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
N•••••• A•••••• A•••••••••
Legal name A•••• W••••• M••••••••• L••
Latest filing Feb 10, 2026
First filing on the tape Nov 6, 2015 · 21 filings
SEC status approved since Nov 18, 2015
RAUM
$9.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
26%
$2.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$9.4M as of Feb 10, 2026
Mar 15, 2016$104M then
HNW client RAUM$2.5M as of Feb 10, 2026
Feb 13, 2018$130M then
State-registered IARs (5.B.3)0 as of Feb 10, 2026
Mar 15, 20161 then
Employees (5.A)4 as of Feb 10, 2026
Mar 15, 20162 then
Private funds: no history
RAUM -73% over the last fiscal year-66% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $248,842derivedHNW RAUM over HNW clients
- Average account
- $726,233derivedRAUM 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
- -73%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -33%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$7.0M74%
- High-net-worth individuals$2.5M26%
- Individual clients
- 0reported
- HNW clients
- 10reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.26 fund_share=0.74 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
- M••••• N•• S••••• to H••••• F••••• O••••• L••Oct 9, 2024 · Other
- E•••••• G••••• to D••••••• W••••• M••••••••• L••Jul 23, 2020 · RIA to a state-registered adviser
- R•••••• A•••••• J••••• to X• A••••••• U•• I•••Jun 13, 2014 · Other
Joined, latest
- M••••• N•• S••••• from C•• C•••••• M••••••••• L••Jul 21, 2014 · Other
- R•••••• A•••••• J••••• from C•••••••• G••••• M•••••• I•••Jul 29, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• L•••• E•••••• · Cco/Crocontrolsince 09/2024 · owns less than 5%
- G••••••• J•••••• · President/Ciocontrolsince 08/2024 · owns less than 5%
- G••••••• J•••••• · Shareholdercontrolsince 06/2024 · owns 50% to 75% of A•••••• A•••••••••
- Z•••••• H•••••••• G••••••• · Shareholdercontrolsince 08/2000 · owns 75% or more of L•••• I••••••• C•••••••••
Entity owners
- A•••••• A••••••••• · Sole Memberdirect · owns 75% or more
- L•••• I••••••• C••••••••• · Shareholderindirect · owns 50% to 75% of A•••••• A•••••••••
Related persons
Schedule D 7.A
- L•• C••••••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mexico City | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Miami, FL
What changed
consecutive filings, newest first
- Accounts · 25 to 13Mar 25, 2025 to Feb 10, 2026
- HNW clients · 15 to 10Mar 25, 2025 to Feb 10, 2026
- Discretionary RAUM · $34.9M to $9.4MMar 25, 2025 to Feb 10, 2026
- HNW RAUM · $4.5M to $2.5MMar 25, 2025 to Feb 10, 2026
- Pooled vehicle RAUM · $30.3M to $7.0MMar 25, 2025 to Feb 10, 2026
- RAUM · $34.9M to $9.4MMar 25, 2025 to Feb 10, 2026
- Accounts · 18 to 25Sep 8, 2024 to Mar 25, 2025
- Advisory activities · 3 to 2Sep 8, 2024 to Mar 25, 2025
- Business name · A•••• W••••• M••••••••• L•• to N•••••• A•••••• A•••••••••Sep 8, 2024 to Mar 25, 2025
- Corporate clients · 5 to 0Sep 8, 2024 to Mar 25, 2025
- HNW clients · 5 to 15Sep 8, 2024 to Mar 25, 2025
- Individual clients · 8 to 0Sep 8, 2024 to Mar 25, 2025
- Pooled vehicle clients · 0 to 3Sep 8, 2024 to Mar 25, 2025
- Financial planning clients · unset to Sep 8, 2024 to Mar 25, 2025
- HQ state · unset to Sep 8, 2024 to Mar 25, 2025
- State-registered IARs · 1 to 0Sep 8, 2024 to Mar 25, 2025
- Discretionary RAUM · $12.9M to $34.9MSep 8, 2024 to Mar 25, 2025
- HNW RAUM · $954,349 to $4.5MSep 8, 2024 to Mar 25, 2025
- Individual RAUM · $989,714 to $0Sep 8, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $0 to $30.3MSep 8, 2024 to Mar 25, 2025
- RAUM · $12.9M to $34.9MSep 8, 2024 to Mar 25, 2025
- Accounts · 28 to 18Mar 29, 2024 to Sep 8, 2024
- Corporate clients · 8 to 5Mar 29, 2024 to Sep 8, 2024
- HNW clients · 0 to 5Mar 29, 2024 to Sep 8, 2024
- Individual clients · 17 to 8Mar 29, 2024 to Sep 8, 2024
- Pooled vehicle clients · 2 to 0Mar 29, 2024 to Sep 8, 2024
- Other offices · 2 to 1Mar 29, 2024 to Sep 8, 2024
- Discretionary RAUM · $5.5M to $12.9MMar 29, 2024 to Sep 8, 2024
- HNW RAUM · $0 to $954,349Mar 29, 2024 to Sep 8, 2024
- Individual RAUM · $2.2M to $989,714Mar 29, 2024 to Sep 8, 2024
- Non-discretionary RAUM · $1.4M to $0Mar 29, 2024 to Sep 8, 2024
- Pooled vehicle RAUM · $3.1M to $0Mar 29, 2024 to Sep 8, 2024
- RAUM · $6.9M to $12.9MMar 29, 2024 to Sep 8, 2024
- Advisory activities · 2 to 3Mar 8, 2023 to Mar 29, 2024
- HNW clients · 19 to 0Mar 8, 2023 to Mar 29, 2024
- Individual clients · 0 to 17Mar 8, 2023 to Mar 29, 2024
- Pooled vehicle clients · 0 to 2Mar 8, 2023 to Mar 29, 2024
- HQ city · MIAMI to MEXICO CITYMar 8, 2023 to Mar 29, 2024
- HQ state · FL to unsetMar 8, 2023 to Mar 29, 2024
- Discretionary RAUM · $9.5M to $5.5MMar 8, 2023 to Mar 29, 2024
Signals
8 dated events
- M••••• N•• S••••• left N•••••• A•••••• A••••••••• for H••••• F••••• O••••• L•• (registered 2024-09-18)Oct 9, 2024 · Advisor changed firm · fact
- E•••••• L••• C•••• (Cco/Cro) appeared on Schedule A of N•••••• A•••••• A•••••••••Sep 8, 2024 · Control person joined · fact
- J•••••• G•••••• (President/Cio) appeared on Schedule A of N•••••• A•••••• A•••••••••Sep 8, 2024 · Control person joined · fact
- G••••••• H••••••• Z••••• (Shareholder) appeared on Schedule A of N•••••• A•••••• A•••••••••Sep 8, 2024 · Control person joined · fact
- Alejandro Arturo Barragan (Managing Member) no longer on Schedule A of N•••••• A•••••• A••••••••• (listed 2024-03-29, absent 2024-09-08)Sep 8, 2024 · Control person left · inference
- Nmn Marian Stupka (Chief Compliance Officer) no longer on Schedule A of N•••••• A•••••• A••••••••• (listed 2024-03-29, absent 2024-09-08)Sep 8, 2024 · Control person left · inference
- N•••••• A•••••• A••••••••• reported RAUM $6.9M, down 97% from $243.1M (2023-03-08 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- A•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 6, 2015 · First SEC registration · 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
- 52 55 3701 6429reportedpublic record, Form ADV, Feb 10, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026