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

A•••• F••••• L••

Former SEC-registered adviserMiami Beach, FloridaCRD 166032SEC 801-77798IAPD
Latest filing Mar 31, 2014
First filing on the tape Mar 18, 2013 · 4 filings
RAUM
$92.0M
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
9
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$92.0M gross assets
History
4 filings and snapshots on the tape
RAUM$92.0M as of Mar 31, 2014
Mar 18, 2013$68.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Mar 18, 20130 then
Employees (5.A)9 as of Mar 31, 2014
Mar 18, 201310 then
Private funds2 as of Mar 31, 2014
Mar 18, 20134 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2014; 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
$46.0MderivedRAUM 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
unknownderived2 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• M••••• O••••••••• F••• H•••••••• L•Private Equity Fund$103M2Nov 13, 2012
      A•••• L•••• A•••••• F•••• L•••Private Equity Fund$7.0M11Nov 13, 2012
      A•••• A••• L••Private Equity Fund$1.2M11Mar 24, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••••• D••••• L••••••• · Managing Member/Chief Executive Officer/Chief Compliance Officercontrol
        since 02/2014 · owns less than 5%
      • G••••••••• X••••• · Membercontrol
        since 10/2007 · owns 25% to 50% of A•••• I••••••••• H•••••••• L••
      • S••••••••• D•••• · Membercontrol
        since 10/2007 · owns 50% to 75% of A•••• I••••••••• H•••••••• L••
      • M••••••• J•••••• L••••••• · Member
        since 10/2007 · owns F of A•••• I••••••••• H•••••••• L••
      Entity owners
      • A•••• I••••••••• H•••••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A••• G•• S• D• R••• D• C•••
        investment adviserpooled vehicle sponsorn
      • A•••• F••••• S••• •••••••
        investment adviserpooled vehicle sponsorn
      • A•••• L•••• A•••••• F••• G•• L•
        investment adviserbankpooled vehicle sponsorn
      • A•••• M••••• I••••••••• H•••••••• L••
        investment adviserpooled vehicle sponsory
      • A•••• G•• S• D• R••• C•
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Col. Polanco, Mexico
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $63.1M to $92.0M
        Feb 11, 2014 to Mar 31, 2014
      • RAUM · $63.1M to $92.0M
        Feb 11, 2014 to Mar 31, 2014
      • Employees · 10 to 9
        Jul 25, 2013 to Feb 11, 2014
      • Private funds · 4 to 2
        Mar 18, 2013 to Jul 25, 2013
      • Discretionary RAUM · $68.6M to $63.1M
        Mar 18, 2013 to Jul 25, 2013
      • RAUM · $68.6M to $63.1M
        Mar 18, 2013 to Jul 25, 2013
      Signals
      1 dated events
      • A•••• F••••• L•• filed its initial SEC registration (Form ADV)
        Mar 18, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      A••••FUNDS.COMreportedpublic record, Form ADV, Sep 19, 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
      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