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.

Former SEC-registered adviser

Forem Investments LLC

Former SEC-registered adviserCoral Gables, FloridaCRD 169636SEC 801-78817IAPD
Latest filing Oct 27, 2014
First filing on the tape Nov 11, 2013 · 12 filings
RAUM
$40.0M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$20.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$40.0M as of Oct 27, 2014
Nov 11, 2013$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Oct 27, 2014
Nov 11, 20131 then
Employees (5.A)3 as of Oct 27, 2014
Nov 11, 20131 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 27, 2014; every figure names its basis
RAUM per advisor
$20.0MderivedRAUM 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
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 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, hourly, fixed fees, performance-basedreportedItem 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
36reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Freddy Jose MartinezCertified Financial PlannerCoral Gables, FlApr 21, 201428 y3
Michele Alessandro Di CarloCaracas Nov 7, 202520 y0
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Jose Freddy Martinez · Ceo/Ccocontrol
    since 11/2013 · owns 75% or more
  • Andrea Johanna Robledo · Directorcontrol
    since 02/2014 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Coral Gables, Fl · principal210
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory activities · 3 to 2
    Oct 10, 2014 to Oct 21, 2014
  • Advisory employees · 2 to 3
    Jun 20, 2014 to Oct 1, 2014
  • Employees · 2 to 3
    Jun 20, 2014 to Oct 1, 2014
  • State-registered IARs · 2 to 3
    Jun 20, 2014 to Oct 1, 2014
  • Discretionary RAUM · $45.2M to $39.5M
    Mar 27, 2014 to Mar 28, 2014
  • Non-discretionary RAUM · $0 to $519,301
    Mar 27, 2014 to Mar 28, 2014
  • RAUM · $45.2M to $40.0M
    Mar 27, 2014 to Mar 28, 2014
  • Accounts · 0 to 36
    Feb 3, 2014 to Mar 27, 2014
  • Discretionary RAUM · $0 to $45.2M
    Feb 3, 2014 to Mar 27, 2014
  • RAUM · $0 to $45.2M
    Feb 3, 2014 to Mar 27, 2014
  • Advisory employees · 1 to 2
    Nov 11, 2013 to Feb 3, 2014
  • Employees · 1 to 2
    Nov 11, 2013 to Feb 3, 2014
  • HQ city · MIAMI to CORAL GABLES
    Nov 11, 2013 to Feb 3, 2014
  • State-registered IARs · 1 to 2
    Nov 11, 2013 to Feb 3, 2014
Signals
1 dated events
  • Forem Investments Llc filed its initial SEC registration (Form ADV)
    Nov 11, 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
Website
FOREMINVESTMENTS.COMreportedpublic record, Form ADV, Sep 17, 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
$20.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026