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Former SEC-registered adviser

D••••••••

Former SEC-registered adviserCoral Gables, FloridaCRD 288793SEC 801-112765IAPD
Legal name D•••••••• A••••••• L••
Latest filing Jul 30, 2018
First filing on the tape Mar 5, 2018 · 4 filings
RAUM
$580M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$580M as of Jul 30, 2018
Mar 5, 2018$0 then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Jul 30, 2018
Mar 5, 20180 then
Employees (5.A)6 as of Jul 30, 2018
Mar 5, 20186 then
Private funds: no history
Practice profile
derived from the filing of Jul 30, 2018; 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
$580MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
Custody
$580M, 1 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 custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$580M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$580M for 1 clientsreported
Compensation
fixedreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R••••••••• C•••••• J••• · Chief Compliance Officercontrol
        since 05/2017 · owns less than 5%
      • R••••••••• C•••••• J••• · Managercontrol
        since 05/2017 · owns 75% or more of S••••• A•• L••
      Entity owners
      • D••••••• F•••••••• L• · Sole Member
        direct · owns 75% or more
      • S••••• A•• L•• · Member
        indirect · owns 75% or more of D••••••• F•••••••• L•
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 1
        Jun 29, 2018 to Jul 30, 2018
      • Advisory activities · 2 to 1
        Jun 29, 2018 to Jul 30, 2018
      • Charity clients · unset to 0.0
        Jun 29, 2018 to Jul 30, 2018
      • Corporate clients · unset to 1.0
        Jun 29, 2018 to Jul 30, 2018
      • HNW clients · unset to 0.0
        Jun 29, 2018 to Jul 30, 2018
      • Individual clients · unset to 0.0
        Jun 29, 2018 to Jul 30, 2018
      • Pension plan clients · unset to 0.0
        Jun 29, 2018 to Jul 30, 2018
      • Pooled vehicle clients · unset to 0.0
        Jun 29, 2018 to Jul 30, 2018
      • Assets in custody · unset to 580000000.0
        Jun 29, 2018 to Jul 30, 2018
      • Custody of client assets · false to true
        Jun 29, 2018 to Jul 30, 2018
      • HNW RAUM · unset to 0.0
        Jun 29, 2018 to Jul 30, 2018
      • Individual RAUM · unset to 0.0
        Jun 29, 2018 to Jul 30, 2018
      • Non-discretionary RAUM · $0 to $580M
        Jun 29, 2018 to Jul 30, 2018
      • Pension RAUM · unset to 0.0
        Jun 29, 2018 to Jul 30, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Jun 29, 2018 to Jul 30, 2018
      • RAUM · $0 to $580M
        Jun 29, 2018 to Jul 30, 2018
      Signals
      1 dated events
      • Driftwood filed its initial SEC registration (Form ADV)
        Mar 5, 2018 · 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