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
A••••• C•••••• L••
Latest filing Mar 9, 2026
First filing on the tape Jun 30, 2021 · 21 filings
SEC status approved since Jul 30, 2021
RAUM
$349M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
94%
$329M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$58.2M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$349M as of Mar 9, 2026
Mar 11, 2022$164M then
HNW client RAUM$174M as of Mar 9, 2026
Mar 11, 2022$98.4M then
State-registered IARs (5.B.3)6 as of Mar 9, 2026
Mar 11, 20227 then
Employees (5.A)10 as of Mar 9, 2026
Mar 11, 20229 then
Private funds: no history
RAUM +23% over the last fiscal year+33% a year over threeIARs 8 to 6
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $58.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 198derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $288,905derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +45%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$174M50%
- Individuals$156M45%
- Corporations and businesses$19.9M5.7%
- Individual clients
- 1,117reported
- HNW clients
- 70reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,209reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• A• W•••••• | Fort Lauderdale, Fl | Feb 19, 2020 | 18 y | 1 |
| L•••• J•••••• P••••• G••••• | Fort Lauderdale, Fl | Jul 7, 2022 | 10 y | 0 |
| R••• J•••• B••••••Certified Financial Planner | Fort Lauderdale, Fl | Jun 16, 2023 | 24 y | 8 |
| N••••• H•••••••• R••••• | Monterrey | Nov 18, 2024 | 11 y | 3 |
| R•••••• F••••• N•••• | Fort Lauderdale, Fl | Mar 3, 2025 | 15 y | 1 |
| E•••••• A•••• C••••• | Fort Lauderdale, Fl | Jan 6, 2026 | 19 y | 8 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount2 left over 36 months
Left, latest
- D••••• A•••••••• L••••••• to A• W••••• M••••••••• L••Feb 20, 2026 · RIA to affiliated broker-dealer or bank
- C•••••••• J• S•••••••• to C•••••••• G••••• M•••••• I•••Mar 14, 2025 · RIA to affiliated broker-dealer or bank
- V••••••• M• G••••••• to S•••••••• W••••• I••••••••• G••••• L••May 12, 2021 · RIA to RIA
Joined, latest
- E•••••• A•••• C••••• from T••••••••• F•••••••• A•••••••• L••Jan 6, 2026 · Other
- R•••••• F••••• N•••• from M••••• S••••••Mar 3, 2025 · Wirehouse to independent RIA
- N••••• H•••••••• R••••• from C••••••Nov 18, 2024 · RIA to RIA
- R••• J•••• B•••••• from W•••• F•••• A•••••••Jun 16, 2023 · Wirehouse to independent RIA
- D••••• A•••••••• L••••••• from F••••••••• I••••••••• A••••••• L••Aug 21, 2020 · RIA to RIA
- P•••••• A• W•••••• from I••••••••• P••••••• L••Feb 19, 2020 · Other
- V••••••• M• G••••••• from B••• S••••••••• L••Jul 31, 2019 · Affiliated broker-dealer or bank to independent RIA
- C•••••••• J• S•••••••• from M••••• S••••••Oct 16, 2018 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• A•••••• · Managing Member/Chief Compliance Officercontrolsince 02/2013 · owns 50% to 75%
- N••••• R••••••• F••••• · Managing Membercontrolsince 02/2013 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Lauderdale, Fl · principal | 6 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,066 to 1,209Feb 27, 2026 to Mar 9, 2026
- HNW clients · 57 to 70Feb 27, 2026 to Mar 9, 2026
- Individual clients · 760 to 1,117Feb 27, 2026 to Mar 9, 2026
- Discretionary RAUM · $259M to $320MFeb 27, 2026 to Mar 9, 2026
- HNW RAUM · $134M to $174MFeb 27, 2026 to Mar 9, 2026
- Individual RAUM · $132M to $156MFeb 27, 2026 to Mar 9, 2026
- Non-discretionary RAUM · $26.4M to $29.7MFeb 27, 2026 to Mar 9, 2026
- RAUM · $285M to $349MFeb 27, 2026 to Mar 9, 2026
- Advisory employees · 7 to 6Sep 23, 2025 to Feb 27, 2026
- State-registered IARs · 7 to 6Sep 23, 2025 to Feb 27, 2026
- Advisory employees · 8 to 7Mar 28, 2025 to Aug 12, 2025
- State-registered IARs · 8 to 7Mar 28, 2025 to Aug 12, 2025
- Accounts · 924 to 1,066Feb 21, 2025 to Mar 28, 2025
- Advisory employees · 11 to 8Feb 21, 2025 to Mar 28, 2025
- Corporate clients · 93 to 22Feb 21, 2025 to Mar 28, 2025
- HNW clients · 554 to 57Feb 21, 2025 to Mar 28, 2025
- Individual clients · 277 to 760Feb 21, 2025 to Mar 28, 2025
- Employees · 13 to 10Feb 21, 2025 to Mar 28, 2025
- Financial planning clients · unset to Feb 21, 2025 to Mar 28, 2025
- State-registered IARs · 11 to 8Feb 21, 2025 to Mar 28, 2025
- Discretionary RAUM · $184M to $259MFeb 21, 2025 to Mar 28, 2025
- HNW RAUM · $126M to $134MFeb 21, 2025 to Mar 28, 2025
- Individual RAUM · $63.0M to $132MFeb 21, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $25.5M to $26.4MFeb 21, 2025 to Mar 28, 2025
- RAUM · $210M to $285MFeb 21, 2025 to Mar 28, 2025
- Advisory employees · 10 to 11Sep 26, 2024 to Nov 18, 2024
- Employees · 12 to 13Sep 26, 2024 to Nov 18, 2024
- State-registered IARs · 10 to 11Sep 26, 2024 to Nov 18, 2024
- Advisory employees · 12 to 10Apr 5, 2024 to Sep 13, 2024
- Employees · 13 to 12Apr 5, 2024 to Sep 13, 2024
- State-registered IARs · 12 to 10Apr 5, 2024 to Sep 13, 2024
- Advisory employees · 11 to 12Mar 28, 2024 to Apr 5, 2024
- Employees · 12 to 13Mar 28, 2024 to Apr 5, 2024
- State-registered IARs · 11 to 12Mar 28, 2024 to Apr 5, 2024
- Accounts · 916 to 924Jun 28, 2023 to Mar 28, 2024
- Corporate clients · 90 to 93Jun 28, 2023 to Mar 28, 2024
- HNW clients · 550 to 554Jun 28, 2023 to Mar 28, 2024
- Individual clients · 275 to 277Jun 28, 2023 to Mar 28, 2024
- Pension plan clients · 1 to 0Jun 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $131M to $184MJun 28, 2023 to Mar 28, 2024
Signals
3 dated events
- D••••• A•••••••• L••••••• left A••••• C•••••• L•• for A• W••••• M••••••••• L•• (registered 2026-03-30)Feb 20, 2026 · Advisor changed firm · fact
- C•••••••• J• S•••••••• left A••••• C•••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2025-12-04)Mar 14, 2025 · Advisor changed firm · fact
- A••••• C•••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2021 · 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
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/A•••••-CAPITAL-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (786) 529-6540reportedpublic record, Form ADV, Mar 9, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $58.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026