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O•••••• F•••••••• A•••••••• I•••

Former SEC-registered adviserFormer SEC adviser· Miami, Florida

Former SEC-registered adviser, based in Miami, Florida, reporting $115M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$115M
Form ADV
Private clients
27% of RAUM, $30.9M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 173581 · SEC 801-117601 · 5 filingsShow
CRD 173581SEC 801-117601First filing on the tape Oct 9, 2019, latest Feb 10, 2020IAPD
RAUM
$115M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
27%
$30.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$115M as of Feb 10, 2020
Oct 9, 2019$115M then
HNW client RAUM$27.2M as of Feb 10, 2020
Oct 9, 2019$27.2M then
State-registered IARs (5.B.3)1 as of Feb 10, 2020
Oct 9, 20191 then
Employees (5.A)1 as of Feb 10, 2020
Oct 9, 20191 then
Private funds: no history
Practice profile
derived from the filing of Feb 10, 2020; every figure names its basis
RAUM per advisor
$115MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
26derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
1.0derived1 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$5.5M, 3 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$84.5M73%
  • High-net-worth individuals$27.2M24%
  • Individuals$3.8M3.3%
Individual clients
14reported
HNW clients
12reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
63reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$5.5M for 3 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • O••••• A••••••• N•• · President And 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
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Succession · false to true
        Feb 4, 2020 to Feb 10, 2020
      • Business name · O•••••• F•••••••• A•••••••• L•• to O•••••• F•••••••• A•••••••• I•••
        Jan 24, 2020 to Feb 4, 2020
      • Legal name · O•••••• F•••••••• A•••••••• L•• to O•••••• F•••••••• A•••••••• I•••
        Jan 24, 2020 to Feb 4, 2020
      • Organization form · Limited Liability Company to Corporation
        Jan 24, 2020 to Feb 4, 2020
      Signals
      2 dated events
      • ••• Locked
        Feb 10, 2020 · Succession (Item 4) · fact
      • ••• Locked
        Oct 9, 2019 · 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.
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026