DFX Intelligence
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C••••• P••• A•••• M••••••••• L•
Asset manager (funds and pooled vehicles), based in Cocoa Beach, Florida, reporting $149M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $149M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- -22%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $192MRAUM now $149M
- Contact points 2
Every filed figure, and the identifiersCRD 169730 · SEC 801-79165 · 24 filingsShowHide
CRD 169730SEC 801-79165First filing on the tape Jan 29, 2014, latest Mar 31, 2026SEC status approved since Feb 11, 2014IAPD
RAUM
$149M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$149M as of Mar 31, 2026
Mar 30, 2015$66.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20150 then
Employees (5.A)4 as of Mar 31, 2026
Mar 30, 20157 then
Private funds2 as of Mar 31, 2026
Mar 30, 20151 then
RAUM -22% over the last fiscal year-7.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $24.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -22%derivedbetween 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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $138M, 4 clientsreportedItem 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$138M97%
- Pension and profit-sharing plans$4.8M3.4%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $138M for 4 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.93 institutional_share=0.03 related_bd=false related_bank=true 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
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 |
|---|---|---|---|---|
| C••••• P••• M••••• F••• L••• | Hedge Fund | $131M | 45 | Jan 29, 2014 |
| C••••• P••• L••••• H••• Y•••• F••• L• | Hedge Fund | $7.1M | 4 | Mar 31, 2026 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• A•••••• A••••• · Chief Investment Officer, Partnercontrolsince 01/2014 · owns 75% or more
- S••••• A•••••• J••• · Chief Financial Officercontrolsince 11/2023 · owns less than 5%
- W•••••• T•••• K•••••• · Chief Compliance Officer, General Counselcontrolsince 03/2019 · owns less than 5%
- B••••••• A•••••• A••••• · Membercontrolsince 01/2014 · owns 75% or more of C••••• P••• G•• L••
- N•••• B••••• M•••••• · Trusteecontrolsince 10/2018 · owns F of S••••• B•••••• F••••• 2••• T••••
- N•••• B••••• M•••••• · Trusteesince 10/2018 · owns 10% to 25%
Entity owners
- C••••• P••• G•• L•• · General Partnerdirect · owns less than 5%
- S••••• B•••••• F••••• 2••• T•••• · Trustdirect · owns 10% to 25%
- P•••••• T•••• O• N••••• I•• · Administrative Trusteeindirect · owns F of S••••• B•••••• F••••• 2••• T••••
Related persons
Schedule D 7.A
- C••••• P••• A•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 2 to 1Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 3 to 4Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $176M to $138MMar 31, 2025 to Mar 31, 2026
- Employees · 5 to 4Mar 31, 2025 to Mar 31, 2026
- Private funds · 1 to 2Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $192M to $149MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $10.8M to $4.8MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $176M to $138MMar 31, 2025 to Mar 31, 2026
- RAUM · $192M to $149MMar 31, 2025 to Mar 31, 2026
- Advisory employees · 2 to 3Mar 30, 2024 to Mar 31, 2025
- Assets in custody · $205M to $176MMar 30, 2024 to Mar 31, 2025
- Employees · 4 to 5Mar 30, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $235M to $192MMar 30, 2024 to Mar 31, 2025
- Pension RAUM · $43.7M to $10.8MMar 30, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $179M to $176MMar 30, 2024 to Mar 31, 2025
- RAUM · $235M to $192MMar 30, 2024 to Mar 31, 2025
- Related bank · false to trueMar 30, 2024 to Mar 31, 2025
- Assets in custody · $163M to $205MMar 31, 2023 to Mar 30, 2024
- Discretionary RAUM · $186M to $235MMar 31, 2023 to Mar 30, 2024
- Pension RAUM · $32.0M to $43.7MMar 31, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $145M to $179MMar 31, 2023 to Mar 30, 2024
- RAUM · $186M to $235MMar 31, 2023 to Mar 30, 2024
- Assets in custody · $179M to $163MJan 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $210M to $186MJan 31, 2022 to Mar 31, 2023
- Pension RAUM · $57.8M to $32.0MJan 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $141M to $145MJan 31, 2022 to Mar 31, 2023
- RAUM · $210M to $186MJan 31, 2022 to Mar 31, 2023
- Assets in custody · $173M to $179MMay 14, 2021 to Jan 31, 2022
- Discretionary RAUM · $198M to $210MMay 14, 2021 to Jan 31, 2022
- Pension RAUM · $46.0M to $57.8MMay 14, 2021 to Jan 31, 2022
- Pooled vehicle RAUM · $143M to $141MMay 14, 2021 to Jan 31, 2022
- RAUM · $198M to $210MMay 14, 2021 to Jan 31, 2022
- Accounts · 5 to 6Mar 31, 2021 to May 14, 2021
- Advisory employees · 4 to 2Mar 31, 2021 to May 14, 2021
- Pension plan clients · 1 to 2Mar 31, 2021 to May 14, 2021
- Assets in custody · $282M to $173MMar 31, 2021 to May 14, 2021
- Employees · 7 to 4Mar 31, 2021 to May 14, 2021
- Discretionary RAUM · $302M to $198MMar 31, 2021 to May 14, 2021
Signals
17 dated events
- ••• LockedMar 31, 2026 · private fund first reported · fact
- ••• LockedMar 30, 2024 · Control person joined · fact
- ••• LockedMar 30, 2024 · Control person left · inference
- ••• LockedMay 14, 2021 · RAUM change · derived
- ••• LockedMar 31, 2021 · RAUM change · derived
- ••• LockedMar 31, 2021 · Control person left · inference
- ••• LockedMar 31, 2021 · Control person left · inference
- ••• LockedMar 31, 2021 · Control person left · inference
- ••• LockedMar 31, 2021 · Control person joined · fact
- ••• LockedSep 1, 2020 · Control person left · inference
- ••• LockedSep 1, 2020 · Control person joined · fact
- ••• LockedMay 22, 2020 · Control person left · inference
- ••• LockedMar 29, 2019 · RAUM change · derived
- ••• LockedMar 29, 2019 · Control person joined · fact
- ••• LockedMar 29, 2019 · Control person joined · fact
- ••• LockedMar 29, 2018 · RAUM change · derived
- ••• LockedJan 29, 2014 · 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
- ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 31, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026