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.
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SEC-registered adviser
U•••••
Legal name U••••• F•••••••• S•••••••• L••
Latest filing Aug 3, 2026
First filing on the tape Jan 11, 2017 · 16 filings
SEC status approved since Jan 23, 2017
RAUM
$231M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
20%
$46.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$115M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$231M as of Aug 3, 2026
Feb 13, 2018$298M then
HNW client RAUM$46.3M as of Aug 3, 2026
Feb 13, 2018$32.3M then
State-registered IARs (5.B.3)3 as of Aug 3, 2026
Feb 13, 20184 then
Employees (5.A)3 as of Aug 3, 2026
Feb 13, 20184 then
Private funds6 as of Aug 3, 2026
Feb 13, 20187 then
RAUM +8.2% over the last fiscal year+1.5% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Aug 3, 2026; every figure names its basis
Archetypes, each a printed rule
- dual wealth and asset m•••••• · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $5.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $35.3M, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$184M80%
- High-net-worth individuals$46.3M20%
- Individual clients
- n/areported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 43reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $35.3M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.2 fund_share=0.8 institutional_share=0.0 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 |
|---|---|---|---|---|
| K•••••• C•••• A•••••••Certified Financial Planner, Chartered Financial Analyst | Miami, Fl | Mar 13, 2012 | 26 y | 0 |
| J••••• A•••••• G••••••••• | Miami, Fl | Feb 10, 2026 | 34 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- N••••• A•••• F••••• to M••• I••••••••• A••••••• C••May 13, 2024 · Other
- C••••• A••••• B••••• L••• to I••••••• A••••••• S•••••••• L••Nov 24, 2015 · Other
Joined, latest
- J••••• A•••••• G••••••••• from E•• C•••••• I••••••••• L••Feb 10, 2026 · Other
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•• G••••• F••• C••••••••• P••• S••••• | Other Private Fund | $45.9M | 17 | Jan 11, 2017 |
| U••••• T•••• R••••• B••• F•••• L• | Hedge Fund | $39.2M | 70 | Jan 11, 2017 |
| G••••• M•••••• F•••••• G••••• S••••••••• P•••••••• | Other Private Fund | $38.3M | 50 | Jan 11, 2017 |
| U••••• L•••• F•••• I•••• M••••• F••• L••• | Hedge Fund | $31.5M | 40 | Feb 10, 2020 |
| A••••••• G••••• F••• S••••• 3• | Other Private Fund | $21.3M | 1 | Jan 11, 2017 |
| A••••••• G••••• F••• S••••• 2•no longer reported | Hedge Fund | $18.7M | 7 | Feb 13, 2018 |
| A••••••• G••••• F••• B••••••• E•• S••••••• S••••• | Other Private Fund | $15.8M | 22 | Jan 11, 2017 |
| A••••••• G••••• F••• S••••• 4•no longer reported | Hedge Fund | $14.5M | 4 | Feb 13, 2018 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• J•••••• A•••••• · President, Managing Member, Chief Investment And Chief Compliance Officercontrolsince 11/2011 · owns 75% or more
- A•••••••• K••••••• C•••• · Chief Operating Officersince 01/2012 · owns less than 5%
Entity owners
- T•• J••••• A• G••••••••• J•• R•••••••• T•••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- U••••• P••••••• G•• L••pooled vehicle sponsorn
- U••••• P••••••• I• G•• L••pooled vehicle sponsorn
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
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 38 to 43Mar 6, 2025 to Mar 4, 2026
- HNW clients · 30 to 36Mar 6, 2025 to Mar 4, 2026
- Pooled vehicle clients · 8 to 7Mar 6, 2025 to Mar 4, 2026
- Assets in custody · $40.3M to $35.3MMar 6, 2025 to Mar 4, 2026
- Discretionary RAUM · $209M to $227MMar 6, 2025 to Mar 4, 2026
- HNW RAUM · $39.0M to $46.3MMar 6, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $4.7M to $3.7MMar 6, 2025 to Mar 4, 2026
- Pooled vehicle RAUM · $174M to $184MMar 6, 2025 to Mar 4, 2026
- RAUM · $213M to $231MMar 6, 2025 to Mar 4, 2026
- Accounts · 36 to 38Feb 8, 2024 to Mar 6, 2025
- Advisory employees · 4 to 3Feb 8, 2024 to Mar 6, 2025
- Advisory activities · 2 to 3Feb 8, 2024 to Mar 6, 2025
- HNW clients · 28 to 30Feb 8, 2024 to Mar 6, 2025
- Assets in custody · $39.8M to $40.3MFeb 8, 2024 to Mar 6, 2025
- Employees · 4 to 3Feb 8, 2024 to Mar 6, 2025
- Financial planning clients · unset to Feb 8, 2024 to Mar 6, 2025
- State-registered IARs · 4 to 3Feb 8, 2024 to Mar 6, 2025
- Discretionary RAUM · $224M to $209MFeb 8, 2024 to Mar 6, 2025
- HNW RAUM · $37.1M to $39.0MFeb 8, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $5.5M to $4.7MFeb 8, 2024 to Mar 6, 2025
- Pooled vehicle RAUM · $192M to $174MFeb 8, 2024 to Mar 6, 2025
- RAUM · $229M to $213MFeb 8, 2024 to Mar 6, 2025
- Assets in custody · $40.9M to $39.8MMay 30, 2023 to Feb 8, 2024
- Discretionary RAUM · $219M to $224MMay 30, 2023 to Feb 8, 2024
- HNW RAUM · $36.5M to $37.1MMay 30, 2023 to Feb 8, 2024
- Non-discretionary RAUM · $1.7M to $5.5MMay 30, 2023 to Feb 8, 2024
- Pooled vehicle RAUM · $184M to $192MMay 30, 2023 to Feb 8, 2024
- RAUM · $221M to $229MMay 30, 2023 to Feb 8, 2024
- Accounts · 22 to 36Feb 14, 2022 to Mar 3, 2023
- HNW clients · 17 to 28Feb 14, 2022 to Mar 3, 2023
- Pooled vehicle clients · 10 to 8Feb 14, 2022 to Mar 3, 2023
- Assets in custody · $42.4M to $40.9MFeb 14, 2022 to Mar 3, 2023
- Discretionary RAUM · $248M to $219MFeb 14, 2022 to Mar 3, 2023
- HNW RAUM · $27.0M to $36.5MFeb 14, 2022 to Mar 3, 2023
- Non-discretionary RAUM · $1.5M to $1.7MFeb 14, 2022 to Mar 3, 2023
- Pooled vehicle RAUM · $222M to $184MFeb 14, 2022 to Mar 3, 2023
- RAUM · $249M to $221MFeb 14, 2022 to Mar 3, 2023
- Accounts · 30 to 22Feb 3, 2021 to Feb 14, 2022
- HNW clients · 19 to 17Feb 3, 2021 to Feb 14, 2022
- Pooled vehicle clients · 11 to 10Feb 3, 2021 to Feb 14, 2022
Signals
2 dated events
- N••••• A•••• F••••• left Unimar for M••• I••••••••• A••••••• C•• (registered 2025-04-08)May 13, 2024 · Advisor changed firm · fact
- Unimar filed its initial SEC registration (Form ADV)Jan 11, 2017 · 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 phone
- 305-797-9124reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- U•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 3057979124reportedpublic record, Form ADV, Aug 3, 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
- $115Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026