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
P••••• I••••••••• A•••••••• L••
Latest filing Mar 9, 2026
First filing on the tape Feb 24, 2012 · 33 filings
SEC status approved since Mar 21, 2012
RAUM
$648M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$587M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$324M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$648M as of Mar 9, 2026
Jan 29, 2013$154M then
HNW client RAUM$587M as of Mar 9, 2026
Jan 18, 2018$257M then
State-registered IARs (5.B.3)2 as of Mar 9, 2026
Jan 29, 20132 then
Employees (5.A)2 as of Mar 9, 2026
Jan 29, 20133 then
Private funds1 as of Mar 9, 2026
Jan 29, 20131 then
RAUM +11% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes, each a printed rule
- 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)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $324MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.9MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $345M, 52 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$587M91%
- Pooled investment vehicles$61.3M9.5%
- Individual clients
- 0reported
- HNW clients
- 59reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 354reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $345M for 52 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.91 fund_share=0.09 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 |
|---|---|---|---|---|
| J•••• A•••• W••••Chartered Financial Analyst | Miami, Fl | May 2, 2012 | 24 y | 0 |
| T••• J••••• G•••• | Miami, Fl | May 3, 2012 | 14 y | 0 |
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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•• T•••• R••••• O••••••••• F•••• L• | Hedge Fund | $30.0M | 36 | Feb 24, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••••• T•••• J••••• · Portfolio Manager & Cfocontrolsince 05/2014 · owns 25% to 50%
- P•••••• E•••• W•••• · Managing Membercontrolsince 10/2008 · owns 25% to 50%
- W••••• J••••• A•••• · Chief Investment Officer & Chief Compliance Officercontrolsince 10/2008 · owns 25% to 50%
Related persons
Schedule D 7.A
- C•• T•••• R••••• G•• L••pooled vehicle sponsorn
- P••••• I••••••••• P••••••• S••••• I• L••pooled vehicle sponsory
- P••••• I••••••••• P••••••• S••••• I• L••pooled vehicle sponsory
- P••••• I••••••••• P••••••• S••••• I•• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 337 to 354Mar 6, 2025 to Mar 9, 2026
- HNW clients · 56 to 59Mar 6, 2025 to Mar 9, 2026
- Assets in custody · $304M to $345MMar 6, 2025 to Mar 9, 2026
- Discretionary RAUM · $586M to $648MMar 6, 2025 to Mar 9, 2026
- HNW RAUM · $525M to $587MMar 6, 2025 to Mar 9, 2026
- Pooled vehicle RAUM · $59.0M to $61.3MMar 6, 2025 to Mar 9, 2026
- RAUM · $586M to $648MMar 6, 2025 to Mar 9, 2026
- Accounts · 311 to 337Feb 20, 2024 to Mar 6, 2025
- HNW clients · 55 to 56Feb 20, 2024 to Mar 6, 2025
- Assets in custody · $265M to $304MFeb 20, 2024 to Mar 6, 2025
- Financial planning clients · unset to 0Feb 20, 2024 to Mar 6, 2025
- Discretionary RAUM · $518M to $586MFeb 20, 2024 to Mar 6, 2025
- HNW RAUM · $462M to $525MFeb 20, 2024 to Mar 6, 2025
- Pooled vehicle RAUM · $53.0M to $59.0MFeb 20, 2024 to Mar 6, 2025
- RAUM · $518M to $586MFeb 20, 2024 to Mar 6, 2025
- Accounts · 296 to 311Aug 16, 2023 to Feb 20, 2024
- HNW clients · 48 to 55Aug 16, 2023 to Feb 20, 2024
- Pooled vehicle clients · 1 to 2Aug 16, 2023 to Feb 20, 2024
- Assets in custody · $261M to $265MAug 16, 2023 to Feb 20, 2024
- Discretionary RAUM · $476M to $518MAug 16, 2023 to Feb 20, 2024
- HNW RAUM · $449M to $462MAug 16, 2023 to Feb 20, 2024
- Pooled vehicle RAUM · $25.0M to $53.0MAug 16, 2023 to Feb 20, 2024
- RAUM · $476M to $518MAug 16, 2023 to Feb 20, 2024
- Accounts · 267 to 296Apr 18, 2022 to Feb 14, 2023
- Charity clients · 1.0 to unsetApr 18, 2022 to Feb 14, 2023
- Assets in custody · $287M to $261MApr 18, 2022 to Feb 14, 2023
- Discretionary RAUM · $456M to $476MApr 18, 2022 to Feb 14, 2023
- HNW RAUM · $427M to $449MApr 18, 2022 to Feb 14, 2023
- Pooled vehicle RAUM · $27.5M to $25.0MApr 18, 2022 to Feb 14, 2023
- RAUM · $456M to $476MApr 18, 2022 to Feb 14, 2023
- HQ city · COCONUT GROVE to MIAMIFeb 10, 2022 to Apr 18, 2022
- Accounts · 233 to 267Jan 26, 2021 to Feb 10, 2022
- Charity clients · 2 to 1Jan 26, 2021 to Feb 10, 2022
- HNW clients · 44 to 48Jan 26, 2021 to Feb 10, 2022
- Assets in custody · $160M to $287MJan 26, 2021 to Feb 10, 2022
- HQ city · MIAMI to COCONUT GROVEJan 26, 2021 to Feb 10, 2022
- Discretionary RAUM · $401M to $456MJan 26, 2021 to Feb 10, 2022
- HNW RAUM · $363M to $427MJan 26, 2021 to Feb 10, 2022
- Pooled vehicle RAUM · $31.3M to $27.5MJan 26, 2021 to Feb 10, 2022
- RAUM · $401M to $456MJan 26, 2021 to Feb 10, 2022
Signals
No event on the tape.
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
- 786-470-3480reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P•••••INVESTMENTADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 786-470-3480reportedpublic record, Form ADV, Mar 9, 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
- $324Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026