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

H••••• F••••• O••••• L••

Former SEC-registered adviserMiami, FloridaCRD 300709SEC 801-115046websiteIAPD
Latest filing Feb 13, 2025
First filing on the tape Mar 21, 2019 · 22 filings
SEC status approved since Apr 23, 2019
RAUM
$115M
reported, Item 5.F
Discretionary
25%
of RAUM
Private clients
15%
$17.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$115M as of Feb 13, 2025
Mar 3, 2020$122M then
HNW client RAUM$17.6M as of Feb 13, 2025
Mar 3, 2020$21.7M then
State-registered IARs (5.B.3)3 as of Feb 13, 2025
Mar 3, 20202 then
Employees (5.A)4 as of Feb 13, 2025
Mar 3, 20205 then
Private funds: no history
RAUM +15% over the last fiscal year-0.7% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Feb 13, 2025; every figure names its basis
RAUM per advisor
$38.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
5derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$2.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
25%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-6.3%derived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$3.5M, 4 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
  • Corporations and businesses$55.6M76%
  • High-net-worth individuals$17.6M24%
Individual clients
0reported
HNW clients
15reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
48reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$3.5M for 4 clientsreported
Compensation
% of AUMreported
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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
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
    • B••••• M••••••• A•••• · Managing Directorcontrol
      since 03/2019 · owns 10% to 25%
    • S•••••• M•••••• N•• · Ccocontrol
      since 08/2019 · owns less than 5%
    • D•••• B••••••• H••• · Majority Owner Of H••••• F••••• I••••••••• L••control
      since 04/2019 · owns 75% or more of H••••• F••••• I••••••••• L••
    Entity owners
    • H••••• F••••• I••••••••• L•• · 85% Owner Of The Applicant Ia
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • H••••• F••••• O••••• •••••••• L••••••
      investment advisern
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Miami, Fl · principal0021
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 52 to 48
      Nov 1, 2024 to Feb 13, 2025
    • Corporate clients · 18 to 16
      Nov 1, 2024 to Feb 13, 2025
    • HNW clients · 16 to 15
      Nov 1, 2024 to Feb 13, 2025
    • Assets in custody · $4.1M to $3.5M
      Nov 1, 2024 to Feb 13, 2025
    • Insurance-licensed employees · 1 to 0
      Nov 1, 2024 to Feb 13, 2025
    • Financial planning clients · 0 to 0
      Nov 1, 2024 to Feb 13, 2025
    • State-registered IARs · 2 to 3
      Nov 1, 2024 to Feb 13, 2025
    • Discretionary RAUM · $34.3M to $28.6M
      Nov 1, 2024 to Feb 13, 2025
    • HNW RAUM · $18.5M to $17.6M
      Nov 1, 2024 to Feb 13, 2025
    • Non-discretionary RAUM · $65.6M to $85.9M
      Nov 1, 2024 to Feb 13, 2025
    • RAUM · $100.0M to $115M
      Nov 1, 2024 to Feb 13, 2025
    • Corporate clients · 14 to 18
      Feb 23, 2023 to Mar 13, 2024
    • Assets in custody · $4.1M to $4.1M
      Feb 23, 2023 to Mar 13, 2024
    • Discretionary RAUM · $32.9M to $34.3M
      Feb 23, 2023 to Mar 13, 2024
    • HNW RAUM · $20.4M to $18.5M
      Feb 23, 2023 to Mar 13, 2024
    • Non-discretionary RAUM · $61.7M to $65.6M
      Feb 23, 2023 to Mar 13, 2024
    • RAUM · $94.6M to $100.0M
      Feb 23, 2023 to Mar 13, 2024
    • Accounts · 60 to 52
      Oct 31, 2022 to Feb 23, 2023
    • Corporate clients · 22 to 14
      Oct 31, 2022 to Feb 23, 2023
    • HNW clients · 13 to 16
      Oct 31, 2022 to Feb 23, 2023
    • Assets in custody · $9.1M to $4.1M
      Oct 31, 2022 to Feb 23, 2023
    • Discretionary RAUM · $52.4M to $32.9M
      Oct 31, 2022 to Feb 23, 2023
    • HNW RAUM · $13.5M to $20.4M
      Oct 31, 2022 to Feb 23, 2023
    • Non-discretionary RAUM · $64.4M to $61.7M
      Oct 31, 2022 to Feb 23, 2023
    • RAUM · $117M to $94.6M
      Oct 31, 2022 to Feb 23, 2023
    • Accounts · 67 to 60
      Jun 21, 2021 to Feb 4, 2022
    • Advisory employees · 1 to 2
      Jun 21, 2021 to Feb 4, 2022
    • Charity clients · unset to 0.0
      Jun 21, 2021 to Feb 4, 2022
    • Corporate clients · 28 to 22
      Jun 21, 2021 to Feb 4, 2022
    • HNW clients · unset to 13.0
      Jun 21, 2021 to Feb 4, 2022
    • Individual clients · 11 to 0
      Jun 21, 2021 to Feb 4, 2022
    • Pension plan clients · unset to 0.0
      Jun 21, 2021 to Feb 4, 2022
    • Pooled vehicle clients · unset to 0.0
      Jun 21, 2021 to Feb 4, 2022
    • Assets in custody · $9.6M to $9.1M
      Jun 21, 2021 to Feb 4, 2022
    • Employees · 6 to 4
      Jun 21, 2021 to Feb 4, 2022
    • Discretionary RAUM · $46.2M to $52.4M
      Jun 21, 2021 to Feb 4, 2022
    • HNW RAUM · unset to 13481729.0
      Jun 21, 2021 to Feb 4, 2022
    • Individual RAUM · $25.1M to $0
      Jun 21, 2021 to Feb 4, 2022
    • Non-discretionary RAUM · $74.6M to $64.4M
      Jun 21, 2021 to Feb 4, 2022
    • Pension RAUM · unset to 0.0
      Jun 21, 2021 to Feb 4, 2022
    Signals
    7 dated events
    • H••••• F••••• O••••• L•• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $114.5M)
      Feb 2, 2026 · Left the SEC roster · derived
    • G••••••• M••••• left H••••• F••••• O••••• L•• for L•••• F••• A••••••• S••••••• (registered 2025-09-15)
      Jan 22, 2026 · Advisor changed firm · fact
    • M••••• N•• S••••• left H••••• F••••• O••••• L•• for L•••• F••• A••••••• S••••••• (registered 2025-05-12)
      Jan 22, 2026 · Advisor changed firm · fact
    • 2 advisors left H••••• F••••• O••••• L•• (Miami, FL) for L•••• F••• A••••••• S••••••• on the same day
      Jan 22, 2026 · Team lift-out · derived
    • M••••••• D••••• (Member) no longer on Schedule A of H••••• F••••• O••••• L•• (listed 2019-08-13, absent 2019-08-22)
      Aug 22, 2019 · Control person left · inference
    • Nmn Marian Stupka (Cco) appeared on Schedule A of H••••• F••••• O••••• L••
      Aug 13, 2019 · Control person joined · fact
    • H••••• F••••• O••••• L•• filed its initial SEC registration (Form ADV)
      Mar 21, 2019 · 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