DFX Intelligence
RIA Intelligence
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SEC-registered adviser
M••• I••••••••• A••••••• C••
Latest filing Mar 27, 2026
First filing on the tape Sep 22, 2016 · 17 filings
SEC status approved since Oct 20, 2016
RAUM
$3.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$3.0B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$426M
derived; firm RAUM over IAPD count
Employees
14
9 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$3.0B as of Mar 27, 2026
Feb 22, 2017$360M then
HNW client RAUM$3.0B as of Mar 27, 2026
Mar 27, 2018$81.6M then
State-registered IARs (5.B.3)7 as of Mar 27, 2026
Feb 22, 20170 then
Employees (5.A)14 as of Mar 27, 2026
Feb 22, 20171 then
Private funds: no history
RAUM +21% over the last fiscal year+20% a year over threeIARs 1 to 7
Practice profile
derived from the filing of Mar 27, 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
- 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
- $426MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $21.7MderivedHNW RAUM over HNW clients
- Average account
- $12.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +600%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.0B99%
- Corporations and businesses$14.8M0.5%
- Charitable organizations$14.0M0.5%
- Individuals$2.5M0.1%
- Individual clients
- 1reported
- HNW clients
- 136reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 234reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• L•••••• R••••••••• | Houston, Tx | Jan 7, 2025 | 10 y | 0 |
| A••••• A•••••• C••••Chartered Financial Analyst | Miami, Fl | Apr 4, 2025 | 12 y | 0 |
| N••••• A•••• F••••• | Miami, Fl | Apr 8, 2025 | 14 y | 1 |
| F•••••••• D• B•••• E••••••• C••••• | Miami, Fl | Apr 8, 2025 | 10 y | 0 |
| F•••••••• G••••• L••••• | Miami, Fl | May 20, 2025 | 10 y | 0 |
| A•••••• J••• B••••• C••••• L••••• | Houston, Tx | Oct 2, 2025 | 13 y | 0 |
| L••• F••••••• J•••••• P•••• | Spring, Tx | Feb 4, 2026 | 14 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
- N••••• A•••• F••••• from U•••••Apr 8, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• C••••• A••••• · Principal Officer And Chief Compliance Officercontrolsince 08/2016 · owns less than 5%
- M•••••• S•••• M••••••• · Shareholdercontrolsince 06/2016 · owns 25% to 50% of C••••••••• M• I••••••••• S••••••• D• C•••
Entity owners
- C••••••••• M• I••••••••• · Sole Shareholderdirect · owns 75% or more
- C••••••••• M• I••••••••• S••••••• D• C••• · Sole Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- M• C•••••• G• L•pooled vehicle sponsorn
- M• P••••••• I••••••••• L••pooled vehicle sponsorn
- M•••••• Y• G••••• C•••••• A•••••••• S••• D• C••• A••••••• E• I••••••••• I•••••••••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 7 | 2 | 0 | ||
| Houston, Tx | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 27, 2026M•••••• S•••• M••••••• (SHAREHOLDER) left Schedule A between the filings of 2016-09-22 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 187 to 234Mar 19, 2025 to Mar 27, 2026
- Advisory employees · 5 to 9Mar 19, 2025 to Mar 27, 2026
- Charity clients · unset to 1.0Mar 19, 2025 to Mar 27, 2026
- HNW clients · 112 to 136Mar 19, 2025 to Mar 27, 2026
- Employees · 8 to 14Mar 19, 2025 to Mar 27, 2026
- State-registered IARs · 1 to 7Mar 19, 2025 to Mar 27, 2026
- Discretionary RAUM · $2.5B to $3.0BMar 19, 2025 to Mar 27, 2026
- HNW RAUM · $2.4B to $3.0BMar 19, 2025 to Mar 27, 2026
- Individual RAUM · $140,260 to $2.5MMar 19, 2025 to Mar 27, 2026
- RAUM · $2.5B to $3.0BMar 19, 2025 to Mar 27, 2026
- Accounts · 166 to 187Mar 28, 2024 to Mar 19, 2025
- Advisory employees · 3 to 5Mar 28, 2024 to Mar 19, 2025
- HNW clients · 100 to 112Mar 28, 2024 to Mar 19, 2025
- Employees · 7 to 8Mar 28, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 19, 2025
- State-registered IARs · 0 to 1Mar 28, 2024 to Mar 19, 2025
- Discretionary RAUM · $2.0B to $2.5BMar 28, 2024 to Mar 19, 2025
- HNW RAUM · $1.9B to $2.4BMar 28, 2024 to Mar 19, 2025
- Individual RAUM · $83,761 to $140,260Mar 28, 2024 to Mar 19, 2025
- RAUM · $2.0B to $2.5BMar 28, 2024 to Mar 19, 2025
- Accounts · 124 to 166Nov 17, 2023 to Mar 28, 2024
- Corporate clients · 23 to 1Nov 17, 2023 to Mar 28, 2024
- HNW clients · 35 to 100Nov 17, 2023 to Mar 28, 2024
- Individual clients · unset to 1.0Nov 17, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.7B to $2.0BNov 17, 2023 to Mar 28, 2024
- HNW RAUM · $232M to $1.9BNov 17, 2023 to Mar 28, 2024
- Individual RAUM · $310,194 to $83,761Nov 17, 2023 to Mar 28, 2024
- RAUM · $1.7B to $2.0BNov 17, 2023 to Mar 28, 2024
- Accounts · 121 to 124Nov 4, 2022 to Mar 30, 2023
- Advisory employees · 4 to 3Nov 4, 2022 to Mar 30, 2023
- Corporate clients · 21 to 23Nov 4, 2022 to Mar 30, 2023
- HNW clients · 24 to 35Nov 4, 2022 to Mar 30, 2023
- Discretionary RAUM · $2.0B to $1.7BNov 4, 2022 to Mar 30, 2023
- HNW RAUM · $194M to $232MNov 4, 2022 to Mar 30, 2023
- Individual RAUM · unset to 310194.0Nov 4, 2022 to Mar 30, 2023
- RAUM · $2.0B to $1.7BNov 4, 2022 to Mar 30, 2023
- Accounts · 85 to 121Sep 8, 2021 to Mar 30, 2022
- Advisory employees · 3 to 4Sep 8, 2021 to Mar 30, 2022
- Corporate clients · 19 to 21Sep 8, 2021 to Mar 30, 2022
- HNW clients · 14 to 24Sep 8, 2021 to Mar 30, 2022
Signals
6 dated events
- M••• I••••••••• A••••••• C•• reported RAUM $2.5B, up 25% from $2.0B (2024-03-28 to 2025-03-19)Mar 19, 2025 · RAUM change · derived
- M••• I••••••••• A••••••• C•• reported RAUM $2.0B, up 38% from $1.5B (2021-09-08 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- M••• I••••••••• A••••••• C•• reported RAUM $1.5B, up 88% from $787.7M (2020-09-04 to 2021-03-11)Mar 11, 2021 · RAUM change · derived
- M••• I••••••••• A••••••• C•• reported RAUM $787.7M, up 59% from $495.1M (2019-03-29 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- M••• I••••••••• A••••••• C•• reported RAUM $471.3M, up 31% from $359.8M (2017-02-22 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
- M••• I••••••••• A••••••• C•• filed its initial SEC registration (Form ADV)Sep 22, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 305-374-0704reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 786-452-0936reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- M•••INVESTMENT.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 305-374-0704reportedpublic record, Form ADV, Mar 27, 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
- $426Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026