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

A••• C•••••• L••

Wealth manager with institutional or fund businessCRD 298032SEC 801-135735IAPD
Latest filing Apr 13, 2026
First filing on the tape Apr 13, 2026 · 1 filings
SEC status approved since Apr 6, 2026
RAUM
$115M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
31%
$35.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$115M
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
1 filings and snapshots on the tape
RAUM: $115M
HNW client RAUM: $35.3M
State-registered IARs (5.B.3): 1
Employees (5.A): 1
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 13, 2026; every figure names its basis
Archetypes, each a printed rule
RAUM per advisor
$115MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
3derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$17.7MderivedHNW RAUM over HNW clients
Average account
$8.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
69%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 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, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$115M, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Pension and profit-sharing plans$78.7M69%
  • High-net-worth individuals$35.3M31%
  • Individuals$488,7040.4%
Individual clients
1reported
HNW clients
2reported
Pension plan clients
2reported
Charitable clients
0reported
Accounts
14reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$115M for 5 clientsreported
Compensation
% of AUMreported
Class basis
private_client_share=0.31 fund_share=0.0 institutional_share=0.69 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• A••••• O•••••Miami, FlOct 7, 202518 y1
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 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
    • O•••••• J••••• A• · Managing Member & Chief Compliance Officercontrol
      since 05/2018 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • high institutional concentrationStatic outlier · filing Apr 13, 2026
      institutional share of RAUM of 69% against a peer median of 0% (5678 comparable advisers, 100.0th percentile, 23.1 robust deviations)
      peers: independent wealth managers, $100M to $500M (5,678) · 100% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    No event on the tape.
    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
    305-912-7022reportedpublic record, Form ADV, Apr 13, 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
    $115Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026