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.

Former SEC-registered adviser

Ocean Financial Advisors LLC

STATE REGISTEREDMiami, FloridaCRD 291950IAPD
Latest filing Mar 17, 2026
First filing on the tape Mar 17, 2026 · 1 filings
RAUM
$4.0M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
42%
$1.7M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
RAUM per advisor
$504,095derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$564,476derivedHNW RAUM over HNW clients
Average account
$806,552derivedRAUM over accounts (5.F.2.f)
Discretionary
80%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
2.7derived3 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 fees, commissionsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$4.0M, 5 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.7M100%
Individual clients
n/areported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$4.0M for 5 clientsreported
Compensation
% of AUM, fixed, commissionsreported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
9 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Maria Luisa De JesusMiami, FlJun 21, 201927 y3
Henry De ValleMiami, Fl Jul 23, 201928 y3
Juan Pablo PenalozaMiami, FlApr 1, 202111 y0
Carlos A Da GamaMiami, FlJun 4, 202411 y0
Carlos Jose Pena VelazcoMiami, FlJun 7, 202410 y2
Manuel M Del CanalMiami, FlJan 1, 202523 y3
Alexandra RumieMiami, FlJan 1, 202519 y3
Providencia MordanMiami, Fl May 14, 202510 y2
Anthony De Jesus PantojaMiami, FlJun 18, 202611 y0
Advisor movement
Joined, latest
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
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Miami, Fl · principal910
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    2 dated events
    • Jessica Kaufman left Ocean Financial Advisors Llc for Efg Private Wealth Management (Americas) Corp. (registered 2024-07-11)
      Jun 18, 2025 · Advisor changed firm · fact
    • Robert Layton left Ocean Financial Advisors Llc for Gwn Securities Inc. (registered 2024-01-05)
      Jan 9, 2024 · Advisor changed firm · 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
    305-461-6940reportedpublic record, Form ADV, Mar 17, 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
    STATE REGISTEREDderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 15, 2026