DFX Intelligence

RIA Intelligence

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SEC-registered adviser

R•••••• • F•••••••• S••••••••

No RAUM reportedCoconut Grove, FloridaCRD 146082SEC 801-69584website IAPD

Legal name R•••••• L••

Latest filing Jul 23, 2026

First filing on the tape Dec 14, 2011 · 31 filings

SEC status approved since Sep 19, 2008

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

31 filings and snapshots on the tape

RAUM$0 as of Jul 23, 2026

Mar 27, 2025$0 then

HNW client RAUM: no history

State-registered IARs (5.B.3)2 as of Jul 23, 2026

Mar 28, 20131 then

Employees (5.A)5 as of Jul 23, 2026

Mar 28, 20134 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 4 to 2

Practice profile

derived from the filing of Jul 23, 2026; every figure names its basis

RAUM per advisor: $0derivedRAUM 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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: -50%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: fixed fees, otherreportedItem 5.E
Advisory activities: pension consulting, otherreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

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: 12reported
Charitable clients: n/areported
Accounts: 0reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: fixedreported
Class basis: private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
B•••• K••	Coconut Grove, Fl	Sep 17, 2021	13 y	0
G•••• H•••••	Coconut Grove, Fl	Sep 8, 2026	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

C•••••••• N••••• W••••• to E•••••• A••••••• G••••• L••
Aug 16, 2023 · Other

Joined, latest

C•••••••• N••••• W••••• from F••••••• P••••••• A•• W•••••••• A•••••••
Dec 8, 2021 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D••••• B•••• · Chief Executive Officer And Chief Compliance Officercontrol
since 11/2019 · owns 10% to 25%
D••••• R•••••• C••••• · Membercontrol
since 01/2007 · owns 50% to 75%
M•••••••• S••••••• E••• · President
since 01/2007 · owns 10% to 25%
T•••••• T••••••• C••••• · Chief Technology Officer
since 03/2008 · owns 10% to 25%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Coconut Grove, Fl · principal	2	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

employee count dropChange between filings · filing Mar 25, 2026
employees (Item 5.A) moved from 11.0 to 5.0 (-55.0%) between the annual amendments of 2025-03-27 and 2026-03-25; the peer median change was 0.0% (103 comparable advisers, 4.0th percentile of changes)
peers: other advisers, under $100M (103) · 3.9% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Pension plan clients · 101 to 12
Mar 27, 2025 to Mar 25, 2026
Employees · 11 to 5
Mar 27, 2025 to Mar 25, 2026
State-registered IARs · 4 to 2
Mar 27, 2025 to Mar 25, 2026
Accounts · unset to 0.0
Mar 27, 2024 to Mar 27, 2025
Financial planning clients · unset to
Mar 27, 2024 to Mar 27, 2025
Discretionary RAUM · unset to 0.0
Mar 27, 2024 to Mar 27, 2025
Non-discretionary RAUM · unset to 0.0
Mar 27, 2024 to Mar 27, 2025
RAUM · unset to 0.0
Mar 27, 2024 to Mar 27, 2025
Employees · 14 to 11
Mar 24, 2023 to Mar 27, 2024
State-registered IARs · 6 to 4
Mar 24, 2023 to Mar 27, 2024
State-registered IARs · 5 to 6
Aug 7, 2022 to Mar 24, 2023
HQ city · MIAMI to COCONUT GROVE
Mar 29, 2022 to Aug 7, 2022
BD registered reps · 1 to 0
Oct 20, 2021 to Mar 29, 2022
Business name · F•••••••• S•••••••• to R•••••• • F•••••••• S••••••••
Oct 20, 2021 to Mar 29, 2022
State-registered IARs · 0 to 5
Oct 20, 2021 to Mar 29, 2022
Succession · true to false
Oct 20, 2021 to Mar 29, 2022
Legal name · F•••••••• S•••••••• INVESTMENT ADVISOR, LLC to R•••••• L••
Oct 15, 2021 to Oct 20, 2021
Succession · false to true
Oct 15, 2021 to Oct 20, 2021
Other offices · 1 to 0
Jul 9, 2021 to Oct 15, 2021
HQ city · ALPHARETTA to MIAMI
Mar 29, 2021 to Jul 9, 2021
HQ state · GA to FL
Mar 29, 2021 to Jul 9, 2021
BD registered reps · 0 to 1
Mar 25, 2020 to Mar 29, 2021
Employees · 7 to 14
Mar 25, 2020 to Mar 29, 2021
Other offices · 0 to 1
Mar 14, 2019 to Mar 25, 2020
Pension plan clients · unset to 101.0
Mar 24, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Mar 24, 2017 to Mar 29, 2018
Employees · 5 to 7
Feb 22, 2016 to Mar 23, 2016
Advisory employees · 3 to 1
Oct 18, 2014 to Mar 26, 2015
Employees · 4 to 5
Oct 18, 2014 to Mar 26, 2015
Insurance-licensed employees · 1 to 0
Oct 18, 2014 to Mar 26, 2015
State-registered IARs · 1 to 0
Oct 18, 2014 to Mar 26, 2015
Advisory employees · unset to 3.0
Mar 28, 2012 to Oct 31, 2012
Employees · unset to 4.0
Mar 28, 2012 to Oct 31, 2012
State-registered IARs · unset to 1.0
Mar 28, 2012 to Oct 31, 2012
Accounts · 18.0 to unset
Dec 14, 2011 to Mar 28, 2012
Discretionary RAUM · 0.0 to unset
Dec 14, 2011 to Mar 28, 2012
Non-discretionary RAUM · 1070994980.0 to unset
Dec 14, 2011 to Mar 28, 2012
RAUM · 1070994980.0 to unset
Dec 14, 2011 to Mar 28, 2012

Signals

3 dated events

C•••••••• N••••• W••••• left R•••••• • F•••••••• S•••••••• for E•••••• A••••••• G••••• L•• (registered 2024-07-12)
Aug 16, 2023 · Advisor changed firm · fact
F•••••••• S•••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Oct 20, 2021 · Succession (Item 4) · fact
B•••• D•••• (Chief Executive Officer And Chief Compliance Officer) appeared on Schedule A of R•••••• • F•••••••• S••••••••
Mar 25, 2020 · Control person joined · 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

Firm profile: LINKEDIN.COM/COMPANY/FINANCIAL-S••••••••reportedpublic record, Form ADV, Sep 21, 2026
Website: r••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 786-697-0839reportedpublic record, Form ADV, Jul 23, 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: No RAUM reportedderiveda 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