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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Former SEC-registered adviser

R••• A••• C•••••• F•••••• L••

Former SEC-registered adviserNorth Miami Beach, FloridaCRD 162400SEC 801-110765websiteIAPD
Latest filing May 21, 2025
First filing on the tape Jun 6, 2017 · 15 filings
SEC status approved since Jul 7, 2017
RAUM
$27.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$27.6M as of May 21, 2025
Mar 15, 2018$255M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 21, 2025
Mar 15, 20180 then
Employees (5.A)13 as of May 21, 2025
Mar 15, 20182 then
Private funds4 as of May 21, 2025
Mar 15, 20186 then
RAUM +128% over the last fiscal year-58% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 21, 2025; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$6.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-8.3%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$27.6M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      17 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•• 2••• E•••••••• L•no longer reportedOther Private Fund$334M167Mar 23, 2017
      N•• W••• L•••••• ••••••• L•no longer reportedOther Private Fund$18.2M10Jan 27, 2015
      N•• W••• L•••••• ••••••• L•••no longer reportedOther Private Fund$15.1M10Mar 24, 2016
      N•• W••• L•••••• 2••• L•no longer reportedOther Private Fund$14.3M10Jan 27, 2015
      N• S••••••• L•no longer reportedOther Private Fund$13.7M10Mar 23, 2017
      N•• W••• E••• 6• L•Other Private Fund$11.5M18Mar 23, 2017
      R• P••••• C•••••• I• L••no longer reportedOther Private Fund$10.0M31Mar 30, 2022
      R• P••••• T••• W••••• L•••no longer reportedOther Private Fund$6.5M34Mar 30, 2022
      R• P••••• L••••••• I••••••••no longer reportedOther Private Fund$6.0M35Mar 30, 2022
      N•• W••• L•••••• ••••• L•••no longer reportedOther Private Fund$4.9M10Jan 31, 2014
      R• B••••••••• I•••••••• L••no longer reportedOther Private Fund$4.0M18Mar 30, 2022
      N•• W••• L•••••• L•••no longer reportedOther Private Fund$4.0M10Jan 31, 2014
      2••• R• T•• L••no longer reportedOther Private Fund$3.5M29Dec 20, 2013
      N•• W••• L•••••• ••••• L•••no longer reportedOther Private Fund$3.3M10Mar 24, 2016
      D•••••• T•• L•••• L••no longer reportedOther Private Fund$3.0M16Dec 20, 2013
      R• T•• 2••• L••no longer reportedOther Private Fund$2.6M37Dec 20, 2013
      N•• W••• L•••••• •••••• L•no longer reportedOther Private Fund$26,99910Mar 23, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • E••••••••• J•••• M•••••• · President & Ccocontrol
        since 05/2009 · owns less than 5%
      • F••••••• M•••• •••• · Membercontrol
        since 03/2012 · owns less than 5%
      • E••••••••• J•••• M•••••• · Shareholdercontrol
        since 06/1998 · owns 75% or more of A••••••• I•••
      • F••••••• M•••• •••• · Shareholdercontrol
        since 07/2004 · owns 75% or more of M•• H••••••• O• S•••• F••••••• C••••
      Entity owners
      • A••••••• I••• · Owner
        direct · owns 50% to 75%
      • M•• H••••••• O• S•••• F••••••• C•••• · Owner
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • L••••••••• C•••••• M••••••••• L••
        pooled vehicle sponsory
      • L••••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 4
        Mar 31, 2025 to May 21, 2025
      • Pooled vehicle clients · 1 to 4
        Mar 31, 2025 to May 21, 2025
      • Financial planning clients · unset to
        Mar 31, 2025 to May 21, 2025
      • Private funds · 1 to 4
        Mar 31, 2025 to May 21, 2025
      • Discretionary RAUM · $11.1M to $27.6M
        Mar 31, 2025 to May 21, 2025
      • Pooled vehicle RAUM · $11.1M to $27.6M
        Mar 31, 2025 to May 21, 2025
      • RAUM · $11.1M to $27.6M
        Mar 31, 2025 to May 21, 2025
      • Accounts · 2 to 1
        Jul 29, 2024 to Mar 31, 2025
      • Pooled vehicle clients · 2 to 1
        Jul 29, 2024 to Mar 31, 2025
      • Employees · 11 to 13
        Jul 29, 2024 to Mar 31, 2025
      • Discretionary RAUM · $660M to $11.1M
        Jul 29, 2024 to Mar 31, 2025
      • Pooled vehicle RAUM · $660M to $11.1M
        Jul 29, 2024 to Mar 31, 2025
      • RAUM · $660M to $11.1M
        Jul 29, 2024 to Mar 31, 2025
      • Accounts · 1 to 2
        Mar 30, 2024 to Jul 29, 2024
      • Pooled vehicle clients · 1 to 2
        Mar 30, 2024 to Jul 29, 2024
      • Discretionary RAUM · $12.1M to $660M
        Mar 30, 2024 to Jul 29, 2024
      • Pooled vehicle RAUM · $12.1M to $660M
        Mar 30, 2024 to Jul 29, 2024
      • RAUM · $12.1M to $660M
        Mar 30, 2024 to Jul 29, 2024
      • Accounts · 5 to 1
        May 9, 2023 to Mar 30, 2024
      • Advisory employees · 3 to 2
        May 9, 2023 to Mar 30, 2024
      • Pooled vehicle clients · 5 to 1
        May 9, 2023 to Mar 30, 2024
      • Private funds · 5 to 1
        May 9, 2023 to Mar 30, 2024
      • Discretionary RAUM · $363M to $12.1M
        May 9, 2023 to Mar 30, 2024
      • Pooled vehicle RAUM · $363M to $12.1M
        May 9, 2023 to Mar 30, 2024
      • RAUM · $363M to $12.1M
        May 9, 2023 to Mar 30, 2024
      • Accounts · 6 to 5
        Mar 30, 2022 to Mar 23, 2023
      • Advisory employees · 2 to 3
        Mar 30, 2022 to Mar 23, 2023
      • Pooled vehicle clients · 6 to 5
        Mar 30, 2022 to Mar 23, 2023
      • Employees · 2 to 11
        Mar 30, 2022 to Mar 23, 2023
      • Private funds · 6 to 5
        Mar 30, 2022 to Mar 23, 2023
      • Discretionary RAUM · $375M to $363M
        Mar 30, 2022 to Mar 23, 2023
      • Pooled vehicle RAUM · $375M to $363M
        Mar 30, 2022 to Mar 23, 2023
      • RAUM · $375M to $363M
        Mar 30, 2022 to Mar 23, 2023
      • Accounts · 2 to 6
        Nov 3, 2021 to Mar 30, 2022
      • Private funds · 2 to 6
        Nov 3, 2021 to Mar 30, 2022
      • Discretionary RAUM · $322M to $375M
        Nov 3, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $322M to $375M
        Nov 3, 2021 to Mar 30, 2022
      • RAUM · $322M to $375M
        Nov 3, 2021 to Mar 30, 2022
      • Discretionary RAUM · $310M to $322M
        Mar 23, 2020 to Mar 9, 2021
      • Pooled vehicle RAUM · $310M to $322M
        Mar 23, 2020 to Mar 9, 2021
      Signals
      4 dated events
      • R••• A••• C•••••• F•••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $27.6M)
        Apr 1, 2026 · Left the SEC roster · derived
      • R••• A••• C•••••• F•••••• L•• reported RAUM $11.1M, down 98% from $660.3M (2024-07-29 to 2025-03-31)
        Mar 31, 2025 · RAUM change · derived
      • R••• A••• C•••••• F•••••• L•• reported RAUM $12.1M, down 97% from $363.2M (2023-05-09 to 2024-03-30)
        Mar 30, 2024 · RAUM change · derived
      • R••• A••• C•••••• F•••••• L•• filed its initial SEC registration (Form ADV)
        Jun 6, 2017 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026