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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SEC-registered adviser
V•••••• A••••••• C••••
Latest filing Mar 30, 2026
First filing on the tape Aug 23, 2018 · 17 filings
SEC status approved since Sep 27, 2018
RAUM
$113M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$113M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$37.7M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$113M as of Mar 30, 2026
Feb 19, 2019$49.4M then
HNW client RAUM$110M as of Mar 30, 2026
Feb 19, 2019$49.2M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Feb 19, 20191 then
Employees (5.A)6 as of Mar 30, 2026
Feb 19, 20191 then
Private funds: no history
RAUM -87% over the last fiscal year-44% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $37.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 6derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.0MderivedHNW RAUM over HNW clients
- Average account
- $6.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -87%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +143%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$110M97%
- Individuals$3.2M2.8%
- Individual clients
- 7reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 17reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• G••••• | Miami, Fl | Aug 25, 2025 | 15 y | 0 |
| A••• A•••••• S••••••••• B•••• | Miami, Fl | Dec 16, 2025 | 22 y | 0 |
| M••••• B•••••••• | Miami, Fl | Aug 18, 2026 | 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
- S••••••••• B••••• A•••• A•••••• · Consultant, Owner, Ccocontrolsince 06/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $900,591,450 to $113,156,643 (-87.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +15.0% (4549 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 24 to 17Aug 25, 2025 to Mar 30, 2026
- HNW clients · unset to 10.0Aug 25, 2025 to Mar 30, 2026
- Individual clients · unset to 7.0Aug 25, 2025 to Mar 30, 2026
- Employees · 3 to 6Aug 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $82.5M to $113MAug 25, 2025 to Mar 30, 2026
- HNW RAUM · $82.3M to $110MAug 25, 2025 to Mar 30, 2026
- Individual RAUM · $188,192 to $3.2MAug 25, 2025 to Mar 30, 2026
- RAUM · $82.5M to $113MAug 25, 2025 to Mar 30, 2026
- Accounts · 26 to 24Jul 15, 2025 to Aug 25, 2025
- Advisory employees · 1 to 2Jul 15, 2025 to Aug 25, 2025
- HNW clients · 5.0 to unsetJul 15, 2025 to Aug 25, 2025
- Individual clients · 2.0 to unsetJul 15, 2025 to Aug 25, 2025
- Employees · 1 to 3Jul 15, 2025 to Aug 25, 2025
- State-registered IARs · 1 to 2Jul 15, 2025 to Aug 25, 2025
- Discretionary RAUM · $901M to $82.5MJul 15, 2025 to Aug 25, 2025
- HNW RAUM · $900M to $82.3MJul 15, 2025 to Aug 25, 2025
- Individual RAUM · $235,683 to $188,192Jul 15, 2025 to Aug 25, 2025
- RAUM · $901M to $82.5MJul 15, 2025 to Aug 25, 2025
- Succession · true to falseJul 15, 2025 to Aug 25, 2025
- Business name · A•• C••••••••• L•• to V•••••• A••••••• C••••May 7, 2025 to Jul 15, 2025
- Financial planning clients · 1-10 to 1-10May 7, 2025 to Jul 15, 2025
- Legal name · A•• C••••••••• L•• to V•••••• A••••••• C••••May 7, 2025 to Jul 15, 2025
- Organization form · Limited Liability Company to CorporationMay 7, 2025 to Jul 15, 2025
- Succession · false to trueMay 7, 2025 to Jul 15, 2025
- Charity clients · 0.0 to unsetMar 31, 2025 to May 7, 2025
- Corporate clients · 0.0 to unsetMar 31, 2025 to May 7, 2025
- Pension plan clients · 0.0 to unsetMar 31, 2025 to May 7, 2025
- Pooled vehicle clients · 0.0 to unsetMar 31, 2025 to May 7, 2025
- HQ city · to MIAMIMar 31, 2025 to May 7, 2025
- HQ state · to FLMar 31, 2025 to May 7, 2025
- Pension RAUM · 0.0 to unsetMar 31, 2025 to May 7, 2025
- Pooled vehicle RAUM · 0.0 to unsetMar 31, 2025 to May 7, 2025
- Accounts · 10 to 26Mar 22, 2024 to Mar 31, 2025
- HNW clients · 4 to 5Mar 22, 2024 to Mar 31, 2025
- Assets in custody · 3477345.0 to unsetMar 22, 2024 to Mar 31, 2025
- Custody of client assets · true to falseMar 22, 2024 to Mar 31, 2025
- HQ city · unset to Mar 22, 2024 to Mar 31, 2025
- HQ state · unset to Mar 22, 2024 to Mar 31, 2025
- Discretionary RAUM · $746M to $901MMar 22, 2024 to Mar 31, 2025
- HNW RAUM · $746M to $900MMar 22, 2024 to Mar 31, 2025
Signals
4 dated events
- V•••••• A••••••• C•••• reported RAUM $82.5M, down 91% from $900.6M (2025-07-15 to 2025-08-25)Aug 25, 2025 · RAUM change · derived
- V•••••• A••••••• C•••• reported succeeding to the business of A•• C••••••••• L•• (Form ADV Item 4)Jul 15, 2025 · Succession (Item 4) · fact
- V•••••• A••••••• C•••• reported RAUM $49.4M, down 79% from $237.4M (2018-11-19 to 2019-02-19)Feb 19, 2019 · RAUM change · derived
- A•• C••••••••• L•• filed its initial SEC registration (Form ADV)Aug 23, 2018 · 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) 318-7172reportedpublic record, Form ADV, Mar 30, 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
- $37.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026