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

D•••••• D••••••• I••••••••• M••••••••• G••••• L••

Former SEC-registered adviserJupiter, FloridaCRD 301456SEC 801-115057IAPD
Latest filing Mar 16, 2020
First filing on the tape Mar 22, 2019 · 10 filings
RAUM
$30.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$30.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$30.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$30.0M as of Mar 16, 2020
Mar 22, 2019$0 then
HNW client RAUM$16.8M as of Mar 16, 2020
Aug 26, 2019$8.2M then
State-registered IARs (5.B.3)2 as of Mar 16, 2020
Mar 22, 20192 then
Employees (5.A)2 as of Mar 16, 2020
Mar 22, 20192 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 16, 2020; every figure names its basis
RAUM per advisor
$30.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
50derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$309,787derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$20.5M, 20 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
  • High-net-worth individuals$16.8M56%
  • Individuals$13.2M44%
Individual clients
42reported
HNW clients
8reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
97reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$20.5M for 20 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D••••• M•••••• D••••••Jupiter, Fl Jun 25, 201910 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 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
    • D••••••• D•••••• M•••••• · Chief Operating Officercontrol
      since 04/2019 · owns less than 5%
    • D••••••• D•••••• M•••••• · Managing Member, Chief Executive Officer & Chief Compliance Officercontrol
      since 04/2019 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 95 to 97
      Jan 10, 2020 to Mar 16, 2020
    • Advisory activities · 4 to 3
      Jan 10, 2020 to Mar 16, 2020
    • HNW clients · 9 to 8
      Jan 10, 2020 to Mar 16, 2020
    • Assets in custody · $20.5M to $20.5M
      Jan 10, 2020 to Mar 16, 2020
    • Discretionary RAUM · $28.2M to $30.0M
      Jan 10, 2020 to Mar 16, 2020
    • HNW RAUM · $8.2M to $16.8M
      Jan 10, 2020 to Mar 16, 2020
    • Individual RAUM · $20.0M to $13.2M
      Jan 10, 2020 to Mar 16, 2020
    • RAUM · $28.2M to $30.0M
      Jan 10, 2020 to Mar 16, 2020
    • HQ city · unset to JUPITER
      Jan 9, 2020 to Jan 10, 2020
    • HQ state · unset to FL
      Jan 9, 2020 to Jan 10, 2020
    • Assets in custody · $28.2M to $20.5M
      Nov 8, 2019 to Dec 26, 2019
    • Advisory activities · 5 to 4
      Oct 10, 2019 to Nov 8, 2019
    • Assets in custody · unset to 28200000.0
      Aug 26, 2019 to Oct 10, 2019
    • Custody of client assets · false to true
      Aug 26, 2019 to Oct 10, 2019
    • Accounts · 0 to 95
      Apr 23, 2019 to Aug 26, 2019
    • HNW clients · unset to 9.0
      Apr 23, 2019 to Aug 26, 2019
    • Individual clients · unset to 42.0
      Apr 23, 2019 to Aug 26, 2019
    • Discretionary RAUM · $0 to $28.2M
      Apr 23, 2019 to Aug 26, 2019
    • HNW RAUM · unset to 8200000.0
      Apr 23, 2019 to Aug 26, 2019
    • Individual RAUM · unset to 20000000.0
      Apr 23, 2019 to Aug 26, 2019
    • RAUM · $0 to $28.2M
      Apr 23, 2019 to Aug 26, 2019
    • Financial planning clients · unset to 0
      Mar 22, 2019 to Apr 22, 2019
    Signals
    1 dated events
    • D•••••• D••••••• I••••••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)
      Mar 22, 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.
    How to reach
    public business contact points only, each with its source
    Website
    DDIMG.ORGreportedpublic record, Form ADV, Sep 19, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $30.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026