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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Latest filing May 6, 2026
First filing on the tape May 16, 2013 · 30 filings
SEC status approved since Jun 5, 2013
RAUM
$144M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
100%
$144M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$144M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$144M as of May 6, 2026
Feb 24, 2014$0 then
HNW client RAUM$144M as of May 6, 2026
Mar 14, 2018$65.7M then
State-registered IARs (5.B.3)1 as of May 6, 2026
Feb 24, 20140 then
Employees (5.A)2 as of May 6, 2026
Feb 24, 20141 then
Private funds: no history
RAUM +14% over the last fiscal year-10% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 6, 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
- $144MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%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, hourly, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- High-net-worth individuals$144M100%
- Individual clients
- n/areported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 48reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 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 |
|---|---|---|---|---|
| F•••••••• J••••• M•••••••• | Key Biscayne, Fl | Nov 20, 2025 | 12 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• F••••••••• J••••• · Managing Membercontrolsince 04/2015 · owns 75% or more
- M••••••••• J•••• · Chief Compliance Officercontrolsince 05/2013 · owns less than 5%
Related persons
Schedule D 7.A
- J•••• M••••••••pooled vehicle sponsory
- J•••• M••••••••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $110M to $126MFeb 24, 2025 to Mar 1, 2026
- HNW RAUM · $126M to $144MFeb 24, 2025 to Mar 1, 2026
- Non-discretionary RAUM · $15.9M to $17.6MFeb 24, 2025 to Mar 1, 2026
- RAUM · $126M to $144MFeb 24, 2025 to Mar 1, 2026
- Accounts · 45 to 48Mar 8, 2024 to Feb 24, 2025
- HNW clients · 29 to 30Mar 8, 2024 to Feb 24, 2025
- Financial planning clients · 0 to 0Mar 8, 2024 to Feb 24, 2025
- HQ city · unset to Mar 8, 2024 to Feb 24, 2025
- HQ state · unset to Mar 8, 2024 to Feb 24, 2025
- Discretionary RAUM · $105M to $110MMar 8, 2024 to Feb 24, 2025
- HNW RAUM · $120M to $126MMar 8, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $14.3M to $15.9MMar 8, 2024 to Feb 24, 2025
- RAUM · $120M to $126MMar 8, 2024 to Feb 24, 2025
- Accounts · 44 to 45Aug 30, 2023 to Mar 8, 2024
- HNW clients · 27 to 29Aug 30, 2023 to Mar 8, 2024
- HQ city · KEY BISCAYNE to unsetAug 30, 2023 to Mar 8, 2024
- HQ state · FL to unsetAug 30, 2023 to Mar 8, 2024
- Discretionary RAUM · $96.9M to $105MAug 30, 2023 to Mar 8, 2024
- HNW RAUM · $103M to $120MAug 30, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $5.9M to $14.3MAug 30, 2023 to Mar 8, 2024
- RAUM · $103M to $120MAug 30, 2023 to Mar 8, 2024
- Accounts · 41 to 44Mar 2, 2023 to May 9, 2023
- Advisory activities · 2 to 1Mar 2, 2023 to May 9, 2023
- Corporate clients · 1.0 to unsetMar 2, 2023 to May 9, 2023
- HNW clients · 26 to 27Mar 2, 2023 to May 9, 2023
- Discretionary RAUM · $89.0M to $96.9MMar 2, 2023 to May 9, 2023
- HNW RAUM · $93.6M to $103MMar 2, 2023 to May 9, 2023
- Non-discretionary RAUM · $109M to $5.9MMar 2, 2023 to May 9, 2023
- RAUM · $198M to $103MMar 2, 2023 to May 9, 2023
- Accounts · 37 to 41Nov 2, 2022 to Mar 2, 2023
- HNW clients · 23 to 26Nov 2, 2022 to Mar 2, 2023
- Discretionary RAUM · $109M to $89.0MNov 2, 2022 to Mar 2, 2023
- HNW RAUM · $109M to $93.6MNov 2, 2022 to Mar 2, 2023
- Non-discretionary RAUM · $121M to $109MNov 2, 2022 to Mar 2, 2023
- RAUM · $230M to $198MNov 2, 2022 to Mar 2, 2023
- Discretionary RAUM · $109M to $121MMay 7, 2022 to Nov 2, 2022
- Non-discretionary RAUM · $121M to $109MMay 7, 2022 to Nov 2, 2022
- Discretionary RAUM · $121M to $109MNov 2, 2022 to Nov 2, 2022
- Non-discretionary RAUM · $109M to $121MNov 2, 2022 to Nov 2, 2022
- HQ city · BILBAO to KEY BISCAYNEMar 14, 2022 to May 7, 2022
Signals
1 dated events
- T••• C••••••• L•• filed its initial SEC registration (Form ADV)May 16, 2013 · 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
- 305 365 1005reportedpublic record, Form ADV, May 6, 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
- $144Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026