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

M•• H••••••••• M••••••••• L••

Former SEC-registered adviserCoral Gables, FloridaCRD 163363SEC 801-75697IAPD
Latest filing Mar 6, 2015
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$568M
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
8
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$519M gross assets
History
4 filings and snapshots on the tape
RAUM$568M as of Mar 6, 2015
Mar 28, 2013$225M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 6, 2015
Mar 28, 20130 then
Employees (5.A)8 as of Mar 6, 2015
Mar 28, 20139 then
Private funds1 as of Mar 6, 2015
Mar 28, 20131 then
RAUM +61% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 6, 2015; 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
$568MderivedRAUM 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
+61%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 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)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• M••••• · Managing Directorcontrol
        since 01/2006 · owns less than 5%
      • F••••••••• M•••••• B••••• · Chief Executive Officercontrol
        since 01/2006 · owns 75% or more
      • R•••• J••••• L• · Managing Directorcontrol
        since 01/2006 · owns less than 5%
      • G•••••••• L•••• A•••••• · Managing Director
        since 10/2012 · owns less than 5%
      • P•••• I••••• · Chief Financial Officer And Chief Compliance Officer
        since 11/2007 · owns less than 5%
      Related persons
      Schedule D 7.A
      • M•• H••••••••• A••••••• I• L•
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 9 to 8
        Mar 20, 2014 to Mar 6, 2015
      • Discretionary RAUM · $352M to $568M
        Mar 20, 2014 to Mar 6, 2015
      • RAUM · $352M to $568M
        Mar 20, 2014 to Mar 6, 2015
      • Discretionary RAUM · $225M to $352M
        Mar 28, 2013 to Mar 20, 2014
      • RAUM · $225M to $352M
        Mar 28, 2013 to Mar 20, 2014
      • Advisory employees · unset to 5.0
        Mar 30, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 9.0
        Mar 30, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $180M to $225M
        Mar 30, 2012 to Mar 28, 2013
      • RAUM · $180M to $225M
        Mar 30, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      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