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B•••••• C•••••• A••••••• L••

Independent wealth managerSEC-registered1 private funds· Miami, Floridawebsite

Independent wealth manager, based in Miami, Florida, reporting $161M of regulatory assets across 2 registered advisors.

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

As of 2026-03-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $161M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +31%
Private clients: 65% of RAUM, $104M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-03-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +31% over the last fiscal year, to $161M.
2026-03-16
RAUM a year earlier $123MRAUM now $161M
private-client share of RAUM moved from 47.0% to 65.0% between the annual amendments of 2025-03-28 and 2026-03-16
2026-03-16
private-client share of RAUM 0.648174195238083
9 published business contact points are on record, each with its source.
Contact points 9

Every filed figure, and the identifiersCRD 159113 · SEC 801-131653 · 4 filingsShow

CRD 159113SEC 801-131653First filing on the tape Nov 19, 2024, latest Mar 16, 2026SEC status approved since Jan 2, 2025IAPD

RAUM

$161M

reported, Item 5.F

Discretionary

97%

of RAUM

Private clients

65%

$104M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$80.6M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

4 filings and snapshots on the tape

RAUM$161M as of Mar 16, 2026

Feb 7, 2025$122M then

HNW client RAUM$52.9M as of Mar 16, 2026

Feb 7, 2025$23.6M then

State-registered IARs (5.B.3)2 as of Mar 16, 2026

Feb 7, 20252 then

Employees (5.A)3 as of Mar 16, 2026

Feb 7, 20253 then

Private funds1 as of Mar 16, 2026

Feb 7, 20251 then

RAUM +31% over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Mar 16, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)

RAUM per advisor: $80.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 101derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.4MderivedHNW RAUM over HNW clients
Average account: $347,259derivedRAUM over accounts (5.F.2.f)
Discretionary: 97%derivedof RAUM
Institutional: 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year: +31%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +6.9%derived
Compensation: percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminarsreportedItem 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

Corporations and businesses$53.7M33%
High-net-worth individuals$52.9M33%
Individuals$51.5M32%
Pooled investment vehicles$1.4M0.9%
Pension and profit-sharing plans$1.1M0.7%
Banks and thrifts$521,5000.3%

Individual clients: 162reported
HNW clients: 39reported
Pension plan clients: 6reported
Charitable clients: 0reported
Accounts: 464reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourly, performancereported
Class basis: private_client_share=0.65 fund_share=0.01 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
A••••• E••••• C•••••••Certified Financial Planner	Miami, Fl	Apr 8, 2020	19 y	2
R•••• A•••••• M•••••••	Miami, Fl	Mar 6, 2026	12 y	1

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

A••••• E••••• C••••••• from I••••• F•••••••• C•••••••••
Apr 8, 2020 · Other

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
B•••••• U••• E••••• F••• L•	Hedge Fund	$19.1M	12	Nov 19, 2024

Owners and control persons

Schedule A and B, latest filing

C•••••••• A•••••• E••••• · Member/Chief Compliance Officercontrol
since 10/2011 · owns 25% to 50%
C•••••••• J•••• D••••• · Membercontrol
since 10/2011 · owns 25% to 50%
F•••••••• T•••••• R•••••• · Membercontrol
since 10/2011 · owns 25% to 50%
S••••••• A•••••• O••• · Membercontrol
since 10/2010 · owns 25% to 50%

Related persons

Schedule D 7.A

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B•••••• C•••••• I••••••••• L••
real estaten
B•••••• C•••••• R•••••• I•••
investment companyn

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Miami, Fl · principal	2	1	0

Offices

Schedule D 1.F, the 25 largest

Boca Raton, FL1 employees
Fort Lauderdale, FL1 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

client mix shiftChange between filings · filing Mar 16, 2026
private-client share of RAUM moved from 47.0% to 65.0% between the annual amendments of 2025-03-28 and 2026-03-16
peers: independent wealth managers, $100M to $500M (5,682)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 453 to 464
Mar 28, 2025 to Mar 16, 2026
Corporate clients · 34 to 39
Mar 28, 2025 to Mar 16, 2026
HNW clients · 35 to 39
Mar 28, 2025 to Mar 16, 2026
Individual clients · 153 to 162
Mar 28, 2025 to Mar 16, 2026
Financial planning clients · 1-10 to 26-50
Mar 28, 2025 to Mar 16, 2026
Discretionary RAUM · $117M to $156M
Mar 28, 2025 to Mar 16, 2026
HNW RAUM · $24.6M to $52.9M
Mar 28, 2025 to Mar 16, 2026
Individual RAUM · $33.5M to $51.5M
Mar 28, 2025 to Mar 16, 2026
Non-discretionary RAUM · $5.5M to $5.1M
Mar 28, 2025 to Mar 16, 2026
Pension RAUM · $811,432 to $1.1M
Mar 28, 2025 to Mar 16, 2026
Pooled vehicle RAUM · $14.7M to $1.4M
Mar 28, 2025 to Mar 16, 2026
RAUM · $123M to $161M
Mar 28, 2025 to Mar 16, 2026
Accounts · 447 to 453
Feb 7, 2025 to Mar 28, 2025
Corporate clients · 33 to 34
Feb 7, 2025 to Mar 28, 2025
Individual clients · 152 to 153
Feb 7, 2025 to Mar 28, 2025
Pension plan clients · 5 to 6
Feb 7, 2025 to Mar 28, 2025
Financial planning clients · 1-10 to 1-10
Feb 7, 2025 to Mar 28, 2025
Discretionary RAUM · $115M to $117M
Feb 7, 2025 to Mar 28, 2025
HNW RAUM · $23.6M to $24.6M
Feb 7, 2025 to Mar 28, 2025
Individual RAUM · $31.6M to $33.5M
Feb 7, 2025 to Mar 28, 2025
Non-discretionary RAUM · $6.7M to $5.5M
Feb 7, 2025 to Mar 28, 2025
Pension RAUM · $755,432 to $811,432
Feb 7, 2025 to Mar 28, 2025
Pooled vehicle RAUM · $15.3M to $14.7M
Feb 7, 2025 to Mar 28, 2025
RAUM · $122M to $123M
Feb 7, 2025 to Mar 28, 2025
Custody of client assets · true to false
Nov 19, 2024 to Feb 7, 2025

Signals

1 dated events

••• Locked
Nov 19, 2024 · First SEC registration · 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 email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 16, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 16, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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: $80.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026