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

D•••• 9• A•••••••• L••

Former SEC-registered adviserMiami Beach, FloridaCRD 283863SEC 801-108009IAPD
Latest filing Mar 23, 2020
First filing on the tape Jun 15, 2016 · 13 filings
RAUM
$132M
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
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$132M gross assets
History
13 filings and snapshots on the tape
RAUM$132M as of Mar 23, 2020
Mar 8, 2017$139M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2020
Mar 8, 20170 then
Employees (5.A)6 as of Mar 23, 2020
Mar 8, 20174 then
Private funds1 as of Mar 23, 2020
Mar 8, 20171 then
RAUM -10% over the last fiscal year-1.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2020; 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
$132MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-10%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$132M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D•••• 9• M••••••••• F••• L•••Hedge Fund$132M10Mar 25, 2019
      D•••• 9• W•••• E••••• F••• L•Hedge Fund$52.2M12Mar 8, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• E••••••••• M••••••• · Ccocontrol
        since 03/2016 · owns less than 5%
      • G••••• W••••••• G••••• · Managing Membercontrol
        since 03/2016 · owns 75% or more
      • P•••••• M•••••••• L•• · Chief Operating Officercontrol
        since 05/2018 · owns less than 5%
      Related persons
      Schedule D 7.A
      • D• G• I• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Mar 25, 2019 to Mar 23, 2020
      • Advisory employees · 3 to 4
        Mar 25, 2019 to Mar 23, 2020
      • Pooled vehicle clients · 2 to 1
        Mar 25, 2019 to Mar 23, 2020
      • Private funds · 2 to 1
        Mar 25, 2019 to Mar 23, 2020
      • Discretionary RAUM · $147M to $132M
        Mar 25, 2019 to Mar 23, 2020
      • Pooled vehicle RAUM · $147M to $132M
        Mar 25, 2019 to Mar 23, 2020
      • RAUM · $147M to $132M
        Mar 25, 2019 to Mar 23, 2020
      • Accounts · 1 to 2
        Dec 20, 2018 to Mar 25, 2019
      • Advisory employees · 5 to 3
        Dec 20, 2018 to Mar 25, 2019
      • Advisory activities · 3 to 1
        Dec 20, 2018 to Mar 25, 2019
      • Pooled vehicle clients · 1 to 2
        Dec 20, 2018 to Mar 25, 2019
      • Private funds · 1 to 2
        Dec 20, 2018 to Mar 25, 2019
      • Discretionary RAUM · $152M to $147M
        Dec 20, 2018 to Mar 25, 2019
      • Pooled vehicle RAUM · $152M to $147M
        Dec 20, 2018 to Mar 25, 2019
      • RAUM · $152M to $147M
        Dec 20, 2018 to Mar 25, 2019
      • Business name · I••••••••• A•••••••• M•••• L•• to D•••• 9• A•••••••• L••
        Jul 2, 2018 to Dec 20, 2018
      • Legal name · I••••••••• A•••••••• M•••• L•• to D•••• 9• A•••••••• L••
        Jul 2, 2018 to Dec 20, 2018
      • Assets in custody · 151459453.0 to unset
        Mar 9, 2018 to Jul 2, 2018
      • Custody of client assets · true to false
        Mar 9, 2018 to Jul 2, 2018
      • HQ city · M•••• to M•••• BEACH
        Mar 9, 2018 to Jul 2, 2018
      • Discretionary RAUM · $151M to $152M
        Mar 9, 2018 to Jul 2, 2018
      • Pooled vehicle RAUM · $151M to $152M
        Mar 9, 2018 to Jul 2, 2018
      • RAUM · $151M to $152M
        Mar 9, 2018 to Jul 2, 2018
      • Accounts · 2 to 1
        Jul 7, 2017 to Mar 9, 2018
      • Advisory employees · 2 to 5
        Jul 7, 2017 to Mar 9, 2018
      • Pooled vehicle clients · unset to 1.0
        Jul 7, 2017 to Mar 9, 2018
      • Assets in custody · $147M to $151M
        Jul 7, 2017 to Mar 9, 2018
      • Employees · 3 to 6
        Jul 7, 2017 to Mar 9, 2018
      • Other offices · unset to 0.0
        Jul 7, 2017 to Mar 9, 2018
      • Discretionary RAUM · $151M to $151M
        Jul 7, 2017 to Mar 9, 2018
      • Pooled vehicle RAUM · unset to 151459453.0
        Jul 7, 2017 to Mar 9, 2018
      • RAUM · $151M to $151M
        Jul 7, 2017 to Mar 9, 2018
      • Advisory employees · 3 to 2
        Jun 26, 2017 to Jul 7, 2017
      • Assets in custody · $134M to $147M
        Jun 26, 2017 to Jul 7, 2017
      • Employees · 4 to 3
        Jun 26, 2017 to Jul 7, 2017
      • Discretionary RAUM · $139M to $151M
        Jun 26, 2017 to Jul 7, 2017
      • RAUM · $139M to $151M
        Jun 26, 2017 to Jul 7, 2017
      • Accounts · 1 to 2
        Nov 16, 2016 to Mar 8, 2017
      • Assets in custody · unset to 134400000.0
        Nov 16, 2016 to Mar 8, 2017
      • Custody of client assets · false to true
        Nov 16, 2016 to Mar 8, 2017
      Signals
      1 dated events
      • I••••••••• A•••••••• M•••• L•• filed its initial SEC registration (Form ADV)
        Jun 15, 2016 · 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026