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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Former SEC-registered adviser

I•••••••• I••••••••• M••••••••• L••

Former SEC-registered adviserStuart, FloridaCRD 171817SEC 801-80423IAPD
Latest filing Mar 2, 2015
First filing on the tape Sep 26, 2014 · 7 filings
RAUM
$26.0M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$26.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$26.0M as of Mar 2, 2015
Sep 26, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 2, 2015
Sep 26, 20141 then
Employees (5.A)1 as of Mar 2, 2015
Sep 26, 20141 then
Private funds: no history
Practice profile
derived from the filing of Mar 2, 2015; every figure names its basis
RAUM per advisor
$26.0MderivedRAUM 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
$196,970derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.3derived3 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
132reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M••• L••• R•••••••••Stuart, FlNov 5, 201440 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R••••••••• M•••• L••• · Managing Member & Chief Compliance Officercontrol
      since 10/2014 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Palm Beach Gardens, FL
    • Stuart, FL
    What changed
    consecutive filings, newest first
    • Assets in custody · unset to 0.0
      Feb 13, 2015 to Mar 2, 2015
    • Custody of client assets · false to true
      Feb 13, 2015 to Mar 2, 2015
    • HQ city · unset to STUART
      Feb 12, 2015 to Feb 13, 2015
    • HQ state · unset to FL
      Feb 12, 2015 to Feb 13, 2015
    • Advisory activities · 2 to 3
      Jan 12, 2015 to Feb 12, 2015
    • Accounts · 0 to 132
      Oct 17, 2014 to Jan 12, 2015
    • Discretionary RAUM · $0 to $25.0M
      Oct 17, 2014 to Jan 12, 2015
    • Non-discretionary RAUM · $0 to $1.0M
      Oct 17, 2014 to Jan 12, 2015
    • RAUM · $0 to $26.0M
      Oct 17, 2014 to Jan 12, 2015
    • Business name · I•••••••• I••••••••• M••••••••• to I•••••••• I••••••••• M••••••••• L••
      Sep 26, 2014 to Oct 17, 2014
    • Legal name · I•••••••• I••••••••• M••••••••• to I•••••••• I••••••••• M••••••••• L••
      Sep 26, 2014 to Oct 17, 2014
    Signals
    1 dated events
    • I•••••••• I••••••••• M••••••••• filed its initial SEC registration (Form ADV)
      Sep 26, 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
    I••••••••.COMreportedpublic record, Form ADV, Sep 19, 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
    $26.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026