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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

F•••••• A•••• M•••••••••

Former SEC-registered adviserCaracas, CRD 288527SEC 801-125721IAPD
Legal name F•••••• A•••• M••••••••• L••
Latest filing Sep 28, 2023
First filing on the tape Jul 17, 2017 · 10 filings
RAUM
$31.1M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
99%
$30.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$31.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$31.1M as of Sep 28, 2023
Jul 17, 2017$0 then
HNW client RAUM$29.9M as of Sep 28, 2023
Dec 18, 2017$0 then
State-registered IARs (5.B.3)1 as of Sep 28, 2023
Jul 17, 20173 then
Employees (5.A)1 as of Sep 28, 2023
Jul 17, 20175 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 28, 2023; every figure names its basis
RAUM per advisor
$31.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
66derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$553,054derivedHNW RAUM over HNW clients
Average account
$457,150derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 5.G
Custody
$31.1M, 68 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$29.9M96%
  • Individuals$909,6592.9%
  • Charitable organizations$311,6081.0%
Individual clients
12reported
HNW clients
54reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
68reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$31.1M for 68 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
G•• O• A•••••Miami, Fl Apr 15, 202420 y5
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • G•••••••• D• G•••• A••••••• J•••••• · Junior Partnercontrol
    since 03/2022 · owns 5% to 10%
  • T•••• N••••••• J•••• G••••••• · Ownercontrol
    since 01/2019 · owns 75% or more
  • A•••••• G••• O• · Interim Cco
    since 09/2023 · owns less than 5%
  • M••••• R•••• R•••••• O•••• · Owner
    since 07/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
  • F••••••• I••••••••• C••••
    n
  • F•••••• C••• D• B•••• C•••
    broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 59 to 68
    May 15, 2022 to Mar 31, 2023
  • HNW clients · 50 to 54
    May 15, 2022 to Mar 31, 2023
  • Individual clients · 9 to 12
    May 15, 2022 to Mar 31, 2023
  • Assets in custody · $35.7M to $31.1M
    May 15, 2022 to Mar 31, 2023
  • Discretionary RAUM · $30.7M to $28.8M
    May 15, 2022 to Mar 31, 2023
  • HNW RAUM · $34.6M to $29.9M
    May 15, 2022 to Mar 31, 2023
  • Individual RAUM · $668,924 to $909,659
    May 15, 2022 to Mar 31, 2023
  • Non-discretionary RAUM · $5.0M to $2.3M
    May 15, 2022 to Mar 31, 2023
  • RAUM · $35.7M to $31.1M
    May 15, 2022 to Mar 31, 2023
  • Advisory employees · 3 to 1
    Apr 21, 2022 to May 8, 2022
  • Advisory activities · 5 to 4
    Apr 21, 2022 to May 8, 2022
  • BD registered reps · 0 to 1
    Apr 21, 2022 to May 8, 2022
  • Employees · 3 to 1
    Apr 21, 2022 to May 8, 2022
  • State-registered IARs · 0 to 1
    Apr 21, 2022 to May 8, 2022
  • Discretionary RAUM · $33.3M to $30.7M
    Apr 21, 2022 to May 8, 2022
  • Non-discretionary RAUM · $2.4M to $5.0M
    Apr 21, 2022 to May 8, 2022
  • Accounts · 0 to 59
    Dec 18, 2017 to Apr 21, 2022
  • Charity clients · 0 to 1
    Dec 18, 2017 to Apr 21, 2022
  • HNW clients · 0 to 50
    Dec 18, 2017 to Apr 21, 2022
  • Individual clients · 0 to 9
    Dec 18, 2017 to Apr 21, 2022
  • Assets in custody · unset to 35721148.0
    Dec 18, 2017 to Apr 21, 2022
  • Custody of client assets · false to true
    Dec 18, 2017 to Apr 21, 2022
  • Insurance-licensed employees · 1 to 0
    Dec 18, 2017 to Apr 21, 2022
  • HQ city · CORAL GABLES to CARACAS
    Dec 18, 2017 to Apr 21, 2022
  • HQ state · FL to unset
    Dec 18, 2017 to Apr 21, 2022
  • State-registered IARs · 1 to 0
    Dec 18, 2017 to Apr 21, 2022
  • Discretionary RAUM · $0 to $33.3M
    Dec 18, 2017 to Apr 21, 2022
  • HNW RAUM · $0 to $34.6M
    Dec 18, 2017 to Apr 21, 2022
  • Individual RAUM · $0 to $668,924
    Dec 18, 2017 to Apr 21, 2022
  • Non-discretionary RAUM · $0 to $2.4M
    Dec 18, 2017 to Apr 21, 2022
  • RAUM · $0 to $35.7M
    Dec 18, 2017 to Apr 21, 2022
  • Advisory employees · 4 to 3
    Jul 24, 2017 to Dec 18, 2017
  • Charity clients · unset to 0.0
    Jul 24, 2017 to Dec 18, 2017
  • Corporate clients · unset to 0.0
    Jul 24, 2017 to Dec 18, 2017
  • HNW clients · unset to 0.0
    Jul 24, 2017 to Dec 18, 2017
  • Individual clients · unset to 0.0
    Jul 24, 2017 to Dec 18, 2017
  • Pension plan clients · unset to 0.0
    Jul 24, 2017 to Dec 18, 2017
  • Pooled vehicle clients · unset to 0.0
    Jul 24, 2017 to Dec 18, 2017
  • Employees · 5 to 3
    Jul 24, 2017 to Dec 18, 2017
  • State-registered IARs · 3 to 1
    Jul 24, 2017 to Dec 18, 2017
Signals
4 dated events
  • Cesar Julio Canas Diaz (Chief Compliance Officer) no longer on Schedule A of F•••••• A•••• M••••••••• (listed 2017-12-18, absent 2022-04-21)
    Apr 21, 2022 · Control person left · inference
  • J•••••• A•••••• G•••••••• De G••• (Chief Compliance Officer) appeared on Schedule A of F•••••• A•••• M•••••••••
    Apr 21, 2022 · Control person joined · fact
  • J•••• C•••• C•••• left F•••••• A•••• M••••••••• for E•••• C•••••• (registered 2019-08-01)
    Mar 1, 2022 · Advisor changed firm · fact
  • F•••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)
    Jul 17, 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.
How to reach
public business contact points only, each with its source
Website
fivenca.usreportedpublic record, Form ADV, Sep 18, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$31.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026