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
A•••••• A••••••• L••
Latest filing May 18, 2026
First filing on the tape May 1, 2014 · 36 filings
SEC status approved since May 19, 2014
RAUM
$806M
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
100%
$806M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$67.2M
derived; firm RAUM over IAPD count
Employees
13
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$806M as of May 18, 2026
Mar 31, 2015$266M then
HNW client RAUM$629M as of May 18, 2026
Mar 29, 2018$695M then
State-registered IARs (5.B.3)0 as of May 18, 2026
Mar 31, 20154 then
Employees (5.A)13 as of May 18, 2026
Mar 31, 201511 then
Private funds: no history
RAUM -7.5% over the last fiscal year+3.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $67.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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
- 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
- High-net-worth individuals$629M78%
- Individuals$177M22%
- Individual clients
- 95reported
- HNW clients
- 377reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 472reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=10.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• E•••••• G••••• | Miami, Fl | Oct 6, 2015 | 12 y | 0 |
| K•••• V•••••• M•••••• | Miami, Fl | Dec 17, 2015 | 18 y | 3 |
| A•• C••••••• A•••• | Miami, Fl | Aug 29, 2024 | 13 y | 2 |
| M••••• J••• C•••••• | Miami, Fl | Jan 1, 2025 | 13 y | 1 |
| A••••• L••• C•••••• M••••Chartered Financial Analyst | Miami, Fl | Jan 16, 2025 | 10 y | 0 |
| L•••• P••• | Miami, Fl | Jan 23, 2025 | 14 y | 0 |
| L•••••• C••••• D• A•••••• | Miami, Fl | May 2, 2025 | 15 y | 0 |
| H••••• H•••••••• R•••• | Miami, Fl | Jul 25, 2025 | 10 y | 0 |
| L••• F••••••• B••••••••• | Miami, Fl | Dec 15, 2025 | 22 y | 2 |
| A••••• R•••••• S••••••• | Miami, Fl | Dec 16, 2025 | 32 y | 4 |
| J••• P•••• V•••••• | Miami, Fl | Jan 1, 2026 | 16 y | 0 |
| R•••••• M••••• B•••• | Miami, Fl | May 14, 2026 | 11 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- G•••••• S••••• Z••••• N•••• to S•••••••• S•••••••••Oct 18, 2024 · RIA to affiliated broker-dealer or bank
- M•••••• F••••• U••• to P•• W••••• M•••••••••Nov 21, 2022 · RIA to affiliated broker-dealer or bank
- M•••••• B••••••• to I••••••• A••••••• S•••••••• L••Sep 30, 2020 · RIA to RIA
- G••••••• M••••• to H••••• F••••• O••••• L••Jun 11, 2019 · Other
- A•••••• G•••• R••• to M••• C•••••• M••••••••• L••Apr 23, 2018 · RIA to RIA
- D••••• E••••• to M••• C•••••• M••••••••• L••Apr 23, 2018 · RIA to RIA
- J••••• R•••••••• A••••• to K••••••• C••••••Aug 23, 2016 · Other
Joined, latest
- R•••••• M••••• B•••• from W••• I••••••••• L••May 14, 2026 · RIA to RIA
- A••••• R•••••• S••••••• from L••••• W•Dec 16, 2025 · Other
- L••• F••••••• B••••••••• from M••••• S••••••Dec 15, 2025 · Wirehouse to independent RIA
- M••••• J••• C•••••• from B••••••• G••••• A•••••••• I•••Jan 1, 2025 · Other
- A•• C••••••• A•••• from M••••• S••••••Aug 29, 2024 · Wirehouse to independent RIA
- M•••••• F••••• U••• from C••••• I••••••••• A••••••• L••Jan 14, 2022 · Affiliated broker-dealer or bank to independent RIA
- M•••••• B••••••• from M••••• S••••••Oct 19, 2016 · Other
- K•••• V•••••• M•••••• from M••••• S••••••Dec 17, 2015 · Other
- G••••••• M••••• from C••••• S••••• P•••••• A•••••••Feb 26, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M••• C•••••• M••••••••• L••Apr 23, 2018 · Miami, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• A••••••• R••••• A••••• · Risk Managercontrolsince 06/2022 · owns less than 5%
- D••• D• E•••••• I••• · Chief Executive Officercontrolsince 06/2022 · owns less than 5%
- Z•••• J•••• J••••• · Chief Compliance Officercontrolsince 08/2023 · owns less than 5%
Entity owners
- A•••••• W••••• M••••••••• L•• · Memberdirect · owns 75% or more
- A•••••• B••• A•••••• R•••• S••• · Shareholderindirect · owns 75% or more of Z••••••• B•••
- Z••••••• B••• · Memberindirect · owns 75% or more of A•••••• W••••• M••••••••• L••
Related persons
Schedule D 7.A
- A•••••• B••• A•••••• R•••• S•••custodiany
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 12 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 509 to 472Jul 24, 2025 to Mar 10, 2026
- BD registered reps · 9 to 10Jul 24, 2025 to Mar 10, 2026
- HNW clients · 408 to 377Jul 24, 2025 to Mar 10, 2026
- Individual clients · 101 to 95Jul 24, 2025 to Mar 10, 2026
- Employees · 12 to 13Jul 24, 2025 to Mar 10, 2026
- Discretionary RAUM · $466M to $538MJul 24, 2025 to Mar 10, 2026
- HNW RAUM · $697M to $629MJul 24, 2025 to Mar 10, 2026
- Individual RAUM · $174M to $177MJul 24, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $406M to $269MJul 24, 2025 to Mar 10, 2026
- RAUM · $872M to $806MJul 24, 2025 to Mar 10, 2026
- Financial planning clients · unset to May 13, 2025 to Jul 24, 2025
- Accounts · 441 to 509Apr 2, 2024 to Mar 10, 2025
- Advisory employees · 9 to 10Apr 2, 2024 to Mar 10, 2025
- BD registered reps · 8 to 9Apr 2, 2024 to Mar 10, 2025
- HNW clients · 353 to 408Apr 2, 2024 to Mar 10, 2025
- Individual clients · 88 to 101Apr 2, 2024 to Mar 10, 2025
- Employees · 10 to 12Apr 2, 2024 to Mar 10, 2025
- Discretionary RAUM · $422M to $466MApr 2, 2024 to Mar 10, 2025
- HNW RAUM · $684M to $697MApr 2, 2024 to Mar 10, 2025
- Individual RAUM · $171M to $174MApr 2, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $433M to $406MApr 2, 2024 to Mar 10, 2025
- RAUM · $855M to $872MApr 2, 2024 to Mar 10, 2025
- Accounts · 387 to 441Sep 6, 2023 to Mar 27, 2024
- Advisory employees · 5 to 9Sep 6, 2023 to Mar 27, 2024
- BD registered reps · 4 to 8Sep 6, 2023 to Mar 27, 2024
- HNW clients · 387 to 353Sep 6, 2023 to Mar 27, 2024
- Individual clients · unset to 88.0Sep 6, 2023 to Mar 27, 2024
- Employees · 6 to 10Sep 6, 2023 to Mar 27, 2024
- Discretionary RAUM · $352M to $422MSep 6, 2023 to Mar 27, 2024
- HNW RAUM · $734M to $684MSep 6, 2023 to Mar 27, 2024
- Individual RAUM · unset to 171012999.0Sep 6, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $381M to $433MSep 6, 2023 to Mar 27, 2024
- RAUM · $734M to $855MSep 6, 2023 to Mar 27, 2024
- Accounts · 353 to 387Jan 5, 2023 to Mar 31, 2023
- HNW clients · 353 to 387Jan 5, 2023 to Mar 31, 2023
- Discretionary RAUM · $351M to $352MJan 5, 2023 to Mar 31, 2023
- HNW RAUM · $735M to $734MJan 5, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $383M to $381MJan 5, 2023 to Mar 31, 2023
- RAUM · $735M to $734MJan 5, 2023 to Mar 31, 2023
- Accounts · 315 to 353Mar 1, 2022 to Apr 1, 2022
Signals
12 dated events
- G•••••• S••••• Z••••• N•••• left A•••••• A••••••• L•• for S•••••••• S••••••••• (registered 2026-01-16)Oct 18, 2024 · Advisor changed firm · fact
- Joseph John Zeno (Chief Compliance Officer) appeared on Schedule A of A•••••• A••••••• L••Sep 6, 2023 · Control person joined · fact
- Elizabeth Angelique Figueroa (Chief Compliance Officer / Amlco) no longer on Schedule A of A•••••• A••••••• L•• (listed 2023-05-26, absent 2023-09-06)Sep 6, 2023 · Control person left · inference
- Andres Ruben Dinamarca Araneda (Risk Manager) appeared on Schedule A of A•••••• A••••••• L••Mar 31, 2023 · Control person joined · fact
- M•••••• F••••• U••• left A•••••• A••••••• L•• for P•• W••••• M••••••••• (registered 2022-12-06)Nov 21, 2022 · Advisor changed firm · fact
- Ivan Dolz De Espejo (Chief Executive Officer) appeared on Schedule A of A•••••• A••••••• L••Jun 21, 2022 · Control person joined · fact
- Nmn Joaquin Frances (Managing Director) no longer on Schedule A of A•••••• A••••••• L•• (listed 2022-04-01, absent 2022-06-21)Jun 21, 2022 · Control person left · inference
- Elizabeth Angelique Figueroa (Chief Compliance Officer / Amlco) appeared on Schedule A of A•••••• A••••••• L••Jul 1, 2021 · Control person joined · fact
- A•••••• A••••••• L•• reported RAUM $572.8M, up 35% from $425.7M (2019-04-15 to 2020-05-12)May 12, 2020 · RAUM change · derived
- A•••••• A••••••• L•• reported RAUM $425.7M, down 39% from $694.8M (2018-05-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- A•••••• A••••••• L•• reported RAUM $694.8M, up 56% from $444.4M (2017-03-30 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- A•••••• A••••••• L•• filed its initial SEC registration (Form ADV)May 1, 2014 · 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
- Principal office phone
- 305-702-0601reportedpublic record, Form ADV, May 18, 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
- $67.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026