DFX Intelligence

RIA Intelligence

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SEC-registered adviser

P••••••• G•••••• P••••••• L••

Asset manager (funds and pooled vehicles)Boca Raton, FloridaCRD 157907SEC 801-73464IAPD

Latest filing Mar 27, 2026

First filing on the tape Feb 13, 2012 · 24 filings

SEC status approved since Mar 29, 2012

RAUM

$1.7B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

24 filings and snapshots on the tape

RAUM$1.7B as of Mar 27, 2026

Mar 7, 2013$1.3B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2026

Mar 7, 20130 then

Employees (5.A)5 as of Mar 27, 2026

Mar 7, 20135 then

Private funds1 as of Mar 27, 2026

Mar 7, 20132 then

RAUM +0.3% over the last fiscal year+4.5% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 2026; 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: $565MderivedRAUM 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: +0.3%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 assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $1.0B, 1 clientsreportedItem 9.A
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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$1.7B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $1.0B for 1 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

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 departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
P••••••• A••••••••• L•	Hedge Fund	$1.2B	139	Feb 13, 2012
P••••••• I••••••••• P••••••• L•	Hedge Fund	$54.1M	2	Feb 13, 2012

Owners and control persons

Schedule A and B, latest filing

C••••• M•••••••• L• · Cco,Cfocontrol
since 01/2012 · owns less than 5%
S••••• T•••••• W•••••• · Managing Membercontrol
since 01/2012 · owns less than 5%
V••••••••• S••••• J• · Managing Membercontrol
since 01/2012 · 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

Assets in custody · $1.0B to $1.0B
Oct 6, 2025 to Mar 27, 2026
Employees · 4 to 5
Oct 6, 2025 to Mar 27, 2026
Discretionary RAUM · $1.7B to $1.7B
Oct 6, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $1.7B to $1.7B
Oct 6, 2025 to Mar 27, 2026
RAUM · $1.7B to $1.7B
Oct 6, 2025 to Mar 27, 2026
Pooled vehicle clients · 2 to 1
Mar 13, 2024 to Mar 20, 2025
Assets in custody · $1.3B to $1.0B
Mar 13, 2024 to Mar 20, 2025
Financial planning clients · unset to
Mar 13, 2024 to Mar 20, 2025
Private funds · 2 to 1
Mar 13, 2024 to Mar 20, 2025
Discretionary RAUM · $2.0B to $1.7B
Mar 13, 2024 to Mar 20, 2025
Pooled vehicle RAUM · $2.0B to $1.7B
Mar 13, 2024 to Mar 20, 2025
RAUM · $2.0B to $1.7B
Mar 13, 2024 to Mar 20, 2025
Assets in custody · $962M to $1.3B
Mar 13, 2023 to Mar 13, 2024
Discretionary RAUM · $1.5B to $2.0B
Mar 13, 2023 to Mar 13, 2024
Pooled vehicle RAUM · $1.5B to $2.0B
Mar 13, 2023 to Mar 13, 2024
RAUM · $1.5B to $2.0B
Mar 13, 2023 to Mar 13, 2024
Advisory employees · 3 to 2
Mar 16, 2022 to Mar 13, 2023
Assets in custody · $2.2B to $962M
Mar 16, 2022 to Mar 13, 2023
Employees · 5 to 4
Mar 16, 2022 to Mar 13, 2023
Discretionary RAUM · $3.3B to $1.5B
Mar 16, 2022 to Mar 13, 2023
Pooled vehicle RAUM · $3.3B to $1.5B
Mar 16, 2022 to Mar 13, 2023
RAUM · $3.3B to $1.5B
Mar 16, 2022 to Mar 13, 2023
Assets in custody · $1.9B to $2.2B
Mar 8, 2021 to Mar 16, 2022
Discretionary RAUM · $2.7B to $3.3B
Mar 8, 2021 to Mar 16, 2022
Pooled vehicle RAUM · $2.7B to $3.3B
Mar 8, 2021 to Mar 16, 2022
RAUM · $2.7B to $3.3B
Mar 8, 2021 to Mar 16, 2022
Assets in custody · $1.7B to $1.9B
Mar 6, 2020 to Mar 8, 2021
Financial planning clients · 1-10 to unset
Mar 6, 2020 to Mar 8, 2021
Discretionary RAUM · $2.5B to $2.7B
Mar 6, 2020 to Mar 8, 2021
Pooled vehicle RAUM · $2.5B to $2.7B
Mar 6, 2020 to Mar 8, 2021
RAUM · $2.5B to $2.7B
Mar 6, 2020 to Mar 8, 2021
Assets in custody · $1.8B to $1.7B
Mar 14, 2019 to Mar 6, 2020
Discretionary RAUM · $2.6B to $2.5B
Mar 14, 2019 to Mar 6, 2020
Pooled vehicle RAUM · $2.6B to $2.5B
Mar 14, 2019 to Mar 6, 2020
RAUM · $2.6B to $2.5B
Mar 14, 2019 to Mar 6, 2020
Assets in custody · $2.7B to $1.8B
Jul 30, 2018 to Mar 14, 2019
Discretionary RAUM · $2.7B to $2.6B
Jul 30, 2018 to Mar 14, 2019
Pooled vehicle RAUM · $1.9B to $2.6B
Jul 30, 2018 to Mar 14, 2019
RAUM · $2.7B to $2.6B
Jul 30, 2018 to Mar 14, 2019
Pooled vehicle clients · unset to 2.0
Feb 27, 2017 to Mar 7, 2018

Signals

3 dated events

P••••••• G•••••• P••••••• L•• reported RAUM $2.0B, up 33% from $1.5B (2023-03-13 to 2024-03-13)
Mar 13, 2024 · RAUM change · derived
P••••••• G•••••• P••••••• L•• reported RAUM $1.5B, down 55% from $3.3B (2022-03-16 to 2023-03-13)
Mar 13, 2023 · RAUM change · derived
P••••••• G•••••• P••••••• L•• reported RAUM $2.7B, up 37% from $2.0B (2017-02-27 to 2018-03-07)
Mar 7, 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.

How to reach

public business contact points only, each with its source

Principal office phone: 561-314-0800reportedpublic record, Form ADV, Mar 27, 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: Asset manager (funds and pooled vehicles)deriveda 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