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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Former SEC-registered adviser

U•• F••• S•••••••• I•••

Former SEC-registered adviserPort Of Spain, CRD 149222SEC 801-69870IAPD
Latest filing Mar 28, 2019
First filing on the tape Mar 19, 2012 · 11 filings
RAUM
$50,000
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
11
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$50,000 as of Mar 28, 2019
Mar 19, 2012$29.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 19, 20120 then
Employees (5.A)11 as of Mar 28, 2019
Mar 8, 201312 then
Private funds: no history
RAUM -100% over the last fiscal year-89% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$50,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-100%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • Investment companies$50,000100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• D••••••• A••••• · Chairmancontrol
        since 01/2016 · owns less than 5%
      • D••••••••• G••••• C•••••• · Directorcontrol
        since 09/2018 · owns less than 5%
      • E••••••• K•••••••• · Treasurercontrol
        since 03/2015 · owns less than 5%
      • G••••••••• K••••• S••••••• · Directorcontrol
        since 02/2018 · owns less than 5%
      • M••••••• K•••••• D••• · Chief Compliance Officercontrol
        since 06/2018 · owns less than 5%
      • M••••••••• L••••• A••••• · Directorcontrol
        since 03/2015 · owns less than 5%
      • M•••• S••••• A•• · President And Directorcontrol
        since 03/2015 · owns less than 5%
      • R••••••••• L••••• D•••••• · Directorcontrol
        since 03/2015 · owns less than 5%
      • S••••• D•••••• R•••••• · Directorcontrol
        since 02/2018 · owns less than 5%
      Entity owners
      • T••••••• • T••••• U••• T•••• C••••••••• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $42.8M to $50,000
        Jun 28, 2018 to Mar 28, 2019
      • RAUM · $42.8M to $50,000
        Jun 28, 2018 to Mar 28, 2019
      • Other offices · unset to 0.0
        Mar 15, 2017 to Mar 29, 2018
      • Discretionary RAUM · $41.6M to $42.8M
        Mar 15, 2017 to Mar 29, 2018
      • RAUM · $41.6M to $42.8M
        Mar 15, 2017 to Mar 29, 2018
      • BD registered reps · 3 to 1
        Mar 22, 2016 to Mar 15, 2017
      • Employees · 12 to 11
        Mar 22, 2016 to Mar 15, 2017
      • Discretionary RAUM · $38.5M to $41.6M
        Mar 22, 2016 to Mar 15, 2017
      • RAUM · $38.5M to $41.6M
        Mar 22, 2016 to Mar 15, 2017
      • BD registered reps · 1 to 3
        Mar 31, 2015 to Mar 22, 2016
      • Discretionary RAUM · $41.2M to $38.5M
        Mar 31, 2015 to Mar 22, 2016
      • RAUM · $41.2M to $38.5M
        Mar 31, 2015 to Mar 22, 2016
      • Advisory employees · 7 to 8
        May 16, 2014 to Mar 31, 2015
      • BD registered reps · 3 to 1
        May 16, 2014 to Mar 31, 2015
      • Employees · 10 to 12
        May 16, 2014 to Mar 31, 2015
      • Discretionary RAUM · $35.4M to $41.2M
        May 16, 2014 to Mar 31, 2015
      • RAUM · $35.4M to $41.2M
        May 16, 2014 to Mar 31, 2015
      • Advisory employees · 9 to 7
        Mar 8, 2013 to Mar 17, 2014
      • BD registered reps · 4 to 3
        Mar 8, 2013 to Mar 17, 2014
      • Employees · 12 to 10
        Mar 8, 2013 to Mar 17, 2014
      • Discretionary RAUM · $30.9M to $35.4M
        Mar 8, 2013 to Mar 17, 2014
      • RAUM · $30.9M to $35.4M
        Mar 8, 2013 to Mar 17, 2014
      • Advisory employees · unset to 9.0
        Mar 19, 2012 to Mar 8, 2013
      • BD registered reps · unset to 4.0
        Mar 19, 2012 to Mar 8, 2013
      • Employees · unset to 12.0
        Mar 19, 2012 to Mar 8, 2013
      • Discretionary RAUM · $29.8M to $30.9M
        Mar 19, 2012 to Mar 8, 2013
      • RAUM · $29.8M to $30.9M
        Mar 19, 2012 to Mar 8, 2013
      Signals
      2 dated events
      • Elizabeth Amoy Van Lowe (Director) no longer on Schedule A of U•• F••• S•••••••• I••• (listed 2018-06-28, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      • Cirilla Gayle Daniel-Worrell (Director) appeared on Schedule A of U•• F••• S•••••••• I•••
        Mar 28, 2019 · 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.
      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