DFX Intelligence

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C• I••••••••• A•••••••• L••

Former SEC-registered adviserFormer SEC adviser· Wellington, Florida

Former SEC-registered adviser, based in Wellington, Florida, reporting $42.0M of regulatory assets.

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

As of 2014-04-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $42.0M
RAUM change, 1 year: +2.4%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2014-04-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 25 Apr 2014, RAUM $41M to $42M (+2.4%) on the Form ADV filed 25 Apr 2014.

Every filed figure, and the identifiersCRD 158840 · SEC 801-72735 · 6 filingsShow

CRD 158840SEC 801-72735First filing on the tape Dec 1, 2011, latest Apr 25, 2014IAPD

RAUM

$42.0M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

6 filings and snapshots on the tape

RAUM +2.4% over the last fiscal year · the tape starts Dec 1, 2011

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$42.0M as of Apr 25, 2014

Feb 12, 2013$41.0M then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Apr 25, 2014

Feb 12, 20131 then

Employees (5.A)1 as of Apr 25, 2014

Feb 12, 20131 then

Private funds: no history

RAUM +2.4% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Apr 25, 2014; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $42.0MderivedRAUM 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: $1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%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: +2.4%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 23reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

L••••••• B•••••••• R••• · Chief Compliance Officer
since 01/2010 · 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 · 21 to 23
May 16, 2013 to Apr 25, 2014
HQ city · BAY HARBOR ISLANDS to WELLINGTON
May 16, 2013 to Apr 25, 2014
Non-discretionary RAUM · $41.0M to $42.0M
May 16, 2013 to Apr 25, 2014
RAUM · $41.0M to $42.0M
May 16, 2013 to Apr 25, 2014
Succession · true to false
May 16, 2013 to Apr 25, 2014

Full history · 14 changes

Succession · false to true
Feb 12, 2013 to May 16, 2013
Accounts · 19 to 21
Jan 10, 2012 to Feb 12, 2013
Advisory employees · unset to 1.0
Jan 10, 2012 to Feb 12, 2013
Employees · unset to 1.0
Jan 10, 2012 to Feb 12, 2013
HQ city · BUENOS AIRES to BAY HARBOR ISLANDS
Jan 10, 2012 to Feb 12, 2013
HQ state · unset to FL
Jan 10, 2012 to Feb 12, 2013
State-registered IARs · 0 to 1
Jan 10, 2012 to Feb 12, 2013
Non-discretionary RAUM · $25.0M to $41.0M
Jan 10, 2012 to Feb 12, 2013
RAUM · $25.0M to $41.0M
Jan 10, 2012 to Feb 12, 2013

Signals

1 dated events

••• Locked
May 16, 2013 · Succession (Item 4) · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026