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
A•••• • C••
Legal name A•••• • C••••••• L•••
Latest filing Apr 16, 2026
First filing on the tape Jan 30, 2019 · 22 filings
SEC status approved since Mar 1, 2019
RAUM
$353M
reported, Item 5.F
Discretionary
40%
of RAUM
Private clients
36%
$126M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$353M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$353M as of Apr 16, 2026
Mar 16, 2020$157M then
HNW client RAUM$92.4M as of Apr 16, 2026
Mar 16, 2020$62.8M then
State-registered IARs (5.B.3)1 as of Apr 16, 2026
Mar 16, 20201 then
Employees (5.A)3 as of Apr 16, 2026
Mar 16, 20201 then
Private funds: no history
RAUM -6.3% over the last fiscal year+9.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $353MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 97derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $2.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 40%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +70%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, publicationsreportedItem 5.G
- Custody
- $353M, 125 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$227M64%
- High-net-worth individuals$92.4M26%
- Individuals$33.8M9.6%
- Individual clients
- 56reported
- HNW clients
- 41reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 125reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $353M for 125 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.36 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••• N•• E•••• | Miami, Fl | Jun 20, 2017 | 10 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
- E••••• S•••• N•• · Managing Membercontrolsince 05/2016 · owns 75% or more
- H•••• H••••••• J•• · Chief Compliance Officercontrolsince 07/2019 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Apr 16, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $376,826,611 to $353,171,275, advisors 1 to 1, private clients 57 to 97, offices 0 to 0 (2025-03-24 to 2026-04-16)peers: independent wealth managers, $100M to $500M (5,678)
- client mix shiftChange between filings · filing Apr 16, 2026private-client share of RAUM moved from 85.0% to 36.0% between the annual amendments of 2025-03-24 and 2026-04-16peers: independent wealth managers, $100M to $500M (5,678)
- HNW share shiftChange between filings · filing Apr 16, 2026HNW share of RAUM moved from 85.0% to 26.0% between the annual amendments of 2025-03-24 and 2026-04-16peers: independent wealth managers, $100M to $500M (5,678)
- institutional asset share shiftChange between filings · filing Apr 16, 2026institutional share of RAUM moved from 15.0% to 64.0% between the annual amendments of 2025-03-24 and 2026-04-16peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 130 to 125Mar 24, 2025 to Mar 30, 2026
- Corporate clients · 20 to 28Mar 24, 2025 to Mar 30, 2026
- HNW clients · 38 to 41Mar 24, 2025 to Mar 30, 2026
- Individual clients · 19 to 56Mar 24, 2025 to Mar 30, 2026
- Assets in custody · $0 to $353MMar 24, 2025 to Mar 30, 2026
- Discretionary RAUM · $197M to $143MMar 24, 2025 to Mar 30, 2026
- HNW RAUM · $319M to $92.4MMar 24, 2025 to Mar 30, 2026
- Individual RAUM · $2.4M to $33.8MMar 24, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $180M to $211MMar 24, 2025 to Mar 30, 2026
- RAUM · $377M to $353MMar 24, 2025 to Mar 30, 2026
- Accounts · 121 to 130Apr 24, 2024 to Mar 24, 2025
- Corporate clients · 18 to 20Apr 24, 2024 to Mar 24, 2025
- HNW clients · 33 to 38Apr 24, 2024 to Mar 24, 2025
- Individual clients · 17 to 19Apr 24, 2024 to Mar 24, 2025
- Financial planning clients · unset to Apr 24, 2024 to Mar 24, 2025
- Discretionary RAUM · $162M to $197MApr 24, 2024 to Mar 24, 2025
- HNW RAUM · $282M to $319MApr 24, 2024 to Mar 24, 2025
- Individual RAUM · $2.1M to $2.4MApr 24, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $171M to $180MApr 24, 2024 to Mar 24, 2025
- RAUM · $333M to $377MApr 24, 2024 to Mar 24, 2025
- Accounts · 69 to 121Mar 24, 2023 to Mar 28, 2024
- Corporate clients · 13 to 18Mar 24, 2023 to Mar 28, 2024
- HNW clients · 37 to 33Mar 24, 2023 to Mar 28, 2024
- Individual clients · 15 to 17Mar 24, 2023 to Mar 28, 2024
- Discretionary RAUM · $98.3M to $162MMar 24, 2023 to Mar 28, 2024
- HNW RAUM · $254M to $282MMar 24, 2023 to Mar 28, 2024
- Individual RAUM · $1.4M to $2.1MMar 24, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $172M to $171MMar 24, 2023 to Mar 28, 2024
- RAUM · $271M to $333MMar 24, 2023 to Mar 28, 2024
- Accounts · 65 to 69Jul 7, 2022 to Mar 24, 2023
- Corporate clients · 11 to 13Jul 7, 2022 to Mar 24, 2023
- HNW clients · 39 to 37Jul 7, 2022 to Mar 24, 2023
- Discretionary RAUM · $292M to $98.3MJul 7, 2022 to Mar 24, 2023
- HNW RAUM · $306M to $254MJul 7, 2022 to Mar 24, 2023
- Individual RAUM · $2.2M to $1.4MJul 7, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $38.0M to $172MJul 7, 2022 to Mar 24, 2023
- RAUM · $330M to $271MJul 7, 2022 to Mar 24, 2023
- Employees · 4 to 3Jun 7, 2022 to Jul 7, 2022
- Advisory activities · 4 to 3Mar 24, 2022 to Jun 7, 2022
- Accounts · 55 to 65Nov 5, 2021 to Mar 24, 2022
Signals
3 dated events
- A•••• • C•• reported RAUM $268.6M, up 72% from $156.6M (2020-03-16 to 2020-05-14)May 14, 2020 · RAUM change · derived
- Jay H•••••• H••• (Chief Compliance Officer) appeared on Schedule A of A•••• • C••May 14, 2020 · Control person joined · fact
- A•••• • C•• filed its initial SEC registration (Form ADV)Jan 30, 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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@a••••.xyzreportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/avory-&-co.reportedpublic record, Form ADV, Sep 19, 2026
- Website
- A••••.XYZreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 305-306-9494reportedpublic record, Form ADV, Apr 16, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $353Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026