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
S•••• C•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 29, 2022 · 10 filings
SEC status approved since Aug 30, 2022
RAUM
$821M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$821M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$821M as of Mar 30, 2026
Mar 29, 2023$264M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 29, 20231 then
Employees (5.A)5 as of Mar 30, 2026
Mar 29, 20233 then
Private funds5 as of Mar 30, 2026
Mar 29, 20232 then
RAUM +54% over the last fiscal year+46% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $821MderivedRAUM 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
- $164MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +54%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 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
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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$821M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• R••••• R••••• | Palm Beach, Fl | May 30, 2013 | 19 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• R••••••• P•••••••• L• | Hedge Fund | $427M | 93 | Apr 10, 2021 |
| S•••• N•• E••••• O••••••••• I• L• | Private Equity Fund | $23.0M | 56 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- F••••••• M••••••• R••••• · Chief Financial Officer, Chief Operating Officer, Chief Compliance Officercontrolsince 04/2013 · owns less than 5%
- H•••• A•••••• D••••• · Co-Portfolio Membercontrolsince 03/2019 · owns less than 5%
- R•••••• A•••• R••••• · Member, Chief Executive Officer, Chief Investment Officercontrolsince 03/2013 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Bronxville, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- private fund count surgeChange between filings · filing Mar 30, 2026private funds (Schedule D 7.B.1) moved from 3.0 to 5.0 (+67.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was 0.0% (490 comparable advisers, 96.0th percentile of changes)peers: asset managers, $500M to $1B (490) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 5May 27, 2025 to Mar 30, 2026
- Pooled vehicle clients · 3 to 5May 27, 2025 to Mar 30, 2026
- Private funds · 3 to 5May 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $533M to $821MMay 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $533M to $821MMay 27, 2025 to Mar 30, 2026
- RAUM · $533M to $821MMay 27, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 27, 2025
- Accounts · 2 to 3Jun 10, 2024 to Mar 31, 2025
- Advisory employees · 2 to 3Jun 10, 2024 to Mar 31, 2025
- Pooled vehicle clients · 2 to 3Jun 10, 2024 to Mar 31, 2025
- Employees · 3 to 5Jun 10, 2024 to Mar 31, 2025
- Private funds · 2 to 3Jun 10, 2024 to Mar 31, 2025
- Discretionary RAUM · $450M to $533MJun 10, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $450M to $533MJun 10, 2024 to Mar 31, 2025
- RAUM · $450M to $533MJun 10, 2024 to Mar 31, 2025
- HQ city · WEST PALM BEACH to PALM BEACHMar 27, 2024 to Jun 10, 2024
- Discretionary RAUM · $264M to $450MOct 13, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $264M to $450MOct 13, 2023 to Mar 27, 2024
- RAUM · $264M to $450MOct 13, 2023 to Mar 27, 2024
- Succession · true to falseOct 13, 2023 to Mar 27, 2024
- Succession · false to trueMar 29, 2023 to Oct 13, 2023
- HQ city · unset to WEST PALM BEACHAug 29, 2022 to Mar 29, 2023
- HQ state · unset to FLAug 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $289M to $264MAug 29, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $289M to $264MAug 29, 2022 to Mar 29, 2023
- RAUM · $289M to $264MAug 29, 2022 to Mar 29, 2023
- Private funds · 4 to 2Jun 29, 2022 to Aug 25, 2022
Signals
4 dated events
- S•••• C•••••• M••••••••• L•• reported RAUM $820.7M, up 54% from $532.6M (2025-05-27 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- S•••• C•••••• M••••••••• L•• reported RAUM $449.9M, up 70% from $264.5M (2023-10-13 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- S•••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 13, 2023 · Succession (Item 4) · fact
- S•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S•••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 561-890-9127reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $821Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026