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.
Latest filing Mar 31, 2026
First filing on the tape Mar 31, 2026 · 1 filings
RAUM
$48.9M
reported, Item 5.F
Discretionary
64%
of RAUM
Private clients
71%
$34.9M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $8.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 4derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 64%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$18.9M39%
- Individuals$16.0M33%
- Corporations and businesses$14.0M29%
- Individual clients
- 11reported
- HNW clients
- 12reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 37reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Sebastian RamirezChartered Financial Analyst | Miami, Fl | Jun 29, 2023 | 13 y | 2 |
| Federico Gutierrez | Miami, Fl | Jul 7, 2023 | 14 y | 0 |
| Patricia Victorica Garcia | Miami, Fl | Jul 10, 2023 | 16 y | 4 |
| Martin E Zavalia | Miami, Fl | Sep 19, 2023 | 18 y | 2 |
| Paulina Crosta Berrutti | Miami, Fl | Oct 24, 2024 | 11 y | 0 |
| Damian Andres RiavitzChartered Financial Analyst | Miami, Fl | Dec 13, 2024 | 11 y | 0 |
| Jose Maria Sanchez | Miami, Fl | May 9, 2025 | 11 y | 0 |
Advisor movement
Left, latest
- Mathew Brown to Morgan StanleyMay 2, 2025 · Other
Joined, latest
- Mathew Brown from Jefferies Investment Advisers LLCDec 3, 2024 · Affiliated broker-dealer or bank to a state-registered adviser
- Martin E Zavalia from Alti Wealth Management (US International), Inc.Sep 19, 2023 · RIA to a state-registered adviser
- Patricia Victorica Garcia from Morgan StanleyJul 10, 2023 · Wirehouse to a state-registered adviser
- Sebastian Ramirez from Morgan StanleyJun 29, 2023 · Wirehouse to a state-registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- Mathew Brown left Latin Securities Inc for Morgan Stanley (registered 2025-04-22)May 2, 2025 · Advisor changed firm · 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
- Principal office phone
- 786-579-0234reportedpublic record, Form ADV, Mar 31, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026