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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SEC-registered adviser
B••••• P••••• I••••••••• A•••••• L••
Latest filing Jul 31, 2026
First filing on the tape May 15, 2017 · 13 filings
SEC status approved since Nov 18, 2025
RAUM
$202M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
48%
$96.5M individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$15.5M
derived; firm RAUM over IAPD count
Employees
14
14 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$202M as of Jul 31, 2026
Sep 23, 2025$105M then
HNW client RAUM$31.8M as of Jul 31, 2026
Sep 23, 2025$23.3M then
State-registered IARs (5.B.3)12 as of Jul 31, 2026
Sep 23, 20255 then
Employees (5.A)14 as of Jul 31, 2026
Sep 23, 202512 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 31, 2026; every figure names its basis
- RAUM per advisor
- $15.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $483,506derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 4.3derived3 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, fixed feesreportedItem 5.E
- Advisory activities
- 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
- 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
- Corporations and businesses$105M52%
- Individuals$64.7M32%
- High-net-worth individuals$31.8M16%
- Individual clients
- 353reported
- HNW clients
- 20reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 417reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.48 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••••• C••• G•••••••••Chartered Financial Analyst | Miami, Fl | Mar 31, 2021 | 10 y | 0 |
| L•••• A•••• N•••••••• T••••• | New York City, Ny | May 23, 2024 | 10 y | 0 |
| F•••• K•••• R•••••• | Miami, Fl | Oct 30, 2024 | 15 y | 0 |
| M•••• A•••••• O••••••• M••••• | Miami, Fl | Aug 7, 2025 | 11 y | 2 |
| R••••• B••••••• | Miami, Fl | Sep 30, 2025 | 16 y | 0 |
| D•••• C••••••••• | Miami, Fl | Jun 10, 2026 | 17 y | 2 |
Advisor movement
3 left, 1 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 23% of current headcount3 left over 36 months
Left, latest
- M•••••• P•••• H•••••• to V•••••• W••••• M•••••••••Apr 29, 2026 · RIA to a newly registered adviser
- G•••••••• M•••••• D• S•••• L•••• to V•••••• W••••• M•••••••••Apr 29, 2026 · RIA to a newly registered adviser
- D••••• B•••••• S••••• to V•••••• W••••• M•••••••••Apr 21, 2026 · RIA to a newly registered adviser
- G•••••• C• F••••• to S••••••• W••••• M••••••••• L••Feb 28, 2018 · Other
Joined, latest
- D•••• C••••••••• from B••••• G••••• A•••• M•••••••••Jun 10, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••• A•••••• O••••••• M••••• from L•••••• W••••• M••••••••• L••Aug 7, 2025 · Other
- D••••• B•••••• S••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 7, 2024 · Other
- V••••• L••• M•••••• from I••• I••••••••• S••••••••• I•••Nov 21, 2019 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for V•••••• W••••• M•••••••••Apr 21, 2026 · Miami, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D• A••••••••• S••••• D•••••• P•••••• · Chief Executive Officer, Chief Compliance Officer, Membercontrolsince 05/2017 · owns 5% to 10%
- R•••••••• R••••••• N•• · Ceo/ Shareholdercontrolsince 04/2012 · owns 25% to 50% of H•••••• P••••• S•••
- S•••••••• A••••• N•• · Deputy/ Shareholdercontrolsince 04/2012 · owns 25% to 50% of H•••••• P••••• S•••
Entity owners
- B••••• P••••• H••••••• L•• · Memberdirect · owns 75% or more
- H•••••• P••••• S••• · Controlling Shareholderindirect · owns 75% or more of P••••• C•••••• E••••••••• E• P••••••••• L•••
- P••••• C•••••• E••••••••• E• P••••••••• L••• · Sole Ownerindirect · owns 75% or more of B••••• P••••• H••••••• L••
Related persons
Schedule D 7.A
- B••••• P••••• S••••••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 13 | 3 | 2 | 1 | |
| Pelotas Sb | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Miami, FL1 employees
What changed
consecutive filings, newest first
- Other offices · 1 to 2Apr 13, 2026 to May 21, 2026
- Accounts · 203 to 417Sep 23, 2025 to Mar 24, 2026
- Advisory employees · 10 to 14Sep 23, 2025 to Mar 24, 2026
- BD registered reps · 4 to 5Sep 23, 2025 to Mar 24, 2026
- Corporate clients · 22 to 44Sep 23, 2025 to Mar 24, 2026
- HNW clients · 59 to 20Sep 23, 2025 to Mar 24, 2026
- Individual clients · 122 to 353Sep 23, 2025 to Mar 24, 2026
- Employees · 12 to 14Sep 23, 2025 to Mar 24, 2026
- State-registered IARs · 5 to 12Sep 23, 2025 to Mar 24, 2026
- Discretionary RAUM · $105M to $196MSep 23, 2025 to Mar 24, 2026
- HNW RAUM · $23.3M to $31.8MSep 23, 2025 to Mar 24, 2026
- Individual RAUM · $16.3M to $64.7MSep 23, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $0 to $5.6MSep 23, 2025 to Mar 24, 2026
- RAUM · $105M to $202MSep 23, 2025 to Mar 24, 2026
- Accounts · unset to 203.0Jan 22, 2018 to Sep 23, 2025
- Advisory employees · 2 to 10Jan 22, 2018 to Sep 23, 2025
- BD registered reps · 2 to 4Jan 22, 2018 to Sep 23, 2025
- Corporate clients · 0 to 22Jan 22, 2018 to Sep 23, 2025
- HNW clients · 0 to 59Jan 22, 2018 to Sep 23, 2025
- Individual clients · 0 to 122Jan 22, 2018 to Sep 23, 2025
- Assets in custody · 0.0 to unsetJan 22, 2018 to Sep 23, 2025
- Custody of client assets · true to falseJan 22, 2018 to Sep 23, 2025
- Employees · 2 to 12Jan 22, 2018 to Sep 23, 2025
- Insurance-licensed employees · 0 to 5Jan 22, 2018 to Sep 23, 2025
- Financial planning clients · unset to Jan 22, 2018 to Sep 23, 2025
- HQ city · NEW YORK to MIAMIJan 22, 2018 to Sep 23, 2025
- HQ state · NY to FLJan 22, 2018 to Sep 23, 2025
- State-registered IARs · 0 to 5Jan 22, 2018 to Sep 23, 2025
- Discretionary RAUM · unset to 104577869.0Jan 22, 2018 to Sep 23, 2025
- HNW RAUM · unset to 23296443.0Jan 22, 2018 to Sep 23, 2025
- Individual RAUM · unset to 16273634.0Jan 22, 2018 to Sep 23, 2025
- Non-discretionary RAUM · unset to 0.0Jan 22, 2018 to Sep 23, 2025
- Pension RAUM · unset to 0.0Jan 22, 2018 to Sep 23, 2025
- Pooled vehicle RAUM · unset to 0.0Jan 22, 2018 to Sep 23, 2025
- RAUM · unset to 104577869.0Jan 22, 2018 to Sep 23, 2025
- Advisory employees · 1 to 2Sep 13, 2017 to Oct 11, 2017
- BD registered reps · 1 to 2Sep 13, 2017 to Oct 11, 2017
- Charity clients · unset to 0.0Sep 13, 2017 to Oct 11, 2017
- Corporate clients · unset to 0.0Sep 13, 2017 to Oct 11, 2017
- HNW clients · unset to 0.0Sep 13, 2017 to Oct 11, 2017
Signals
5 dated events
- M•••••• P•••• H•••••• left B••••• P••••• I••••••••• A•••••• L•• for V•••••• W••••• M••••••••• (registered 2026-06-01)Apr 29, 2026 · a•••••• firm change · fact
- G•••••••• M•••••• D• S•••• L•••• left B••••• P••••• I••••••••• A•••••• L•• for V•••••• W••••• M••••••••• (registered 2026-06-01)Apr 29, 2026 · a•••••• firm change · fact
- D••••• B•••••• S••••• left B••••• P••••• I••••••••• A•••••• L•• for V•••••• W••••• M••••••••• (registered 2026-04-02)Apr 21, 2026 · a•••••• firm change · fact
- 2 advisors left B••••• P••••• I••••••••• A•••••• L•• (Miami, FL) for V•••••• W••••• M••••••••• within 8 daysApr 21, 2026 · Team lift-out · derived
- B••••• P••••• I••••••••• A•••••• L•• filed its initial SEC registration (Form ADV)May 15, 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
- Principal office phone
- (305) 860-0070reportedpublic record, Form ADV, Jul 31, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $15.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026