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
I•••• A••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Jun 29, 2016 · 23 filings
SEC status approved since Jul 5, 2016
RAUM
$759M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
29%
$222M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$759M as of Mar 18, 2026
Mar 28, 2017$188M then
HNW client RAUM$221M as of Mar 18, 2026
Mar 21, 2018$117M then
State-registered IARs (5.B.3)6 as of Mar 18, 2026
Mar 28, 20170 then
Employees (5.A)8 as of Mar 18, 2026
Mar 28, 20175 then
Private funds3 as of Mar 18, 2026
Mar 17, 20223 then
RAUM +15% over the last fiscal year+18% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
- RAUM per advisor
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 10derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $9.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%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, otherreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$221M29%
- Investment companies$214M28%
- Corporations and businesses$196M26%
- Banks and thrifts$69.2M9.1%
- Insurance companies$58.2M7.7%
- Individuals$894,0000.1%
- Individual clients
- 14reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 84reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.29 fund_share=0.28 institutional_share=0.08 related_bd=true related_bank=false bd_reps=8.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• P•••• C••••• M•••• | Coral Gables, Fl | May 28, 2019 | 10 y | 0 |
| R•••••• D•••• | Coral Gables, Fl | Oct 16, 2019 | 12 y | 1 |
| F••••••• B•••••• R•••••••• | Coral Gables, Fl | Jun 3, 2020 | 12 y | 0 |
| M•••• I••••• J•••••••• | Dallas, Tx | Nov 9, 2021 | 11 y | 0 |
| J••• S••••••• A•••• F••••• | Coral Gables, Fl | Jan 31, 2025 | 28 y | 1 |
| I•••• I••••• G•••• W••• | Coral Gables, Fl | Jan 26, 2026 | 10 y | 2 |
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 headcount2 left over 36 months
Left, latest
- F•••••••• F••••••• to J••• M••••• S••••••••• L••Jul 29, 2025 · RIA to wirehouse
- S•••••• L••••• to B•••••• A•••• M••••••••• I•••Sep 17, 2024 · RIA to RIA
- V••••• H••• S••• A•••••• to T•••• B••••• C•••Jan 5, 2021 · RIA to RIA
Joined, latest
- I•••• I••••• G•••• W••• from V••••••••• I••• I•••Jan 26, 2026 · RIA to RIA
- J••• S••••••• A•••• F••••• from S••••• I••••••••• A••••••• I••Jan 31, 2025 · RIA to RIA
- S•••••• L••••• from P•• M•••••• A•••••• S••••••••• I•••Jun 18, 2024 · Affiliated broker-dealer or bank to independent RIA
- F•••••••• F••••••• from B••••••• G••••• A•••••••• I•••May 22, 2020 · Other
- R•••••• D•••• from U•• F•••••••• S••••••• I•••Oct 16, 2019 · Wirehouse to independent RIA
- V••••• H••• S••• A•••••• from C•••••••• C•••••• S••••••••• I•••Mar 13, 2015 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•••• D•••••• A••••••••• S••••••••• P•••••••• | Other Private Fund | $120M | 215 | Mar 16, 2023 |
| I•••• G••••• O••••••••• | Other Private Fund | $103M | 402 | Jun 23, 2021 |
| I•••• S•••• D••••••• S••••••• | Other Private Fund | $46.2M | 352 | Jun 23, 2021 |
| I•••• I••••• F••• | Other Private Fund | $22.3M | 248 | Jun 23, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• S••••••• C••••• · Chief Compliance Officersince 05/2012 · owns less than 5%
- R•••• R••••• H••••••• G•••••• · Presidentsince 05/2012 · owns less than 5%
Entity owners
- I•••• H•••••••• I•• · Memberdirect · owns 75% or more
- I•••• C••••••••• S••••• D• C••• · Shareholderindirect · owns 75% or more of I•••• H•••••••• I••
Related persons
Schedule D 7.A
- I•••• N•••• L••investment advisernRAUM $3.0M
- I••••• L•••broker-dealern
Advisers that list I•••• A••••••• L•• as a related person
- 328201 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Coral Gables, Fl · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average a••••••Static outlier · filing Mar 18, 2026RAUM per account of $9,038,750 against a peer median of $610,947 (1443 comparable advisers, 99.0th percentile, 5.7 robust deviations)peers: independent wealth managers, $500M to $1B (1,443) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 69 to 84Mar 10, 2025 to Mar 18, 2026
- Corporate clients · 10 to 11Mar 10, 2025 to Mar 18, 2026
- HNW clients · 54 to 44Mar 10, 2025 to Mar 18, 2026
- Individual clients · unset to 14.0Mar 10, 2025 to Mar 18, 2026
- Discretionary RAUM · $660M to $759MMar 10, 2025 to Mar 18, 2026
- HNW RAUM · $205M to $221MMar 10, 2025 to Mar 18, 2026
- Individual RAUM · $60,449 to $894,000Mar 10, 2025 to Mar 18, 2026
- RAUM · $660M to $759MMar 10, 2025 to Mar 18, 2026
- Accounts · 65 to 69May 8, 2024 to Mar 10, 2025
- HNW clients · 23 to 54May 8, 2024 to Mar 10, 2025
- Individual clients · 19.0 to unsetMay 8, 2024 to Mar 10, 2025
- Financial planning clients · unset to May 8, 2024 to Mar 10, 2025
- Discretionary RAUM · $535M to $660MMay 8, 2024 to Mar 10, 2025
- HNW RAUM · $140M to $205MMay 8, 2024 to Mar 10, 2025
- Individual RAUM · $111,000 to $60,449May 8, 2024 to Mar 10, 2025
- RAUM · $535M to $660MMay 8, 2024 to Mar 10, 2025
- Accounts · 50 to 65Jan 31, 2024 to Mar 27, 2024
- Advisory employees · 5 to 6Jan 31, 2024 to Mar 27, 2024
- Corporate clients · 8 to 10Jan 31, 2024 to Mar 27, 2024
- HNW clients · 30 to 23Jan 31, 2024 to Mar 27, 2024
- Individual clients · unset to 19.0Jan 31, 2024 to Mar 27, 2024
- Private funds · 4 to 3Jan 31, 2024 to Mar 27, 2024
- Discretionary RAUM · $461M to $535MJan 31, 2024 to Mar 27, 2024
- HNW RAUM · $58.3M to $140MJan 31, 2024 to Mar 27, 2024
- Individual RAUM · $10,000 to $111,000Jan 31, 2024 to Mar 27, 2024
- RAUM · $461M to $535MJan 31, 2024 to Mar 27, 2024
- Related adviser · false to trueMar 16, 2023 to Dec 19, 2023
- Accounts · 83 to 50Mar 17, 2022 to Mar 16, 2023
- BD registered reps · 7 to 8Mar 17, 2022 to Mar 16, 2023
- HNW clients · 23 to 30Mar 17, 2022 to Mar 16, 2023
- Individual clients · 1.0 to unsetMar 17, 2022 to Mar 16, 2023
- Employees · 7 to 8Mar 17, 2022 to Mar 16, 2023
- State-registered IARs · 5 to 6Mar 17, 2022 to Mar 16, 2023
- Private funds · 3 to 4Mar 17, 2022 to Mar 16, 2023
- Discretionary RAUM · $479M to $461MMar 17, 2022 to Mar 16, 2023
- HNW RAUM · $62.4M to $58.3MMar 17, 2022 to Mar 16, 2023
- RAUM · $479M to $461MMar 17, 2022 to Mar 16, 2023
- Accounts · 69 to 83Jun 23, 2021 to Mar 17, 2022
- BD registered reps · 6 to 7Jun 23, 2021 to Mar 17, 2022
- Corporate clients · unset to 8.0Jun 23, 2021 to Mar 17, 2022
Signals
4 dated events
- F•••••••• F••••••• left I•••• A••••••• L•• for J••• M••••• S••••••••• L•• (registered 2026-06-24)Jul 29, 2025 · Advisor changed firm · fact
- S•••••• L••••• left I•••• A••••••• L•• for B•••••• A•••• M••••••••• I••• (registered 2024-09-23)Sep 17, 2024 · Advisor changed firm · fact
- I•••• A••••••• L•• reported RAUM $455.0M, up 74% from $260.9M (2020-01-06 to 2020-03-12)Mar 12, 2020 · RAUM change · derived
- I•••• A••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- I•••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- 786-425-1717reportedpublic record, Form ADV, Mar 18, 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
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026