DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

D••• C•••••• U•• I•••

Independent wealth managerMiami, FloridaCRD 153544SEC 801-71575websiteIAPD
Latest filing Mar 6, 2026
First filing on the tape Jan 3, 2012 · 35 filings
SEC status approved since Jun 21, 2010
RAUM
$563M
reported, Item 5.F
Discretionary
33%
of RAUM
Private clients
73%
$414M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$282M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$563M as of Mar 6, 2026
Mar 29, 2012$89.0M then
HNW client RAUM$411M as of Mar 6, 2026
Mar 28, 2018$183M then
State-registered IARs (5.B.3)0 as of Mar 6, 2026
Mar 29, 20120 then
Employees (5.A)3 as of Mar 6, 2026
Mar 27, 20133 then
Private funds: no history
RAUM +9.2% over the last fiscal year+8.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes, each a printed rule
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$282MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
26derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$8.6MderivedHNW RAUM over HNW clients
Average account
$9.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
33%derivedof RAUM
Institutional
1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.2%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-5.5%derived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisers, publicationsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$411M73%
  • Corporations and businesses$143M25%
  • Charitable organizations$6.5M1.2%
  • Individuals$2.7M0.5%
Individual clients
4reported
HNW clients
48reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
58reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
Class basis
private_client_share=0.73 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A•••• J•••• K•••••Miami, FlApr 2, 201318 y0
D•••• A••••• S•••Miami, FlApr 2, 201316 y0
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
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
      • H•••• B••••••••• L•••••• R••• · Chief Compliance Officercontrol
        since 01/2020 · owns less than 5%
      • K•••••• A••••• J•••• · Chief Executive Officer, Directorcontrol
        since 02/2009 · owns less than 5%
      • S•••• D••••• A••••• · Director Of Investments, Directorcontrol
        since 01/2010 · owns less than 5%
      • K•••••• A••••• J•••• · Shareholdercontrol
        since 04/2007 · owns 75% or more of D••• C•••••• A•
      • S•••• D••••• A••••• · Shareholdercontrol
        since 01/2018 · owns F of D••• C•••••• A•
      Entity owners
      • D••• C•••••• A• · Foreign Entity
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • D••• C•••••• A•
        investment advisery
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Miami, Fl · principal200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • unusually large average accountStatic outlier · filing Mar 6, 2026
        RAUM per account of $9,709,058 against a peer median of $610,947 (1443 comparable advisers, 99.0th percentile, 6.1 robust deviations)
        peers: independent wealth managers, $500M to $1B (1,443) · 99% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 61 to 58
        Mar 11, 2025 to Mar 6, 2026
      • Individual clients · 7 to 4
        Mar 11, 2025 to Mar 6, 2026
      • Discretionary RAUM · $165M to $185M
        Mar 11, 2025 to Mar 6, 2026
      • HNW RAUM · $383M to $411M
        Mar 11, 2025 to Mar 6, 2026
      • Individual RAUM · $3.3M to $2.7M
        Mar 11, 2025 to Mar 6, 2026
      • Non-discretionary RAUM · $351M to $378M
        Mar 11, 2025 to Mar 6, 2026
      • RAUM · $516M to $563M
        Mar 11, 2025 to Mar 6, 2026
      • Accounts · 65 to 61
        Oct 29, 2024 to Mar 11, 2025
      • Corporate clients · 7 to 5
        Oct 29, 2024 to Mar 11, 2025
      • HNW clients · 44 to 48
        Oct 29, 2024 to Mar 11, 2025
      • Individual clients · 13 to 7
        Oct 29, 2024 to Mar 11, 2025
      • Financial planning clients · 0 to 0
        Oct 29, 2024 to Mar 11, 2025
      • Discretionary RAUM · $81.9M to $165M
        Oct 29, 2024 to Mar 11, 2025
      • HNW RAUM · $433M to $383M
        Oct 29, 2024 to Mar 11, 2025
      • Individual RAUM · $7.1M to $3.3M
        Oct 29, 2024 to Mar 11, 2025
      • Non-discretionary RAUM · $460M to $351M
        Oct 29, 2024 to Mar 11, 2025
      • RAUM · $542M to $516M
        Oct 29, 2024 to Mar 11, 2025
      • Accounts · 67 to 65
        Mar 29, 2023 to Feb 29, 2024
      • Corporate clients · 9 to 7
        Mar 29, 2023 to Feb 29, 2024
      • HNW clients · 43 to 44
        Mar 29, 2023 to Feb 29, 2024
      • Individual clients · 14 to 13
        Mar 29, 2023 to Feb 29, 2024
      • Employees · 2 to 3
        Mar 29, 2023 to Feb 29, 2024
      • Discretionary RAUM · $65.1M to $81.9M
        Mar 29, 2023 to Feb 29, 2024
      • HNW RAUM · $351M to $433M
        Mar 29, 2023 to Feb 29, 2024
      • Individual RAUM · $5.3M to $7.1M
        Mar 29, 2023 to Feb 29, 2024
      • Non-discretionary RAUM · $376M to $460M
        Mar 29, 2023 to Feb 29, 2024
      • RAUM · $441M to $542M
        Mar 29, 2023 to Feb 29, 2024
      • Accounts · 69 to 67
        Feb 1, 2023 to Mar 29, 2023
      • Corporate clients · 8 to 9
        Feb 1, 2023 to Mar 29, 2023
      • HNW clients · 46 to 43
        Feb 1, 2023 to Mar 29, 2023
      • Discretionary RAUM · $103M to $65.1M
        Feb 1, 2023 to Mar 29, 2023
      • HNW RAUM · $300M to $351M
        Feb 1, 2023 to Mar 29, 2023
      • Individual RAUM · $4.7M to $5.3M
        Feb 1, 2023 to Mar 29, 2023
      • Non-discretionary RAUM · $327M to $376M
        Feb 1, 2023 to Mar 29, 2023
      • RAUM · $430M to $441M
        Feb 1, 2023 to Mar 29, 2023
      • HQ city · unset to MIAMI
        Jun 3, 2022 to Feb 1, 2023
      • HQ state · unset to FL
        Jun 3, 2022 to Feb 1, 2023
      • Accounts · 68 to 69
        Jun 14, 2021 to Mar 17, 2022
      • Corporate clients · 11 to 8
        Jun 14, 2021 to Mar 17, 2022
      • HNW clients · 44 to 46
        Jun 14, 2021 to Mar 17, 2022
      Signals
      3 dated events
      • D••• C•••••• U•• I••• reported RAUM $419.9M, up 39% from $303.1M (2020-11-26 to 2021-03-23)
        Mar 23, 2021 · RAUM change · derived
      • D••• C•••••• U•• I••• reported RAUM $303.1M, up 66% from $182.5M (2019-03-12 to 2020-03-24)
        Mar 24, 2020 · RAUM change · derived
      • Laurent Rene Barthelemy Helg (Chief Compliance Officer) appeared on Schedule A of D••• C•••••• U•• I•••
        Mar 24, 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
      Business phone
      646-779-9760reportedpublished by the firm, firm site, Sep 15, 2026
      Website
      D•••CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      646-779-9760reportedpublic record, Form ADV, Mar 6, 2026
      Team page
      daracapital.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
      $282Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026