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

A••••••• I••••••••• M••••••• •••• L••

Former SEC-registered adviserMiami, FloridaCRD 285731SEC 801-110072IAPD
Latest filing Oct 6, 2023
First filing on the tape Feb 23, 2017 · 27 filings
RAUM
$131M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$131M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$131M as of Apr 3, 2023
Mar 28, 2018$117M then
HNW client RAUM$131M as of Apr 3, 2023
Mar 28, 2018$117M then
State-registered IARs (5.B.3)2 as of Apr 3, 2023
Mar 28, 20183 then
Employees (5.A)4 as of Apr 3, 2023
Mar 28, 20183 then
Private funds: no history
RAUM -23% over the last fiscal year-6.1% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Oct 6, 2023; every figure names its basis
RAUM per advisor
$65.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$6.6MderivedHNW RAUM over HNW clients
Average account
$6.6MderivedRAUM 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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-23%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$131M100%
Individual clients
n/areported
HNW clients
20reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
20reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $85.9M managedreported
Custody of client assets
noreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • F•••• J••••••• W•••• · Directorcontrol
      since 04/2017 · owns less than 5%
    • L••••• W••••••• F•••• · General Counsel And Chief Compliance Officercontrol
      since 10/2023 · owns less than 5%
    Entity owners
    • A••••••• I••••••••• M••••••••• ••• H••••••• C••• · Parent
      direct · owns 75% or more
    • A••• G••••• C••••••• L•• · Shareholder
      indirect · owns 75% or more of A••• G••••• T•••• L••••••
    • A••• G••••• H•••••••• L•• · Member
      indirect · owns 75% or more of A••• W••••• M••••••••• H•••••••• L••
    • A••• G••••• T•••• L•••••• · Member
      indirect · owns 75% or more of A••• G••••• H•••••••• L••
    • A••• G••••• W••••• M••••••••• H••••••• L•••••• · Shareholder
      indirect · owns 75% or more of A••••••• I••••••••• M••••••••• ••• H••••••• C•••
    • A••• G•••••• I••• · Shareholder
      indirect · owns 25% to 50% of A••• G••••• C••••••• L•• · public reporting company
    • A••• W••••• M••••••••• H•••••••• L•• · Shareholder
      indirect · owns 75% or more of A••• G••••• W••••• M••••••••• H••••••• L••••••
    Related persons
    Schedule D 7.A
    • A••• C• A••••••• ••• L••••••
      investment advisern
    • A••• M• ••• L••••••
      broker-dealerinvestment advisern
    • A••• P• ••••••••• L••••••
      real estaten
    • A••• R• L••••••
      investment adviserpooled vehicle sponsorn
    • A••• S•••••••• A••••••• ••• B•• L••
      broker-dealern
    • A••• W••••• M••••••••• •••• K•••• L••••••
      investment advisern
    • A••• W••••• M••••••••• ••• L••••••
      investment advisern
    • A••••••• C• •••• L••
      pooled vehicle sponsorn
    • A••••••• C••• P••••••• L••
      investment advisern
    • A••••••• F••• M••••••• ••• L••••••
      investment advisern
    • A••••••• I••••••••• A••••••• ••••••• S••
      investment advisern
    • A••••••• I••••••••• A••••••• ••••••••• • E•••••• D• I••••••••• S•••
      investment advisern
    • A••••••• I••••••••• A••••••• ••••••••• P•• L••••••
      investment advisern
    • A••••••• I••••••••• A••••••• ••••••• S•
      investment advisern
    • A••• W••••• M••••••••• •• I••••••••• I•••
      investment adviserbanknRAUM $691M
    • A••••••• I••••••••• M••••••• ••••••• S•
      investment advisern
    • A••••••• I••••••••• M••••••• ••• L••
      investment adviserpooled vehicle sponsorn
    • A••••••• I••••••••• •••• P•• L••
      investment advisern
    • A••••••• R• •••• L••
      n
    • A••••••• S••••• H•••••• A••••••• L••••••
      investment advisern
    • C•••••• C•••••• L••
      investment advisern
    • C••••• C•••••• A••••••• L••
      investment advisern
    • E••••• P••••••• L••••••
      broker-dealerinvestment advisern
    • H•••••• P••••••• L••
      investment advisern
    • L• M••••••••• •••• L••••••
      n
    • L• M••••••••• ••••••• S•
      n
    • L•• R••• A••••••• L••••••
      investment advisern
    • O••••• E••••• P••••••• L••••••
      investment advisern
    • P•••••••• P••••••• L••••••
      investment advisern
    • P•••••• E••••• L••••••
      investment advisern
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 35 to 20
      Jan 17, 2023 to Apr 3, 2023
    • Advisory employees · 3 to 2
      Jan 17, 2023 to Apr 3, 2023
    • Advisory activities · 2 to 3
      Jan 17, 2023 to Apr 3, 2023
    • BD registered reps · 3 to 2
      Jan 17, 2023 to Apr 3, 2023
    • HNW clients · 35 to 20
      Jan 17, 2023 to Apr 3, 2023
    • Employees · 5 to 4
      Jan 17, 2023 to Apr 3, 2023
    • Financial planning clients · unset to 1-10
      Jan 17, 2023 to Apr 3, 2023
    • State-registered IARs · 3 to 2
      Jan 17, 2023 to Apr 3, 2023
    • Discretionary RAUM · $170M to $131M
      Jan 17, 2023 to Apr 3, 2023
    • HNW RAUM · $170M to $131M
      Jan 17, 2023 to Apr 3, 2023
    • RAUM · $170M to $131M
      Jan 17, 2023 to Apr 3, 2023
    • Related bank · false to true
      Jan 17, 2023 to Apr 3, 2023
    • Wrap assets (manager) · $1.0M to $85.9M
      Jan 17, 2023 to Apr 3, 2023
    • Accounts · 26 to 35
      Apr 9, 2021 to Mar 29, 2022
    • Advisory employees · 9 to 3
      Apr 9, 2021 to Mar 29, 2022
    • BD registered reps · 0 to 3
      Apr 9, 2021 to Mar 29, 2022
    • HNW clients · 26 to 35
      Apr 9, 2021 to Mar 29, 2022
    • Employees · 11 to 5
      Apr 9, 2021 to Mar 29, 2022
    • Insurance-licensed employees · 7 to 0
      Apr 9, 2021 to Mar 29, 2022
    • State-registered IARs · 9 to 3
      Apr 9, 2021 to Mar 29, 2022
    • Discretionary RAUM · $163M to $170M
      Apr 9, 2021 to Mar 29, 2022
    • HNW RAUM · $174M to $170M
      Apr 9, 2021 to Mar 29, 2022
    • Non-discretionary RAUM · $10.5M to $0
      Apr 9, 2021 to Mar 29, 2022
    • RAUM · $174M to $170M
      Apr 9, 2021 to Mar 29, 2022
    • Accounts · 23 to 26
      Jul 20, 2020 to Mar 31, 2021
    • Advisory employees · 8 to 9
      Jul 20, 2020 to Mar 31, 2021
    • HNW clients · 23 to 26
      Jul 20, 2020 to Mar 31, 2021
    • Employees · 10 to 11
      Jul 20, 2020 to Mar 31, 2021
    • Insurance-licensed employees · 6 to 7
      Jul 20, 2020 to Mar 31, 2021
    • State-registered IARs · 8 to 9
      Jul 20, 2020 to Mar 31, 2021
    • Discretionary RAUM · $159M to $163M
      Jul 20, 2020 to Mar 31, 2021
    • HNW RAUM · $159M to $174M
      Jul 20, 2020 to Mar 31, 2021
    • Non-discretionary RAUM · $0 to $10.5M
      Jul 20, 2020 to Mar 31, 2021
    • RAUM · $159M to $174M
      Jul 20, 2020 to Mar 31, 2021
    • Accounts · 22 to 23
      Apr 2, 2019 to Mar 26, 2020
    • Advisory employees · 6 to 8
      Apr 2, 2019 to Mar 26, 2020
    • BD registered reps · 3 to 0
      Apr 2, 2019 to Mar 26, 2020
    • Business name · L• I••••••••• A••••••• L•• to A••••••• I••••••••• M••••••• •••• L••
      Apr 2, 2019 to Mar 26, 2020
    • HNW clients · 22 to 23
      Apr 2, 2019 to Mar 26, 2020
    • Employees · 8 to 10
      Apr 2, 2019 to Mar 26, 2020
    Signals
    11 dated events
    • Fogle Whitney Lewis (General Counsel And Chief Compliance Officer) appeared on Schedule A of A••••••• I••••••••• M••••••• •••• L••
      Oct 6, 2023 · Control person joined · fact
    • Marc Cane (Chief Compliance Officer) no longer on Schedule A of A••••••• I••••••••• M••••••• •••• L•• (listed 2023-06-08, absent 2023-10-06)
      Oct 6, 2023 · Control person left · inference
    • Linshik Christopher Shin (Chief Executive) no longer on Schedule A of A••••••• I••••••••• M••••••• •••• L•• (listed 2023-04-27, absent 2023-06-08)
      Jun 8, 2023 · Control person left · inference
    • Edward Carlosfelipe Mejia (Director) no longer on Schedule A of A••••••• I••••••••• M••••••• •••• L•• (listed 2023-04-03, absent 2023-04-27)
      Apr 27, 2023 · Control person left · inference
    • N••••••• B••••• (Director) no longer on Schedule A of A••••••• I••••••••• M••••••• •••• L•• (listed 2023-01-17, absent 2023-04-03)
      Apr 3, 2023 · Control person left · inference
    • H••• Sai Y•••• (Equity) no longer on Schedule A of A••••••• I••••••••• M••••••• •••• L•• (listed 2022-12-02, absent 2023-01-13)
      Jan 13, 2023 · Control person left · inference
    • J••••• A••••••• (Equity) no longer on Schedule A of A••••••• I••••••••• M••••••• •••• L•• (listed 2022-12-02, absent 2023-01-13)
      Jan 13, 2023 · Control person left · inference
    • Marc Cane (Chief Compliance Officer) appeared on Schedule A of A••••••• I••••••••• M••••••• •••• L••
      Dec 2, 2022 · Control person joined · fact
    • J••••• M••••• L•••••••• left A••••••• I••••••••• M••••••• •••• L•• for M• V•••••• G•••• L•• (registered 2022-10-25)
      Feb 7, 2022 · Advisor changed firm · fact
    • J••••• A••••••• (Equity) appeared on Schedule A of A••••••• I••••••••• M••••••• •••• L••
      Mar 26, 2020 · Control person joined · fact
    • L• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
      Feb 23, 2017 · 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