DFX Intelligence

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Z•••••• F•••••••• S•••••• L••

Former SEC-registered adviserFormer SEC adviser· Miami, Florida

Former SEC-registered adviser, based in Miami, Florida, reporting $23.5M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2023-10-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $23.5M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +4536%
Private clients: 100% of RAUM, $23.5M

Advisors Advisor movement Where the RAUM sits

As of 2023-10-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +4536% over the last fiscal year, to $23.5M.
2023-10-31
RAUM a year earlier $507,852RAUM now $23.5M

Every filed figure, and the identifiersCRD 297563 · SEC 801-117145 · 26 filingsShow

CRD 297563SEC 801-117145First filing on the tape Jun 8, 2018, latest Oct 31, 2023IAPD

RAUM

$23.5M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$23.5M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM$23.5M as of Mar 20, 2023

Mar 15, 2019$0 then

HNW client RAUM$1.0M as of Jun 4, 2021

Mar 15, 2019$0 then

State-registered IARs (5.B.3)3 as of Mar 20, 2023

Mar 15, 20190 then

Employees (5.A)3 as of Mar 20, 2023

Mar 15, 20191 then

Private funds: no history

RAUM +4536% over the last fiscal year+207% a year over threeIARs 1 to 3

Practice profile

derived from the filing of Oct 31, 2023; every figure names its basis

RAUM per advisor: $7.8MderivedRAUM 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: $25,480derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +4536%derivedbetween the last two annual amendments
Advisor growth, one year: +200%derivedItem 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, selection of other advisersreportedItem 5.G
Wrap fee program: $23.5MreportedItem 5.I
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

is a broker-dealer (6.A.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
a related person acts as qualified custodian (9.D.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$23.5M100%

Individual clients: 924reported
HNW clients: n/areported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 924reported
Financial planning clients: 0reported
Wrap fee programs: $23.5M sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUM, 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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••• C••••••••• J••••• · Chief Compliance Officercontrol
since 05/2022 · owns less than 5%
S•••• B•••••••• N•• · Ceocontrol
since 04/2017 · owns less than 5%
S•••• B•••••••• N•• · Ceocontrol
since 04/2017 · owns 75% or more of V•••• H•••••••

Entity owners

V•••• H••••••• · Owner
direct · owns 75% or more
Z•••••• G••••• H••••••• L•• · Owner
direct · owns 75% or more
S••••• H••• I••••••••• L•• · Owner
indirect · owns 75% or more of Z•••••• G••••• H••••••• L••

Related persons

Schedule D 7.A

V•••• C••••••• L••
broker-dealercustodiann

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

HQ city · ANAHEIM to MIAMI
Oct 27, 2023 to Oct 31, 2023
HQ state · CA to FL
Oct 27, 2023 to Oct 31, 2023
Accounts · 33 to 924
Oct 4, 2022 to Mar 20, 2023
BD registered reps · 1 to 3
Oct 4, 2022 to Mar 20, 2023
Individual clients · 33 to 924
Oct 4, 2022 to Mar 20, 2023
Employees · 2 to 3
Oct 4, 2022 to Mar 20, 2023
State-registered IARs · 1 to 3
Oct 4, 2022 to Mar 20, 2023
Discretionary RAUM · $0 to $23.5M
Oct 4, 2022 to Mar 20, 2023
Individual RAUM · $507,852 to $23.5M
Oct 4, 2022 to Mar 20, 2023
Non-discretionary RAUM · $507,852 to $0
Oct 4, 2022 to Mar 20, 2023
RAUM · $507,852 to $23.5M
Oct 4, 2022 to Mar 20, 2023
Wrap assets (manager) · unset to 0.0
Oct 4, 2022 to Mar 20, 2023
Wrap assets (sponsor) · unset to 23543616.0
Oct 4, 2022 to Mar 20, 2023
Accounts · 108 to 33
Feb 24, 2022 to Mar 23, 2022
HNW clients · 1.0 to unset
Feb 24, 2022 to Mar 23, 2022
Individual clients · 107 to 33
Feb 24, 2022 to Mar 23, 2022
Discretionary RAUM · $1.8M to $0
Feb 24, 2022 to Mar 23, 2022
HNW RAUM · 1030000.0 to unset
Feb 24, 2022 to Mar 23, 2022
Individual RAUM · $1.4M to $507,852
Feb 24, 2022 to Mar 23, 2022
Non-discretionary RAUM · $670,000 to $507,852
Feb 24, 2022 to Mar 23, 2022
RAUM · $2.5M to $507,852
Feb 24, 2022 to Mar 23, 2022
Accounts · 10 to 108
Jan 4, 2021 to Jun 4, 2021
HNW clients · 5 to 1
Jan 4, 2021 to Jun 4, 2021
Individual clients · 5 to 107
Jan 4, 2021 to Jun 4, 2021
State-registered IARs · 0 to 1
Jan 4, 2021 to Jun 4, 2021
Discretionary RAUM · $0 to $1.8M
Jan 4, 2021 to Jun 4, 2021
HNW RAUM · $812,700 to $1.0M
Jan 4, 2021 to Jun 4, 2021
Individual RAUM · $554 to $1.4M
Jan 4, 2021 to Jun 4, 2021
Non-discretionary RAUM · $813,254 to $670,000
Jan 4, 2021 to Jun 4, 2021
RAUM · $813,254 to $2.5M
Jan 4, 2021 to Jun 4, 2021
Advisory employees · 0 to 1
Aug 19, 2020 to Jan 4, 2021
BD registered reps · 0 to 1
Aug 19, 2020 to Jan 4, 2021
Employees · 1 to 2
Aug 19, 2020 to Jan 4, 2021
Accounts · 0 to 10
Sep 20, 2019 to Feb 5, 2020
HNW clients · 0 to 5
Sep 20, 2019 to Feb 5, 2020
Individual clients · 0 to 5
Sep 20, 2019 to Feb 5, 2020
Other offices · 1 to 0
Sep 20, 2019 to Feb 5, 2020
HNW RAUM · $0 to $812,700
Sep 20, 2019 to Feb 5, 2020
Individual RAUM · $0 to $554
Sep 20, 2019 to Feb 5, 2020
Non-discretionary RAUM · $0 to $813,254
Sep 20, 2019 to Feb 5, 2020

Signals

9 dated events

••• Locked
May 13, 2022 · Control person joined · fact
••• Locked
Feb 24, 2022 · Control person left · inference
••• Locked
Jul 2, 2020 · Control person joined · fact
••• Locked
Jul 2, 2020 · Control person left · inference
••• Locked
Sep 9, 2019 · Control person left · inference
••• Locked
Sep 9, 2019 · Control person joined · fact
••• Locked
Jul 10, 2019 · First SEC registration · fact
••• Locked
Jul 10, 2019 · Control person joined · fact
••• Locked
Jul 10, 2019 · Control person left · inference

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