 · owns less than 5%
  • Manuel Victor Echevarria · Board Member/Chairmancontrol
    since 10/2007 · owns less than 5%
  • Carlos Juan Massens · Chief Financial Officercontrol
    since 10/2007 · owns less than 5%
  • Ava Natalia Napoleon · Chief Compliance Officercontrol
    since 04/2013 · owns less than 5%
  • Howard Steven Vogel · Senior Vice Presidentcontrol
    since 11/2008 · owns less than 5%
  • William Scott Weyman · Sr. Regional Director & Supervisorcontrol
    since 06/2008 · owns less than 5%
  • A Marcelo Alvarez · Board Member
    since 10/2007 · owns less than 5%
Entity owners
  • Efg Capital Holdings Corp. · Parent
    direct · owns 75% or more
  • Bdd 2 Trust · Shareholder
    indirect · owns 50% to 75% of Private Financial Holdings Limited
  • Efg Bank European Financial Group Sa · Parent
    indirect · owns 25% to 50% of Efg International Ag
  • Efg European Financial Group Ltd. · Parent
    indirect · owns 75% or more of European Financial Group (Luxembourg) Sa
  • Efg International Ag · Parent
    indirect · owns 75% or more of Efg Capital Holdings Corp.
  • European Financial Group Efg (Luxembourg) Sa · Parent
    indirect · owns 75% or more of Efg Bank European Financial Group Sa
  • Private Financial Holdings Limited · Parent
    indirect · owns 75% or more of Efg European Financial Group Ltd.
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Key Biscayne, FL
  • Los Angeles, CA
What changed
consecutive filings, newest first
  • Accounts · 233 to 113
    Apr 26, 2013 to Mar 28, 2014
  • Advisory employees · 35 to 4
    Apr 26, 2013 to Mar 28, 2014
  • Advisory activities · 3 to 4
    Apr 26, 2013 to Mar 28, 2014
  • BD registered reps · 33 to 2
    Apr 26, 2013 to Mar 28, 2014
  • Employees · 36 to 5
    Apr 26, 2013 to Mar 28, 2014
  • State-registered IARs · 33 to 4
    Apr 26, 2013 to Mar 28, 2014
  • Discretionary RAUM · $53.2M to $48.2M
    Apr 26, 2013 to Mar 28, 2014
  • Non-discretionary RAUM · $229M to $0
    Apr 26, 2013 to Mar 28, 2014
  • RAUM · $283M to $48.2M
    Apr 26, 2013 to Mar 28, 2014
  • Accounts · 262 to 233
    Sep 28, 2012 to Mar 28, 2013
  • Advisory employees · unset to 35.0
    Sep 28, 2012 to Mar 28, 2013
  • BD registered reps · unset to 33.0
    Sep 28, 2012 to Mar 28, 2013
  • Employees · unset to 36.0
    Sep 28, 2012 to Mar 28, 2013
  • State-registered IARs · unset to 33.0
    Sep 28, 2012 to Mar 28, 2013
  • Discretionary RAUM · $85.9M to $53.2M
    Sep 28, 2012 to Mar 28, 2013
  • Non-discretionary RAUM · $287M to $229M
    Sep 28, 2012 to Mar 28, 2013
  • RAUM · $373M to $283M
    Sep 28, 2012 to Mar 28, 2013
  • Related bank · false to true
    Sep 28, 2012 to Mar 28, 2013
  • Business name · EFG CAPITAL ASSET MANAGEMENT LLC to EFG CAPITAL ADVISORS LLC
    May 4, 2012 to Sep 28, 2012
  • Insurance-licensed employees · 1 to 0
    May 4, 2012 to Sep 28, 2012
  • Legal name · EFG CAPITAL ASSET MANAGEMENT LLC to EFG CAPITAL ADVISORS LLC
    May 4, 2012 to Sep 28, 2012
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