DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Efg Private Wealth Management (Americas) Corp.

Wealth manager with institutional or fund businessMiami, FloridaCRD 158905SEC 801-72773websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 58 filings
SEC status approved since Oct 3, 2011
RAUM
$2.3B
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
35%
$813M individuals and HNW
Advisors
47
registered through the firm on IAPD
RAUM per advisor
$49.0M
derived; firm RAUM over IAPD count
Employees
56
25 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
58 filings and snapshots on the tape
RAUM$2.3B as of Mar 31, 2026
Mar 29, 2012$508M then
HNW client RAUM$735M as of Mar 31, 2026
Mar 29, 2018$591M then
State-registered IARs (5.B.3)46 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)56 as of Mar 31, 2026
Mar 28, 201313 then
Private funds: no history
RAUM +20% over the last fiscal year+16% a year over threeIARs 37 to 46offices 0 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
RAUM per advisor
$49.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
7derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$3.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
85%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
23.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+24%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.8%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$52.5MreportedItem 5.I
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$1.1B48%
  • High-net-worth individuals$735M32%
  • Banks and thrifts$371M16%
  • Individuals$77.6M3.4%
  • Charitable organizations$9.8M0.4%
Individual clients
103reported
HNW clients
205reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
696reported
Financial planning clients
reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.35 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=52.0derived
Advisors registered through the firm
47 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Hans Anton AbateMiami, FlAug 23, 201224 y2
Janet RodriguezChartered Financial AnalystMiami, FlMar 24, 201414 y1
Ana Carolina Toffoli DesouzaMiami, FlJan 4, 201714 y0
Paulo LernerMiami, FlJan 11, 201711 y0
Rubens FerraroniMiami, FlJan 13, 201711 y0
Jennifer Desiree Marcelle-JamesMiami, FlAug 17, 201814 y1
Hugo A Baquero VelasquezMiami, FlAug 28, 201917 y0
J Alexander CaldwellMiami, FlNov 12, 201928 y2
Roberto Elias Gadala-MariaMiami, FlNov 12, 201924 y2
Lauro Duarte CancelaMiami, FlNov 15, 201913 y1
Fernando Monteiro De BarrosMiami, FlNov 19, 201917 y2
Kenia Naves RochaMiami, FlNov 21, 201917 y2
Andres S PadillaMiami, FlNov 26, 201917 y2
Cristina Rosibel UlvertMiami, FlDec 7, 201917 y2
Luciana Ferreira Cupido RibeiroMiami, FlDec 7, 201913 y1
Eric Byron SmalleyMiami, FlDec 7, 201919 y2
Maria Del Carmen Romero SalvadeMiami, FlDec 7, 201916 y2
Humberto Romeo GarciaMiami, FlJan 7, 202017 y1
Paul Alberto Pestana ValeriMiami, FlJun 3, 202010 y0
Krystal Ann BarceloMiami, FlNov 2, 202115 y1
Luis Roberto PrandiniMiami, FlJan 24, 202228 y4
Grace Adele ArkaljiMiami, FlFeb 22, 202213 y1
Manuel I. PimentelMiami, FlMar 4, 202210 y0
Juan Carlos Gomez CanalesMiami, Fl Mar 14, 202317 y0
Julia Cioffi SantosMiami, FlAug 9, 202312 y0
Luiz BarrosMiami, FlSep 12, 202311 y0
Michael Alan AndrewsMiami, Fl Sep 19, 202313 y9
Carlos Javier GonzalezMiami, FlNov 21, 202316 y4
Isabela JardimMiami, FlJan 24, 202411 y4
Juancarlos ZamoranoMiami, FlMay 6, 202412 y1
Carlos Fernando MenesesMiami, FlMay 6, 202410 y3
Vanessa LimaMiami, FlDec 5, 202410 y3
Alejandro A CouttenyeMiami, FlJan 1, 202513 y1
Florina Mendez VelezMiami, Fl Jan 10, 202510 y0
Morris Mattout GuindiPanama City Jan 29, 202510 y0
Leandro AraujoMiami, FlFeb 7, 202512 y0
Raphael Caria De Freitas PinheiroChartered Financial AnalystMiami, FlFeb 21, 202511 y1
Felipe Sebe LopesMiami, FlFeb 28, 20259 y1
Fernando De Carvalho Olea CostaMiami, FlMar 27, 202511 y1
Thiago FaveryChartered Financial AnalystMiami, FlMar 27, 202519 y1
All 47 advisors at Efg Private Wealth Management (Americas) Corp.
Advisor movement
2 left, 2 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 4.3% of current headcount6 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Mozamil Afzal · Directorcontrol
    since 09/2011 · owns less than 5%
  • Silva Leonardo Borges · Chief Operations Officercontrol
    since 04/2023 · owns less than 5%
  • Moliterno Da Eduardo Cruz · Chief Executive Officer, Directorcontrol
    since 03/2017 · owns less than 5%
  • Guilherme Luis De Melo Ferreira · Deputy Chief Executive Officercontrol
    since 07/2025 · owns less than 5%
  • Manuel Victor Echevarria · Chairmancontrol
    since 01/2025 · owns less than 5%
  • Andres Edwin Fermin · Chief Compliance Officercontrol
    since 04/2024 · owns less than 5%
  • Tak Him James Lee · Chairmancontrol
    since 09/2011 · owns less than 5%
  • Lawrence Kyle Leverett · Controllercontrol
    since 07/2024 · owns less than 5%
  • Sanjin Mohorovic · Directorcontrol
    since 06/2021 · owns less than 5%
  • Alexandra Montoya · Chief Operating Officercontrol
    since 03/2025 · owns less than 5%
  • Peter Phillips · Directorcontrol
    since 01/2025 · owns less than 5%
Entity owners
  • Efg International Ag · Parent Officer
    direct · owns 75% or more
  • Efg Bank European Financial Group Sa · Parent
    indirect · owns 25% to 50% of Efg International Ag
  • Efg European Financial Group Ltd · Parent
    indirect · owns 75% or more of European Financial Group Efg (Luxembourg) Sa
  • European Financial Group Efg (Luxembourg) Sa · Parent
    indirect · owns 75% or more of Efg Bank European Financial Group Sa
  • Private Financial Holdings Limited · Parent
    indirect · owns 75% or more of Efg European Financial Group Ltd
Related persons
Schedule D 7.A
  • Efg Asset Management (Hk) Limited
    investment adviserpooled vehicle sponsorn
  • Efg Asset Management (North America) Corp
    investment advisernRAUM $809M
  • Efg Asset Management (Singapore) Pte Ltd
    investment adviserpooled vehicle sponsorn
  • Efg Asset Management (Switzerland) Sa
    investment advisern
  • Efg Asset Management (Uk) Limited
    investment adviserpooled vehicle sponsorn
  • Efg Bank & Trust (Bahamas) Ltd.
    custodiann
  • Efg Bank Ag
    custodiann
  • Efg Bank Sa
    custodiann
  • Efg Capital International Corp.
    broker-dealern
Advisers that list Efg Private Wealth Management (Americas) Corp. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Miami, Fl · principal47421
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
8 against comparable advisers; where to look, not conclusions
  • control person changedChange between filings · filing Mar 31, 2026
    De Melo Ferreira, Luis, Guilherme (DEPUTY CHIEF EXECUTIVE OFFICER) appeared on Schedule A between the filings of 2024-08-20 and 2026-03-31
    peers: independent wealth managers, $1B to $5B (1,360)
  • control person changedChange between filings · filing Mar 31, 2026
    Montoya, Alexandra (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2024-08-20 and 2026-03-31
    peers: independent wealth managers, $1B to $5B (1,360)
  • control person changedChange between filings · filing Mar 31, 2026
    PHILLIPS, PETER (DIRECTOR) appeared on Schedule A between the filings of 2024-08-20 and 2026-03-31
    peers: independent wealth managers, $1B to $5B (1,360)
  • control person changedChange between filings · filing Mar 31, 2026
    BORGES, LEONARDO, SILVA (CHIEF OPERATIONS OFFICER) left Schedule A between the filings of 2024-08-20 and 2026-03-31
    peers: independent wealth managers, $1B to $5B (1,360)
  • control person changedChange between filings · filing Mar 31, 2026
    LEE, JAMES, TAK HIM (CHAIRMAN) left Schedule A between the filings of 2024-08-20 and 2026-03-31
    peers: independent wealth managers, $1B to $5B (1,360)
  • control person changedChange between filings · filing Mar 31, 2026
    AFZAL, MOZAMIL (DIRECTOR) left Schedule A between the filings of 2024-08-20 and 2026-03-31
    peers: independent wealth managers, $1B to $5B (1,360)
  • control person changedChange between filings · filing Mar 31, 2026
    LEVERETT, KYLE, LAWRENCE (CONTROLLER) left Schedule A between the filings of 2024-08-20 and 2026-03-31
    peers: independent wealth managers, $1B to $5B (1,360)
  • control person changedChange between filings · filing Mar 31, 2026
    FERMIN, EDWIN, ANDRES (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-08-20 and 2026-03-31
    peers: independent wealth managers, $1B to $5B (1,360)
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 678 to 696
    Dec 10, 2025 to Mar 31, 2026
  • Advisory employees · 21 to 25
    Dec 10, 2025 to Mar 31, 2026
  • BD registered reps · 40 to 52
    Dec 10, 2025 to Mar 31, 2026
  • Corporate clients · 144 to 170
    Dec 10, 2025 to Mar 31, 2026
  • HNW clients · 182 to 205
    Dec 10, 2025 to Mar 31, 2026
  • Individual clients · 112 to 103
    Dec 10, 2025 to Mar 31, 2026
  • Employees · 44 to 56
    Dec 10, 2025 to Mar 31, 2026
  • State-registered IARs · 37 to 46
    Dec 10, 2025 to Mar 31, 2026
  • Other offices · 0 to 1
    Dec 10, 2025 to Mar 31, 2026
  • Discretionary RAUM · $1.7B to $1.9B
    Dec 10, 2025 to Mar 31, 2026
  • HNW RAUM · $811M to $735M
    Dec 10, 2025 to Mar 31, 2026
  • Individual RAUM · $60.5M to $77.6M
    Dec 10, 2025 to Mar 31, 2026
  • Non-discretionary RAUM · $168M to $354M
    Dec 10, 2025 to Mar 31, 2026
  • RAUM · $1.9B to $2.3B
    Dec 10, 2025 to Mar 31, 2026
  • Wrap assets (sponsor) · $12.1M to $0
    Dec 10, 2025 to Mar 31, 2026
  • Business name · EFG ASSET MANAGEMENT (AMERICAS) CORP. to EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.
    Oct 2, 2025 to Dec 10, 2025
  • Legal name · EFG ASSET MANAGEMENT (AMERICAS) CORP. to EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.
    Oct 2, 2025 to Dec 10, 2025
  • Accounts · 714 to 678
    Jan 17, 2025 to Mar 31, 2025
  • Advisory employees · 4 to 21
    Jan 17, 2025 to Mar 31, 2025
  • BD registered reps · 10 to 40
    Jan 17, 2025 to Mar 31, 2025
  • Corporate clients · 285 to 144
    Jan 17, 2025 to Mar 31, 2025
  • HNW clients · 186 to 182
    Jan 17, 2025 to Mar 31, 2025
  • Individual clients · 239 to 112
    Jan 17, 2025 to Mar 31, 2025
  • Employees · 11 to 44
    Jan 17, 2025 to Mar 31, 2025
  • Insurance-licensed employees · 1 to 2
    Jan 17, 2025 to Mar 31, 2025
  • Financial planning clients · unset to
    Jan 17, 2025 to Mar 31, 2025
  • State-registered IARs · 4 to 37
    Jan 17, 2025 to Mar 31, 2025
  • Discretionary RAUM · $1.4B to $1.7B
    Jan 17, 2025 to Mar 31, 2025
  • HNW RAUM · $574M to $811M
    Jan 17, 2025 to Mar 31, 2025
  • Individual RAUM · $118M to $60.5M
    Jan 17, 2025 to Mar 31, 2025
  • Non-discretionary RAUM · $108M to $168M
    Jan 17, 2025 to Mar 31, 2025
  • RAUM · $1.5B to $1.9B
    Jan 17, 2025 to Mar 31, 2025
  • Wrap assets (sponsor) · $4.9M to $12.1M
    Jan 17, 2025 to Mar 31, 2025
  • Accounts · 804 to 714
    Oct 30, 2023 to Mar 28, 2024
  • Advisory employees · 3 to 4
    Oct 30, 2023 to Mar 28, 2024
  • Corporate clients · 317 to 285
    Oct 30, 2023 to Mar 28, 2024
  • HNW clients · 178 to 186
    Oct 30, 2023 to Mar 28, 2024
  • Individual clients · 258 to 239
    Oct 30, 2023 to Mar 28, 2024
  • State-registered IARs · 5 to 4
    Oct 30, 2023 to Mar 28, 2024
  • Discretionary RAUM · $1.5B to $1.4B
    Oct 30, 2023 to Mar 28, 2024
Signals
51 dated events
  • George Gandarias left Efg Private Wealth Management (Americas) Corp. for Ucap Americas (registered 2026-01-29)
    Jan 5, 2026 · Advisor changed firm · fact
  • Dilsa J Montoya left Efg Private Wealth Management (Americas) Corp. for Morgan Stanley (registered 2025-10-02)
    Sep 29, 2025 · Advisor changed firm · fact
  • Efg Private Wealth Management (Americas) Corp. reported RAUM $1.9B, up 27% from $1.5B (2025-01-17 to 2025-03-31)
    Mar 31, 2025 · RAUM change · derived
  • Efg Private Wealth Management (Americas) Corp. reported 37 state-registered advisory representatives, up from 4 (2025-01-17 to 2025-03-31)
    Mar 31, 2025 · Advisor headcount change · derived
  • Jessica Kaufman left Efg Private Wealth Management (Americas) Corp. for Acp Capital Management, Llc (registered 2025-10-24)
    Mar 5, 2025 · Advisor changed firm · fact
  • Paul Perez left Efg Private Wealth Management (Americas) Corp. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-02-28)
    Oct 15, 2024 · Advisor changed firm · fact
  • Andres Edwin Fermin (Chief Compliance Officer) appeared on Schedule A of Efg Private Wealth Management (Americas) Corp.
    Aug 20, 2024 · Control person joined · fact
  • Lawrence Kyle Leverett (Controller) appeared on Schedule A of Efg Private Wealth Management (Americas) Corp.
    Aug 20, 2024 · Control person joined · fact
  • A Marco Tuesta (Chief Financial Officer) no longer on Schedule A of Efg Private Wealth Management (Americas) Corp. (listed 2024-05-20, absent 2024-08-20)
    Aug 20, 2024 · Control person left · inference
  • Nayra Calderon Najera (Chief Compliance Officer) no longer on Schedule A of Efg Private Wealth Management (Americas) Corp. (listed 2024-05-20, absent 2024-08-20)
    Aug 20, 2024 · Control person left · inference
  • 4 advisors left XP Advisory US, Inc. (Miami, FL) for Efg Private Wealth Management (Americas) Corp. on the same day
    Jul 18, 2024 · Team lift-out · derived
  • Carlos Guzman left Efg Private Wealth Management (Americas) Corp. for Creand Management (registered 2024-06-25)
    May 31, 2024 · Advisor changed firm · fact
  • Nayra Calderon Najera (Chief Compliance Officer) appeared on Schedule A of Efg Private Wealth Management (Americas) Corp.
    Mar 28, 2024 · Control person joined · fact
  • Andres Aguero left Efg Private Wealth Management (Americas) Corp. for J.P. Morgan Securities Llc (registered 2025-12-09)
    Jan 4, 2024 · Advisor changed firm · fact
  • David Yepez left Efg Private Wealth Management (Americas) Corp. for Citigroup Global Markets Inc. (registered 2023-09-13)
    Aug 18, 2023 · Advisor changed firm · fact
  • Silva Leonardo Borges (Chief Operations Officer) appeared on Schedule A of Efg Private Wealth Management (Americas) Corp.
    Apr 24, 2023 · Control person joined · fact
  • Patrick Timothy Walsh (Chief Operations Officer) no longer on Schedule A of Efg Private Wealth Management (Americas) Corp. (listed 2023-03-31, absent 2023-04-24)
    Apr 24, 2023 · Control person left · inference
  • Francisco Jose Soler left Efg Private Wealth Management (Americas) Corp. for Efg Capital International Corp. (registered 2021-05-03)
    Mar 28, 2023 · Advisor changed firm · fact
  • Jose Luis Perich left Efg Private Wealth Management (Americas) Corp. for Creand Management (registered 2024-06-19)
    Dec 1, 2022 · Advisor changed firm · fact
  • Luis Jose Perich (Chief Compliance Officer) no longer on Schedule A of Efg Private Wealth Management (Americas) Corp. (listed 2022-11-08, absent 2022-12-01)
    Dec 1, 2022 · Control person left · inference
  • Javier Carlos Gonzalez (Interim Chief Compliance Officer) appeared on Schedule A of Efg Private Wealth Management (Americas) Corp.
    Dec 1, 2022 · Control person joined · fact
  • Alejandro Ramirez left Efg Private Wealth Management (Americas) Corp. for Morgan Stanley (registered 2022-10-04)
    Oct 3, 2022 · Advisor changed firm · fact
  • Melissa Alonzo left Efg Private Wealth Management (Americas) Corp. for J.P. Morgan Securities Llc (registered 2022-11-28)
    Oct 3, 2022 · Advisor changed firm · fact
  • Alexandra Marie Moriarty left Efg Private Wealth Management (Americas) Corp. for Morgan Stanley (registered 2022-10-10)
    Oct 3, 2022 · Advisor changed firm · fact
  • 2 advisors left Efg Private Wealth Management (Americas) Corp. (Miami, FL) for Morgan Stanley on the same day
    Oct 3, 2022 · Team lift-out · derived
  • Luis Jose Perich (Chief Compliance Officer) appeared on Schedule A of Efg Private Wealth Management (Americas) Corp.
    Aug 19, 2022 · Control person joined · fact
  • Javier Carlos Gonzalez (Interim Chief Compliance Officer) no longer on Schedule A of Efg Private Wealth Management (Americas) Corp. (listed 2022-06-23, absent 2022-08-19)
    Aug 19, 2022 · Control person left · inference
  • Ana Cristina Schuler Azario left Efg Private Wealth Management (Americas) Corp. for J.P. Morgan Securities Llc (registered 2022-09-01)
    Aug 1, 2022 · Advisor changed firm · fact
  • Miguel Luis Ortiz left Efg Private Wealth Management (Americas) Corp. for Efg Capital International Corp. (registered 2021-04-30)
    Jul 6, 2022 · Advisor changed firm · fact
  • Guillermo Porras left Efg Private Wealth Management (Americas) Corp. for Efg Capital International Corp. (registered 2021-04-30)
    Jul 6, 2022 · Advisor changed firm · 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
Website
efginternational.com/us.htmlreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
305-482-8000reportedpublic record, Form ADV, Mar 31, 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
Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor
$49.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026