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F••••• I••••••••• C•••••••••

Former SEC-registered adviserFormer SEC adviser· Coral Gables, Florida

Former SEC-registered adviser, based in Coral Gables, Florida, reporting $79.3M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$79.3M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-21%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $79.3M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 153810 · SEC 801-71462 · 15 filingsShow
CRD 153810SEC 801-71462First filing on the tape Feb 10, 2012, latest Jun 26, 2020IAPD
RAUM
$79.3M
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
100%
$79.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$79.3M as of Mar 4, 2020
Feb 10, 2012$402M then
HNW client RAUM$64.1M as of Mar 4, 2020
Feb 13, 2018$149M then
State-registered IARs (5.B.3)1 as of Mar 4, 2020
Feb 10, 20120 then
Employees (5.A)1 as of Mar 4, 2020
Feb 5, 20139 then
Private funds: no history
RAUM -21% over the last fiscal year-50% a year over threeIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Jun 26, 2020; every figure names its basis
RAUM per advisor
$79.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
72derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
66%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-62%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$64.1M81%
  • Individuals$15.2M19%
Individual clients
42reported
HNW clients
30reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
57reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••• S••• F••• B•••no longer reportedHedge Fund$2.3M1May 18, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • J••••••• A•••••• H••••••• · Owner; President; And Chief Compliance Officercontrol
        since 04/2010 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 188 to 57
        Jun 25, 2019 to Mar 4, 2020
      • HNW clients · 15 to 30
        Jun 25, 2019 to Mar 4, 2020
      • Individual clients · 173 to 42
        Jun 25, 2019 to Mar 4, 2020
      • Employees · 8 to 1
        Jun 25, 2019 to Mar 4, 2020
      • Financial planning clients · 0 to unset
        Jun 25, 2019 to Mar 4, 2020
      • Other offices · 1 to 0
        Jun 25, 2019 to Mar 4, 2020
      • Discretionary RAUM · $65.0M to $52.6M
        Jun 25, 2019 to Mar 4, 2020
      • HNW RAUM · $35.0M to $64.1M
        Jun 25, 2019 to Mar 4, 2020
      • Individual RAUM · $65.0M to $15.2M
        Jun 25, 2019 to Mar 4, 2020
      • Non-discretionary RAUM · $35.0M to $26.7M
        Jun 25, 2019 to Mar 4, 2020
      • RAUM · $100M to $79.3M
        Jun 25, 2019 to Mar 4, 2020
      • Accounts · 220 to 188
        Sep 24, 2018 to Mar 1, 2019
      • HNW clients · 47 to 15
        Sep 24, 2018 to Mar 1, 2019
      • Discretionary RAUM · $149M to $65.0M
        Sep 24, 2018 to Mar 1, 2019
      • HNW RAUM · $149M to $35.0M
        Sep 24, 2018 to Mar 1, 2019
      • Non-discretionary RAUM · $65.0M to $35.0M
        Sep 24, 2018 to Mar 1, 2019
      • RAUM · $214M to $100M
        Sep 24, 2018 to Mar 1, 2019
      • Accounts · 103 to 220
        May 18, 2017 to Feb 13, 2018
      • Advisory activities · 4 to 2
        May 18, 2017 to Feb 13, 2018
      • Charity clients · unset to 0.0
        May 18, 2017 to Feb 13, 2018
      • Corporate clients · unset to 0.0
        May 18, 2017 to Feb 13, 2018
      • HNW clients · unset to 47.0
        May 18, 2017 to Feb 13, 2018
      • Individual clients · unset to 173.0
        May 18, 2017 to Feb 13, 2018
      • Pension plan clients · unset to 0.0
        May 18, 2017 to Feb 13, 2018
      • Pooled vehicle clients · unset to 0.0
        May 18, 2017 to Feb 13, 2018
      • Assets in custody · 2300000.0 to unset
        May 18, 2017 to Feb 13, 2018
      • Custody of client assets · true to false
        May 18, 2017 to Feb 13, 2018
      • Other offices · unset to 1.0
        May 18, 2017 to Feb 13, 2018
      • Private funds · 1 to unset
        May 18, 2017 to Feb 13, 2018
      • Discretionary RAUM · $475M to $149M
        May 18, 2017 to Feb 13, 2018
      • HNW RAUM · unset to 148688318.0
        May 18, 2017 to Feb 13, 2018
      • Individual RAUM · unset to 65000000.0
        May 18, 2017 to Feb 13, 2018
      • Non-discretionary RAUM · $15.8M to $65.0M
        May 18, 2017 to Feb 13, 2018
      • Pension RAUM · unset to 0.0
        May 18, 2017 to Feb 13, 2018
      • Pooled vehicle RAUM · unset to 0.0
        May 18, 2017 to Feb 13, 2018
      • RAUM · $491M to $214M
        May 18, 2017 to Feb 13, 2018
      • Accounts · 253 to 103
        Feb 20, 2017 to May 18, 2017
      • Advisory activities · 3 to 4
        Feb 20, 2017 to May 18, 2017
      • Commission compensation · true to false
        Feb 20, 2017 to May 18, 2017
      • Assets in custody · unset to 2300000.0
        Feb 20, 2017 to May 18, 2017
      Signals
      2 dated events
      • ••• Locked
        Mar 1, 2019 · RAUM change · derived
      • ••• Locked
        Feb 13, 2018 · RAUM change · derived
      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