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

B••• M••••• I••••••••• M••••••••• I•••

Former SEC-registered adviserBoca Raton, FloridaCRD 288871SEC 801-110878IAPD
Latest filing Jan 12, 2018
First filing on the tape Jun 23, 2017 · 5 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 12, 2018
Jun 23, 20170 then
Employees (5.A)1 as of Jan 12, 2018
Jun 23, 20171 then
Private funds: no history
Practice profile
derived from the filing of Jan 12, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.1derivedItem 5.A over advisors
Advisors per office
3.5derived2 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
Custody
yesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
7 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
L•••••• D•••• M••••Miami, FlOct 3, 201710 y0
P•••• A••••••Miami, FlDec 16, 202010 y1
L•••••• H••••••• V•••••• R••••••••Cordoba Jan 25, 202315 y0
A••••• D••••• P•••••••Miami, Fl May 4, 202310 y0
M••••••••• S•••••••• S•••••Miami, Fl May 7, 202510 y1
M••••••• V•••••••Miami, FlJun 17, 202613 y7
E•••••• T•••••••Bronx, Ny Jun 23, 202611 y5
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M••••• L••••••• D•••• · Chief Executive Officercontrol
      since 04/2017 · owns less than 5%
    • J•••••• C••••••••• S•••• · Chief Compliance Officer
      since 09/2017 · owns less than 5%
    • M••••• D•••••• E•••••• · Owner
      since 11/2015 · owns F of G••••• C•••••• T•••• S•
    • M•••••••• M••••• C••••••• · Owner
      since 11/2015 · owns F of G••••• C•••••• T•••• S•
    Entity owners
    • G••••• C•••••• T•••• S• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Miami, Fl720
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Other offices · unset to 1.0
      Sep 29, 2017 to Nov 2, 2017
    • Assets in custody · unset to 0.0
      Sep 14, 2017 to Sep 29, 2017
    • Custody of client assets · false to true
      Sep 14, 2017 to Sep 29, 2017
    Signals
    1 dated events
    • B••• M••••• I••••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
      Jun 23, 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