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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Former SEC-registered adviser
C•••• G••••• A•••••••
Legal name C•••• G••••• A••••••• I•••
Latest filing May 19, 2023
First filing on the tape Dec 24, 2018 · 15 filings
RAUM
$215M
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
100%
$215M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$215M as of Mar 13, 2023
Mar 19, 2020$108M then
HNW client RAUM$170M as of Mar 13, 2023
Mar 19, 2020$0 then
State-registered IARs (5.B.3)4 as of Mar 13, 2023
Mar 19, 20202 then
Employees (5.A)12 as of Mar 13, 2023
Mar 19, 20207 then
Private funds: no history
RAUM -29% over the last fiscal year+26% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 19, 2023; every figure names its basis
- RAUM per advisor
- $53.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.4MderivedHNW RAUM over HNW clients
- Average account
- $2.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 70%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +131%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- 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
- High-net-worth individuals$170M79%
- Individuals$45.6M21%
- Individual clients
- 63reported
- HNW clients
- 18reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 81reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- 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
- E•••••• D•• R•• to L••• A••••••• P•••••••Sep 18, 2023 · RIA to RIA
- M••••• G••••••• D• C••••••• to L••• A••••••• P•••••••Sep 18, 2023 · RIA to RIA
- G•••••• M•••••• to L••• A••••••• P•••••••Jun 12, 2023 · RIA to RIA
- C•••• H•••••• V••••• to A••••• C••••••Sep 16, 2022 · Other
Joined, latest
- M••••• G••••••• D• C••••••• from U•• F•••••••• S••••••• I•••Sep 1, 2022 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for L••• A••••••• P•••••••Sep 18, 2023 · Coral Gables, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•• C•••••• D••••• · Chief Compliance Officercontrolsince 04/2022 · owns 5% to 10%
- S••••••••• P•••••• · Chief Investment Officercontrolsince 09/2019 · owns less than 5%
- M••••••••• R•••• · Shareholdercontrolsince 03/2018 · owns 75% or more of R•• C•••••• P••••••• L••
Entity owners
- C•••••• G•••• F•••••• L•• · Shareholderdirect · owns 75% or more
- R•• C•••••• P••••••• L•• · Shareholderindirect · owns 75% or more of C•••••• G•••• F•••••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · MIAMI to CORAL GABLESMar 13, 2023 to May 19, 2023
- Accounts · 36 to 81Jul 27, 2022 to Mar 13, 2023
- Advisory employees · 2 to 4Jul 27, 2022 to Mar 13, 2023
- Advisory activities · 3 to 2Jul 27, 2022 to Mar 13, 2023
- Corporate clients · 1 to 0Jul 27, 2022 to Mar 13, 2023
- HNW clients · 29 to 18Jul 27, 2022 to Mar 13, 2023
- Individual clients · 6 to 63Jul 27, 2022 to Mar 13, 2023
- Employees · 11 to 12Jul 27, 2022 to Mar 13, 2023
- Discretionary RAUM · $102M to $151MJul 27, 2022 to Mar 13, 2023
- HNW RAUM · $111M to $170MJul 27, 2022 to Mar 13, 2023
- Individual RAUM · $2.5M to $45.6MJul 27, 2022 to Mar 13, 2023
- Non-discretionary RAUM · $202M to $64.3MJul 27, 2022 to Mar 13, 2023
- RAUM · $305M to $215MJul 27, 2022 to Mar 13, 2023
- Advisory activities · 2 to 3Mar 2, 2022 to May 18, 2022
- Related adviser · true to falseMar 2, 2022 to May 18, 2022
- Related broker-dealer · true to falseMar 2, 2022 to May 18, 2022
- Accounts · 15 to 36Jun 16, 2021 to Mar 2, 2022
- Advisory employees · 1 to 2Jun 16, 2021 to Mar 2, 2022
- HNW clients · 11 to 29Jun 16, 2021 to Mar 2, 2022
- Individual clients · 3 to 6Jun 16, 2021 to Mar 2, 2022
- Employees · 8 to 11Jun 16, 2021 to Mar 2, 2022
- State-registered IARs · 2 to 4Jun 16, 2021 to Mar 2, 2022
- Discretionary RAUM · $20.4M to $102MJun 16, 2021 to Mar 2, 2022
- HNW RAUM · $27.7M to $111MJun 16, 2021 to Mar 2, 2022
- Individual RAUM · $265,552 to $2.5MJun 16, 2021 to Mar 2, 2022
- Non-discretionary RAUM · $161M to $202MJun 16, 2021 to Mar 2, 2022
- RAUM · $181M to $305MJun 16, 2021 to Mar 2, 2022
- Accounts · 9 to 15Jun 30, 2020 to Mar 25, 2021
- Advisory activities · 5 to 2Jun 30, 2020 to Mar 25, 2021
- HNW clients · 0 to 11Jun 30, 2020 to Mar 25, 2021
- Individual clients · 2 to 3Jun 30, 2020 to Mar 25, 2021
- Employees · 7 to 8Jun 30, 2020 to Mar 25, 2021
- Discretionary RAUM · $128,631 to $20.4MJun 30, 2020 to Mar 25, 2021
- HNW RAUM · $0 to $27.7MJun 30, 2020 to Mar 25, 2021
- Individual RAUM · $128,631 to $265,552Jun 30, 2020 to Mar 25, 2021
- Non-discretionary RAUM · $108M to $161MJun 30, 2020 to Mar 25, 2021
- RAUM · $108M to $181MJun 30, 2020 to Mar 25, 2021
- Accounts · 8 to 9Sep 19, 2019 to Mar 19, 2020
- Individual clients · 1 to 2Sep 19, 2019 to Mar 19, 2020
- Employees · 6 to 7Sep 19, 2019 to Mar 19, 2020
Signals
18 dated events
- E•••••• D•• R•• left C•••• G••••• A••••••• for L••• A••••••• P••••••• (registered 2025-10-22)Sep 18, 2023 · Advisor changed firm · fact
- M••••• G••••••• D• C••••••• left C•••• G••••• A••••••• for L••• A••••••• P••••••• (registered 2025-04-29)Sep 18, 2023 · Advisor changed firm · fact
- 2 advisors left C•••• G••••• A••••••• (Coral Gables, FL) for L••• A••••••• P••••••• on the same daySep 18, 2023 · Team lift-out · derived
- G•••••• M•••••• left C•••• G••••• A••••••• for L••• A••••••• P••••••• (registered 2025-04-03)Jun 12, 2023 · Advisor changed firm · fact
- J•••• R•••••• (Chief Executive Officer) no longer on Schedule A of C•••• G••••• A••••••• (listed 2022-07-27, absent 2023-03-13)Mar 13, 2023 · Control person left · inference
- C•••• H•••••• V••••• left C•••• G••••• A••••••• for A••••• C•••••• (registered 2022-03-30)Sep 16, 2022 · Advisor changed firm · fact
- A•••••• M•••• V••••• R••••• (Shareholder) no longer on Schedule A of C•••• G••••• A••••••• (listed 2022-03-02, absent 2022-05-18)May 18, 2022 · Control person left · inference
- J••• H•••••• A••• (Shareholder) no longer on Schedule A of C•••• G••••• A••••••• (listed 2022-03-02, absent 2022-05-18)May 18, 2022 · Control person left · inference
- C•••• H•••••• V••••• (Chief Compliance Officer) no longer on Schedule A of C•••• G••••• A••••••• (listed 2022-03-02, absent 2022-05-18)May 18, 2022 · Control person left · inference
- D••••• Mac C••••• (Chief Compliance Officer) appeared on Schedule A of C•••• G••••• A•••••••May 18, 2022 · Control person joined · fact
- C•••• G••••• A••••••• reported RAUM $304.6M, up 68% from $181.3M (2021-06-16 to 2022-03-02)Mar 2, 2022 · RAUM change · derived
- J•••• R•••••• (Chief Executive Officer) appeared on Schedule A of C•••• G••••• A•••••••Jun 16, 2021 · Control person joined · fact
- Carlos Juan Riera (Chief Compliance Officer) no longer on Schedule A of C•••• G••••• A••••••• (listed 2020-03-19, absent 2020-04-01)Apr 1, 2020 · Control person left · inference
- Javier Rodriguez Ambles (Managing Director - Principal) no longer on Schedule A of C•••• G••••• A••••••• (listed 2019-05-23, absent 2019-09-19)Sep 19, 2019 · Control person left · inference
- C•••• H•••••• V••••• (Chief Executive Officer) appeared on Schedule A of C•••• G••••• A•••••••Sep 19, 2019 · Control person joined · fact
- Pascual Santosjuanes (Chief Investment Officer & Principal) appeared on Schedule A of C•••• G••••• A•••••••Sep 19, 2019 · Control person joined · fact
- Javier Rodriguez Ambles (Managing Director - Principal) appeared on Schedule A of C•••• G••••• A•••••••May 23, 2019 · Control person joined · fact
- C•••• G••••• A••••••• filed its initial SEC registration (Form ADV)Dec 24, 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