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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

A••••• P•••••• A•••••••• L••

Former SEC-registered adviserMiami, FloridaCRD 298064SEC 801-113824IAPD
Latest filing Sep 23, 2019
First filing on the tape Jul 13, 2018 · 10 filings
RAUM
$130M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$130M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
19 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$130M as of Sep 23, 2019
Jul 13, 2018$0 then
HNW client RAUM$23.5M as of Sep 23, 2019
Jul 13, 2018$0 then
State-registered IARs (5.B.3)7 as of Sep 23, 2019
Jul 13, 20181 then
Employees (5.A)22 as of Sep 23, 2019
Jul 13, 20181 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 23, 2019; every figure names its basis
RAUM per advisor
$18.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
90derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$207,036derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.1derivedItem 5.A over advisors
Advisors per office
0.7derived10 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, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$25.1MreportedItem 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
  • 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
  • Individuals$107M82%
  • High-net-worth individuals$23.5M18%
  • Insurance companies$268,0000.2%
Individual clients
612reported
HNW clients
17reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
630reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
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
  • L•••• J•••••• P•••• · Manager, Chief Compliance Officercontrol
    since 09/2019 · owns 50% to 75%
  • L•••• J•••••• P•••• · Managercontrol
    since 06/2018 · owns 50% to 75% of M••••• I••••••••• L••
Entity owners
  • A••••• I••••••••• G••••• L•• · Managing Member
    direct · owns 75% or more
  • M••••• I••••••••• L•• · Owner
    indirect · owns 50% to 75% of A••••• I••••••••• G••••• L••
  • 1••• C•••••• G•••• S• · Owner
    indirect · owns 25% to 50% of A••••• I••••••••• G••••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • New York, NY5 employees
  • Coral Springs, FL3 employees
  • Pensacola, FL3 employees
  • Bonita Springs, FL1 employees
  • Miami, FL1 employees
  • Norfolk, VA1 employees
  • H••••••, NC1 employees
  • Boynton Beach, FL1 employees
  • Herndon, VA1 employees
What changed
consecutive filings, newest first
  • Accounts · 518 to 630
    Feb 8, 2019 to Sep 23, 2019
  • Advisory employees · 17 to 19
    Feb 8, 2019 to Sep 23, 2019
  • HNW clients · 13 to 17
    Feb 8, 2019 to Sep 23, 2019
  • Individual clients · 505 to 612
    Feb 8, 2019 to Sep 23, 2019
  • Employees · 21 to 22
    Feb 8, 2019 to Sep 23, 2019
  • Other offices · 7 to 9
    Feb 8, 2019 to Sep 23, 2019
  • Discretionary RAUM · $160M to $130M
    Feb 8, 2019 to Sep 23, 2019
  • HNW RAUM · $34.6M to $23.5M
    Feb 8, 2019 to Sep 23, 2019
  • Individual RAUM · $57.9M to $107M
    Feb 8, 2019 to Sep 23, 2019
  • RAUM · $160M to $130M
    Feb 8, 2019 to Sep 23, 2019
  • Accounts · 500 to 518
    Dec 20, 2018 to Feb 8, 2019
  • HNW clients · 11 to 13
    Dec 20, 2018 to Feb 8, 2019
  • Individual clients · 488 to 505
    Dec 20, 2018 to Feb 8, 2019
  • Financial planning clients · 0 to 1-10
    Dec 20, 2018 to Feb 8, 2019
  • Other offices · 4 to 7
    Dec 20, 2018 to Feb 8, 2019
  • Discretionary RAUM · $150M to $160M
    Dec 20, 2018 to Feb 8, 2019
  • HNW RAUM · $29.8M to $34.6M
    Dec 20, 2018 to Feb 8, 2019
  • Individual RAUM · $55.1M to $57.9M
    Dec 20, 2018 to Feb 8, 2019
  • RAUM · $150M to $160M
    Dec 20, 2018 to Feb 8, 2019
  • Accounts · 0 to 500
    Nov 12, 2018 to Dec 20, 2018
  • Advisory employees · 1 to 17
    Nov 12, 2018 to Dec 20, 2018
  • HNW clients · 0 to 11
    Nov 12, 2018 to Dec 20, 2018
  • Individual clients · 0 to 488
    Nov 12, 2018 to Dec 20, 2018
  • Employees · 1 to 21
    Nov 12, 2018 to Dec 20, 2018
  • State-registered IARs · 1 to 7
    Nov 12, 2018 to Dec 20, 2018
  • Discretionary RAUM · $0 to $150M
    Nov 12, 2018 to Dec 20, 2018
  • HNW RAUM · $0 to $29.8M
    Nov 12, 2018 to Dec 20, 2018
  • Individual RAUM · $0 to $55.1M
    Nov 12, 2018 to Dec 20, 2018
  • RAUM · $0 to $150M
    Nov 12, 2018 to Dec 20, 2018
  • Other offices · 3 to 4
    Nov 6, 2018 to Nov 12, 2018
  • Other offices · 1 to 3
    Sep 24, 2018 to Nov 6, 2018
Signals
3 dated events
  • David Mark Coffey (Manager) no longer on Schedule A of A••••• P•••••• A•••••••• L•• (listed 2019-02-08, absent 2019-09-23)
    Sep 23, 2019 · Control person left · inference
  • P•••• J••••• Lowe (Manager, Chief Compliance Officer) appeared on Schedule A of A••••• P•••••• A•••••••• L••
    Sep 23, 2019 · Control person joined · fact
  • A••••• P•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Jul 13, 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