DFX Intelligence

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D••••• C••••••• L••

Independent wealth managerSEC-registered· Coral Gables, Floridawebsite

Independent wealth manager, based in Coral Gables, Florida, reporting $226M of regulatory assets across 1 registered advisors.

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

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $226M
Advisors: 1
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +8.2%
Private clients: 100% of RAUM, $226M

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+8.2%
RAUM, one year
RAUM $209M to $226M (+8.2%) on the Form ADV filed 30 Mar 2026, while advisors on the filing rose 1 to 1.
Assets holding up while advisors and offices fall means the departures have not yet shown in the assets; the next filing will.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 158122 · SEC 801-72521 · 24 filingsShow

CRD 158122SEC 801-72521First filing on the tape Mar 30, 2012, latest Mar 30, 2026SEC status approved since Jun 24, 2011IAPD

RAUM

$226M

reported, Item 5.F

Discretionary

88%

of RAUM

Private clients

100%

$226M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$226M

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$226M as of Mar 30, 2026

Mar 30, 2012$105M then

HNW client RAUM$225M as of Mar 30, 2026

Mar 30, 2018$214M then

State-registered IARs (5.B.3)1 as of Mar 30, 2026

Mar 30, 20120 then

Employees (5.A)5 as of Mar 30, 2026

Mar 27, 20136 then

Private funds: no history

RAUM +8.2% over the last fiscal year+9.9% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 rulesShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $226MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 86derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.8MderivedHNW RAUM over HNW clients
Average account: $2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 88%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 5.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +8.2%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +4.9%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$225M100%
Individuals$761,9970.3%

Individual clients: 6reported
HNW clients: 80reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 108reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

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 departure Every arrival

Advisors registered through the firm

1 on IAPD today; the 10 longest tenured

Name	Branch	Here since	In industry	Prior firms
A••••• S•••••• D•••	Coral Gables, Fl	Apr 28, 2022	11 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

G••••••••• A•••••• · Chief Compliance Officercontrol
since 08/2011 · owns less than 5%
S•••••• D•••• A••••• · Chief Investment Officercontrol
since 02/2024 · owns less than 5%
S••••••• J•••• · Membercontrol
since 08/2011 · owns 25% to 50%
M••••••••• J••••• · Member
since 08/2011 · owns 10% to 25%
P••••••• A•••••• · Member
since 06/2019 · owns 25% to 50%

Entity owners

B•••••• C•••••• V••••••• I••• · Trustee
indirect · owns F of T•• A••••••• T••••
T•• A••••••• T•••• · Owner
indirect · owns 75% or more of A••••••• L••••••
A••••••• L•••••• · Member
direct · owns 10% to 25%

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 · 101 to 108
Mar 4, 2025 to Mar 30, 2026
HNW clients · 76 to 80
Mar 4, 2025 to Mar 30, 2026
Discretionary RAUM · $177M to $199M
Mar 4, 2025 to Mar 30, 2026
HNW RAUM · $208M to $225M
Mar 4, 2025 to Mar 30, 2026
Individual RAUM · $555,180 to $761,997
Mar 4, 2025 to Mar 30, 2026

Full history · 80 changes

Non-discretionary RAUM · $31.5M to $27.3M
Mar 4, 2025 to Mar 30, 2026
RAUM · $209M to $226M
Mar 4, 2025 to Mar 30, 2026
HNW clients · 84 to 76
Mar 14, 2024 to Mar 4, 2025
Individual clients · 0 to 6
Mar 14, 2024 to Mar 4, 2025
Financial planning clients · unset to
Mar 14, 2024 to Mar 4, 2025
Discretionary RAUM · $160M to $177M
Mar 14, 2024 to Mar 4, 2025
HNW RAUM · $210M to $208M
Mar 14, 2024 to Mar 4, 2025
Individual RAUM · $0 to $555,180
Mar 14, 2024 to Mar 4, 2025
Non-discretionary RAUM · $49.8M to $31.5M
Mar 14, 2024 to Mar 4, 2025
RAUM · $210M to $209M
Mar 14, 2024 to Mar 4, 2025
Accounts · 97 to 101
Mar 31, 2023 to Mar 14, 2024
HNW clients · 74 to 84
Mar 31, 2023 to Mar 14, 2024
Discretionary RAUM · $124M to $160M
Mar 31, 2023 to Mar 14, 2024
HNW RAUM · $170M to $210M
Mar 31, 2023 to Mar 14, 2024
Non-discretionary RAUM · $46.9M to $49.8M
Mar 31, 2023 to Mar 14, 2024
RAUM · $170M to $210M
Mar 31, 2023 to Mar 14, 2024
Accounts · 101 to 97
Mar 30, 2022 to Mar 31, 2023
HNW clients · 78 to 74
Mar 30, 2022 to Mar 31, 2023
HQ city · MIAMI to CORAL GABLES
Mar 30, 2022 to Mar 31, 2023
State-registered IARs · 0 to 1
Mar 30, 2022 to Mar 31, 2023
Discretionary RAUM · $141M to $124M
Mar 30, 2022 to Mar 31, 2023
HNW RAUM · $207M to $170M
Mar 30, 2022 to Mar 31, 2023
Non-discretionary RAUM · $65.9M to $46.9M
Mar 30, 2022 to Mar 31, 2023
RAUM · $207M to $170M
Mar 30, 2022 to Mar 31, 2023
Accounts · 106 to 101
Mar 31, 2021 to Mar 30, 2022
HNW clients · 85 to 78
Mar 31, 2021 to Mar 30, 2022
Employees · 2 to 5
Mar 31, 2021 to Mar 30, 2022
Discretionary RAUM · $142M to $141M
Mar 31, 2021 to Mar 30, 2022
HNW RAUM · $210M to $207M
Mar 31, 2021 to Mar 30, 2022
Non-discretionary RAUM · $68.7M to $65.9M
Mar 31, 2021 to Mar 30, 2022
RAUM · $210M to $207M
Mar 31, 2021 to Mar 30, 2022
Accounts · 105 to 106
Jan 19, 2021 to Mar 31, 2021
HNW clients · 87 to 85
Jan 19, 2021 to Mar 31, 2021
Discretionary RAUM · $134M to $142M
Jan 19, 2021 to Mar 31, 2021
HNW RAUM · $202M to $210M
Jan 19, 2021 to Mar 31, 2021
Non-discretionary RAUM · $68.1M to $68.7M
Jan 19, 2021 to Mar 31, 2021
RAUM · $202M to $210M
Jan 19, 2021 to Mar 31, 2021
Accounts · 111 to 105
Jul 23, 2019 to Mar 16, 2020
HNW clients · 82 to 87
Jul 23, 2019 to Mar 16, 2020
Employees · 3 to 2
Jul 23, 2019 to Mar 16, 2020
Discretionary RAUM · $133M to $134M
Jul 23, 2019 to Mar 16, 2020
HNW RAUM · $198M to $202M
Jul 23, 2019 to Mar 16, 2020
Non-discretionary RAUM · $64.8M to $68.1M
Jul 23, 2019 to Mar 16, 2020
RAUM · $198M to $202M
Jul 23, 2019 to Mar 16, 2020
Accounts · 100 to 111
Mar 30, 2018 to Mar 12, 2019
Advisory employees · 3 to 2
Mar 30, 2018 to Mar 12, 2019
Employees · 5 to 3
Mar 30, 2018 to Mar 12, 2019
Discretionary RAUM · $140M to $133M
Mar 30, 2018 to Mar 12, 2019
HNW RAUM · $214M to $198M
Mar 30, 2018 to Mar 12, 2019
Non-discretionary RAUM · $73.7M to $64.8M
Mar 30, 2018 to Mar 12, 2019
RAUM · $214M to $198M
Mar 30, 2018 to Mar 12, 2019
Accounts · 103 to 100
Mar 30, 2017 to Mar 30, 2018
Advisory employees · 2 to 3
Mar 30, 2017 to Mar 30, 2018
Charity clients · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
Corporate clients · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
HNW clients · unset to 82.0
Mar 30, 2017 to Mar 30, 2018
Individual clients · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
Pension plan clients · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
Pooled vehicle clients · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
Other offices · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
Discretionary RAUM · $173M to $140M
Mar 30, 2017 to Mar 30, 2018
HNW RAUM · unset to 213856196.0
Mar 30, 2017 to Mar 30, 2018
Individual RAUM · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
Non-discretionary RAUM · $38.8M to $73.7M
Mar 30, 2017 to Mar 30, 2018
Pension RAUM · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
Pooled vehicle RAUM · unset to 0.0
Mar 30, 2017 to Mar 30, 2018
RAUM · $212M to $214M
Mar 30, 2017 to Mar 30, 2018
Accounts · 98 to 103
Mar 22, 2016 to Mar 30, 2017
Discretionary RAUM · $151M to $173M
Mar 22, 2016 to Mar 30, 2017
Non-discretionary RAUM · $34.5M to $38.8M
Mar 22, 2016 to Mar 30, 2017
RAUM · $186M to $212M
Mar 22, 2016 to Mar 30, 2017
Advisory employees · 1 to 2
Nov 3, 2015 to Mar 22, 2016
Employees · 4 to 5
Nov 3, 2015 to Mar 22, 2016
Discretionary RAUM · $135M to $151M
Nov 3, 2015 to Mar 22, 2016
Non-discretionary RAUM · $54.3M to $34.5M
Nov 3, 2015 to Mar 22, 2016

Signals

1 dated events

••• Locked
Mar 14, 2024 · 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: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 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: $226Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026