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•• D•••••• I••••••••• F••••• O••••• U•• L•••••• P•••••••••

Former SEC-registered adviserMiami, FloridaCRD 288134SEC 801-110303IAPD
Latest filing Mar 18, 2019
First filing on the tape Mar 29, 2017 · 14 filings
RAUM
$23.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$23.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$23.3M as of Mar 18, 2019
May 10, 2018$0 then
HNW client RAUM$19.2M as of Mar 18, 2019
May 10, 2018$0 then
State-registered IARs (5.B.3)2 as of Mar 18, 2019
May 10, 20183 then
Employees (5.A)5 as of Mar 18, 2019
May 10, 20187 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 2offices 1 to 2
Practice profile
derived from the filing of Mar 18, 2019; every figure names its basis
RAUM per advisor
$11.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
24derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$800,000derivedHNW RAUM over HNW clients
Average account
$495,745derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$19.2M82%
  • Individuals$4.1M18%
Individual clients
23reported
HNW clients
24reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
47reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, 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
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
  • B••••• H••••• A••••• A••••• · Chief Information Security Officercontrol
    since 03/2017 · owns less than 5%
  • B••••••• J•••••• C•••••• · Chief Investment Officer And Chief Compliance Officercontrol
    since 03/2017 · owns less than 5%
  • B••••• H••••• A••••• A••••• · H•••• Is An Owner Of A••••• L•• The General Partner Of The Applicantcontrol
    since 02/2017 · owns 50% to 75% of A••••• L••
  • B••••• S•••••• H••• G••••••• · S••••• Is An Owner Of A••••• L•• The General Partner Of The Applicantcontrol
    since 02/2017 · owns 50% to 75% of A••••• L••
  • H••••••• R•••••• D•••• · Chief Investment Officer
    since 07/2018 · owns less than 5%
Entity owners
  • A•• D•••••• I••••••••• F••••• O••••• H••••••• L•••••• · Parent/Holding Company
    direct · owns 75% or more
  • A••••• L•• · General Partner
    indirect · owns F of A•• D•••••• I••••••••• F••••• O••••• H••••••• L••••••
  • C••• I•••••• T•••• L•••• T•••••• O• T•• I•••••• N•• 2• · Owner Of I••••••••• L••••••
    indirect · owns 75% or more of I••••••••• L••••••
  • I••••••••• L•••••• · Owner Of All Of The L•••••• Partner Equity
    indirect · owns 75% or more of A•• D•••••• I••••••••• F••••• O••••• H••••••• L••••••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Carlsbad, CA2 employees
  • San Diego, CA1 employees
What changed
consecutive filings, newest first
  • Accounts · 114 to 47
    Jan 10, 2019 to Mar 5, 2019
  • HNW clients · 0 to 24
    Jan 10, 2019 to Mar 5, 2019
  • Individual clients · unset to 23.0
    Jan 10, 2019 to Mar 5, 2019
  • HQ city · NASSAU to MIAMI
    Jan 10, 2019 to Mar 5, 2019
  • HQ state · unset to FL
    Jan 10, 2019 to Mar 5, 2019
  • Discretionary RAUM · $52.6M to $23.3M
    Jan 10, 2019 to Mar 5, 2019
  • HNW RAUM · $0 to $19.2M
    Jan 10, 2019 to Mar 5, 2019
  • Individual RAUM · unset to 4100000.0
    Jan 10, 2019 to Mar 5, 2019
  • RAUM · $52.6M to $23.3M
    Jan 10, 2019 to Mar 5, 2019
  • Advisory employees · 5 to 4
    Aug 30, 2018 to Jan 10, 2019
  • Individual clients · 0.0 to unset
    Aug 30, 2018 to Jan 10, 2019
  • Employees · 6 to 5
    Aug 30, 2018 to Jan 10, 2019
  • Individual RAUM · 0.0 to unset
    Aug 30, 2018 to Jan 10, 2019
  • Accounts · 0 to 114
    May 10, 2018 to Jul 30, 2018
  • Advisory employees · 4 to 5
    May 10, 2018 to Jul 30, 2018
  • Employees · 7 to 6
    May 10, 2018 to Jul 30, 2018
  • State-registered IARs · 3 to 2
    May 10, 2018 to Jul 30, 2018
  • Other offices · 1 to 2
    May 10, 2018 to Jul 30, 2018
  • Discretionary RAUM · $0 to $52.6M
    May 10, 2018 to Jul 30, 2018
  • RAUM · $0 to $52.6M
    May 10, 2018 to Jul 30, 2018
  • BD registered reps · 1 to 0
    Mar 2, 2018 to May 10, 2018
  • Other offices · 3 to 1
    Feb 13, 2018 to Feb 22, 2018
  • Accounts · unset to 0.0
    Oct 3, 2017 to Nov 1, 2017
  • BD registered reps · 0 to 1
    Oct 3, 2017 to Nov 1, 2017
  • Charity clients · unset to 0.0
    Oct 3, 2017 to Nov 1, 2017
  • Corporate clients · unset to 0.0
    Oct 3, 2017 to Nov 1, 2017
  • HNW clients · unset to 0.0
    Oct 3, 2017 to Nov 1, 2017
  • Individual clients · unset to 0.0
    Oct 3, 2017 to Nov 1, 2017
  • Pension plan clients · unset to 0.0
    Oct 3, 2017 to Nov 1, 2017
  • Pooled vehicle clients · unset to 0.0
    Oct 3, 2017 to Nov 1, 2017
  • Employees · 4 to 7
    Oct 3, 2017 to Nov 1, 2017
  • State-registered IARs · 0 to 3
    Oct 3, 2017 to Nov 1, 2017
  • Discretionary RAUM · unset to 0.0
    Oct 3, 2017 to Nov 1, 2017
  • HNW RAUM · unset to 0.0
    Oct 3, 2017 to Nov 1, 2017
  • Individual RAUM · unset to 0.0
    Oct 3, 2017 to Nov 1, 2017
  • Non-discretionary RAUM · unset to 0.0
    Oct 3, 2017 to Nov 1, 2017
  • Pension RAUM · unset to 0.0
    Oct 3, 2017 to Nov 1, 2017
  • Pooled vehicle RAUM · unset to 0.0
    Oct 3, 2017 to Nov 1, 2017
  • RAUM · unset to 0.0
    Oct 3, 2017 to Nov 1, 2017
  • Other offices · unset to 3.0
    Sep 20, 2017 to Oct 3, 2017
Signals
1 dated events
  • A•• D•••••• I••••••••• F••••• O••••• U•• L•••••• P••••••••• filed its initial SEC registration (Form ADV)
    Mar 29, 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