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
P••••••• A••••••• C••••
Latest filing Jun 25, 2026
First filing on the tape Mar 25, 2022 · 10 filings
SEC status approved since Jul 15, 2026
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$117M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$60.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$120M as of Jun 25, 2026
Jan 31, 2023$75.0M then
HNW client RAUM$117M as of Jun 25, 2026
Jan 31, 2023$75.0M then
State-registered IARs (5.B.3)2 as of Jun 25, 2026
Jan 31, 20231 then
Employees (5.A)2 as of Jun 25, 2026
Jan 31, 20232 then
Private funds1 as of Jun 25, 2026
Jan 31, 20231 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $60.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM 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
- 2.0derived1 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, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $120M, 57 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)
- 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$117M97%
- Pooled investment vehicles$3.2M2.7%
- Individual clients
- n/areported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 57reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $120M for 57 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.03 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• A•••• | Miami, Fl | Jul 18, 2025 | 16 y | 0 |
| O••• A••••• A•••• | Miami, Fl | Jan 12, 2026 | 17 y | 3 |
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
Joined, latest
- O••• A••••• A•••• from F•••• I••••••••• A•••••••• L••Jan 12, 2026 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• A••••••••• C••••• F••• | Other Private Fund | $6.7M | 15 | Mar 25, 2022 |
Owners and control persons
Schedule A and B, latest filing
- A••••• A•••• N•• · Director, Cco & Ceocontrolsince 05/2014 · owns 50% to 75%
- A••••• O•••• A••••• · Directorcontrolsince 05/2014 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 34 to 57Oct 25, 2023 to Jun 25, 2026
- Advisory employees · 1 to 2Oct 25, 2023 to Jun 25, 2026
- HNW clients · 20 to 32Oct 25, 2023 to Jun 25, 2026
- Pooled vehicle clients · unset to 1.0Oct 25, 2023 to Jun 25, 2026
- Assets in custody · $75.0M to $120MOct 25, 2023 to Jun 25, 2026
- Financial planning clients · unset to Oct 25, 2023 to Jun 25, 2026
- State-registered IARs · 1 to 2Oct 25, 2023 to Jun 25, 2026
- Discretionary RAUM · $75.0M to $120MOct 25, 2023 to Jun 25, 2026
- HNW RAUM · $75.0M to $117MOct 25, 2023 to Jun 25, 2026
- Pooled vehicle RAUM · unset to 3200000.0Oct 25, 2023 to Jun 25, 2026
- RAUM · $75.0M to $120MOct 25, 2023 to Jun 25, 2026
- Advisory activities · 2 to 3May 10, 2023 to Jul 14, 2023
- Accounts · 37 to 34Sep 12, 2022 to Jan 31, 2023
- HNW clients · 26 to 20Sep 12, 2022 to Jan 31, 2023
- Assets in custody · unset to 75000000.0Sep 12, 2022 to Jan 31, 2023
- Custody of client assets · false to trueSep 12, 2022 to Jan 31, 2023
- Discretionary RAUM · $120M to $75.0MSep 12, 2022 to Jan 31, 2023
- HNW RAUM · $120M to $75.0MSep 12, 2022 to Jan 31, 2023
- Non-discretionary RAUM · $200,000 to $0Sep 12, 2022 to Jan 31, 2023
- RAUM · $120M to $75.0MSep 12, 2022 to Jan 31, 2023
- Assets in custody · 120000000.0 to unsetApr 29, 2022 to Sep 12, 2022
- Custody of client assets · true to falseApr 29, 2022 to Sep 12, 2022
Signals
1 dated events
- P••••••• A••••••• C•••• filed its initial SEC registration (Form ADV)Mar 25, 2022 · 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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@p•••••••••.usreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- p•••••••••.usreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 305-510-8772reportedpublic record, Form ADV, Jun 25, 2026
- Team page
- p•••••••••.usreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $60.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026