DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

B•••••••• A•••• M••••••••• L•••••

Former SEC-registered adviserFormer SEC adviser· Miami, Florida

Former SEC-registered adviser, based in Miami, Florida, reporting $23.0M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2021-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $23.0M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: -80%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2021-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM fell -80% over the last fiscal year, to $23.0M.
2021-03-30
RAUM a year earlier $115MRAUM now $23.0M

Every filed figure, and the identifiersCRD 286303 · SEC 801-109986 · 9 filingsShow

CRD 286303SEC 801-109986First filing on the tape Feb 6, 2017, latest Mar 30, 2021IAPD

RAUM

$23.0M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM$25.0M as of Mar 19, 2020

Mar 29, 2018$115M then

HNW client RAUM$0 as of Mar 29, 2019

Mar 29, 2018$0 then

State-registered IARs (5.B.3)1 as of Mar 19, 2020

Mar 29, 20180 then

Employees (5.A)3 as of Mar 19, 2020

Mar 29, 20182 then

Private funds: no history

RAUM -80% over the last fiscal yearIARs 1 to 0

Practice profile

derived from the filing of Mar 30, 2021; 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: $11.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 100%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: -78%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: 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

compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Insurance companies$23.0M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
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

J••• M• R•••••••• R•••••••• to M••••• S••••••
Mar 30, 2021 · Other

Joined, latest

J••• M• R•••••••• R•••••••• from W•••• F•••• A•••••••
Jul 26, 2019 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

E•••• T•••••• I•••••• · Chief Compliance Officercontrol
since 02/2019 · owns less than 5%
G••••••• M••••••• L••• · Chief Executive Officercontrol
since 12/2016 · owns less than 5%
G••••••• M••••••• L••• · Shareholdercontrol
since 10/2002 · owns 25% to 50% of B•••••••• C•••••• L•••••

Entity owners

B•••••••• C•••••• L••••• · Shareholder
direct · owns 75% or more

Related persons

Schedule D 7.A

B•••••••• S••••••••• L••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 3 to 1
Mar 19, 2020 to Mar 30, 2021
BD registered reps · 1 to 0
Mar 19, 2020 to Mar 30, 2021
Employees · 3 to 1
Mar 19, 2020 to Mar 30, 2021
State-registered IARs · 1 to 0
Mar 19, 2020 to Mar 30, 2021
Non-discretionary RAUM · $25.0M to $23.0M
Mar 19, 2020 to Mar 30, 2021
RAUM · $25.0M to $23.0M
Mar 19, 2020 to Mar 30, 2021
Accounts · 4 to 2
Mar 29, 2019 to Mar 19, 2020
Charity clients · 0.0 to unset
Mar 29, 2019 to Mar 19, 2020
Corporate clients · 0.0 to unset
Mar 29, 2019 to Mar 19, 2020
HNW clients · 0.0 to unset
Mar 29, 2019 to Mar 19, 2020
Individual clients · 0.0 to unset
Mar 29, 2019 to Mar 19, 2020
Pension plan clients · 0.0 to unset
Mar 29, 2019 to Mar 19, 2020
Pooled vehicle clients · 0.0 to unset
Mar 29, 2019 to Mar 19, 2020
Employees · 4 to 3
Mar 29, 2019 to Mar 19, 2020
HNW RAUM · 0.0 to unset
Mar 29, 2019 to Mar 19, 2020
Individual RAUM · 0.0 to unset
Mar 29, 2019 to Mar 19, 2020
Non-discretionary RAUM · $115M to $25.0M
Mar 29, 2019 to Mar 19, 2020
Pension RAUM · 0.0 to unset
Mar 29, 2019 to Mar 19, 2020
Pooled vehicle RAUM · 0.0 to unset
Mar 29, 2019 to Mar 19, 2020
RAUM · $115M to $25.0M
Mar 29, 2019 to Mar 19, 2020
Accounts · 3 to 4
Jul 26, 2018 to Mar 29, 2019
Advisory employees · 2 to 3
Mar 29, 2018 to Jul 26, 2018
BD registered reps · 0 to 1
Mar 29, 2018 to Jul 26, 2018
Employees · 2 to 4
Mar 29, 2018 to Jul 26, 2018
State-registered IARs · 0 to 1
Mar 29, 2018 to Jul 26, 2018
Charity clients · unset to 0.0
May 26, 2017 to Mar 29, 2018
Corporate clients · unset to 0.0
May 26, 2017 to Mar 29, 2018
HNW clients · unset to 0.0
May 26, 2017 to Mar 29, 2018
Individual clients · unset to 0.0
May 26, 2017 to Mar 29, 2018
Pension plan clients · unset to 0.0
May 26, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 0.0
May 26, 2017 to Mar 29, 2018
Other offices · unset to 0.0
May 26, 2017 to Mar 29, 2018
HNW RAUM · unset to 0.0
May 26, 2017 to Mar 29, 2018
Individual RAUM · unset to 0.0
May 26, 2017 to Mar 29, 2018
Pension RAUM · unset to 0.0
May 26, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 0.0
May 26, 2017 to Mar 29, 2018
Accounts · 2 to 3
Mar 8, 2017 to May 26, 2017
Non-discretionary RAUM · $2.7M to $115M
Mar 8, 2017 to May 26, 2017
RAUM · $2.7M to $115M
Mar 8, 2017 to May 26, 2017

Signals

2 dated events

••• Locked
Mar 29, 2019 · Control person left · inference
••• Locked
Feb 6, 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