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.
SEC-registered adviser
Kaufman Rossin Wealth, LLC
Latest filing Jul 31, 2026
First filing on the tape Nov 10, 2021 · 21 filings
SEC status approved since Dec 14, 2021
RAUM
$507M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$439M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$84.5M
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$507M as of Jul 31, 2026
Aug 19, 2022$148M then
HNW client RAUM$353M as of Jul 31, 2026
Aug 19, 2022$121M then
State-registered IARs (5.B.3)6 as of Jul 31, 2026
Aug 19, 20223 then
Employees (5.A)11 as of Jul 31, 2026
Aug 19, 20227 then
Private funds: no history
RAUM +67% over the last fiscal year+40% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jul 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $84.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $974,428derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +67%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $44.7M, 40 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$353M70%
- Individuals$86.0M17%
- Corporations and businesses$65.4M13%
- Pension and profit-sharing plans$2.1M0.4%
- Charitable organizations$447,1640.1%
- Individual clients
- 123reported
- HNW clients
- 98reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 520reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $44.7M for 40 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Thomas John PelhamCertified Financial Planner | Miami, Fl | May 23, 2019 | 26 y | 0 |
| David Allen Liska | Fort Lauderdale, Fl | Nov 5, 2020 | 32 y | 3 |
| Michael Joseph CanteroCertified Financial Planner | Miami, Fl | Jul 21, 2023 | 10 y | 1 |
| Darin Keith Schatzman | Miami, Fl | Jun 12, 2024 | 20 y | 0 |
| Ashlea Heather AyerCertified Financial Planner | Ft Lauderdale, Fl | Sep 19, 2024 | 14 y | 2 |
| Maria Elizabeth LacasaCertified Financial Planner | Miami, Fl | May 1, 2025 | 20 y | 2 |
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 headcount2 left over 36 months
Left, latest
- Mayelin Alvarez to Mariner IndependentJun 17, 2025 · RIA to RIA
- Charles Bennett Sachs to Mariner IndependentSep 11, 2024 · RIA to RIA
Joined, latest
- Maria Elizabeth Lacasa from Ifb Wealth Management LLCMay 1, 2025 · Other
- Ashlea Heather Ayer from Truist Advisory Services, Inc.Sep 19, 2024 · Affiliated broker-dealer or bank to independent RIA
- Michael Joseph Cantero from Seaview Investment Managers LLCJul 21, 2023 · Other
- David Allen Liska from J.P. Morgan Securities LLCNov 5, 2020 · Wirehouse to independent RIA
- Charles Bennett Sachs from Creative PlanningMay 23, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lamar Blain Heckaman · Vice Presidentcontrolsince 03/2019 · owns less than 5%
- John Thomas Pelham · Presidentcontrolsince 03/2019 · owns less than 5%
- Elena Maria Socarras · Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
- David Marc Feigelson · Chief Operating Officer / Elected Managercontrolsince 05/2022 · owns F of Kaufman Rossin Wealth Holdings, LLC
- Ivan Garces · Secretarysince 02/2022 · owns less than 5%
Entity owners
- Kaufman Rossin Wealth Holdings, LLC · Ownerdirect · owns 75% or more
- Kaufman Rossin & Co. · Ownerindirect · owns 75% or more of Kaufman Rossin Wealth Holdings, LLC
Related persons
Schedule D 7.A
- Kaufman Rossin & Co.insurancey
- Kr Financial Services, LLC Dba Kaufman Rossin Insurance Servicesreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boca Raton, FL2 employees
- Fort Lauderdale, FL2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 4, 2026RAUM (Item 5.F) moved from $302,857,130 to $506,702,684 (+67.0%) between the annual amendments of 2025-02-18 and 2026-03-04; the peer median change was +16.0% (1386 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,386) · 96% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 51-100Mar 4, 2026 to Jul 31, 2026
- Accounts · 457 to 520Dec 5, 2025 to Mar 4, 2026
- Corporate clients · 3 to 7Dec 5, 2025 to Mar 4, 2026
- HNW clients · 88 to 98Dec 5, 2025 to Mar 4, 2026
- Individual clients · 103 to 123Dec 5, 2025 to Mar 4, 2026
- Assets in custody · $5.5M to $44.7MDec 5, 2025 to Mar 4, 2026
- Employees · 9 to 11Dec 5, 2025 to Mar 4, 2026
- Discretionary RAUM · $303M to $507MDec 5, 2025 to Mar 4, 2026
- HNW RAUM · $235M to $353MDec 5, 2025 to Mar 4, 2026
- Individual RAUM · $62.8M to $86.0MDec 5, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $2,903 to $0Dec 5, 2025 to Mar 4, 2026
- Pension RAUM · $1.5M to $2.1MDec 5, 2025 to Mar 4, 2026
- RAUM · $303M to $507MDec 5, 2025 to Mar 4, 2026
- Financial planning clients · 0 to 0Feb 18, 2025 to May 8, 2025
- Accounts · 373 to 457Dec 9, 2024 to Feb 18, 2025
- Advisory employees · 6 to 7Dec 9, 2024 to Feb 18, 2025
- BD registered reps · 2 to 3Dec 9, 2024 to Feb 18, 2025
- Charity clients · unset to 1.0Dec 9, 2024 to Feb 18, 2025
- Corporate clients · unset to 3.0Dec 9, 2024 to Feb 18, 2025
- HNW clients · 70 to 88Dec 9, 2024 to Feb 18, 2025
- Individual clients · 85 to 103Dec 9, 2024 to Feb 18, 2025
- Pension plan clients · unset to 1.0Dec 9, 2024 to Feb 18, 2025
- Assets in custody · $12.2M to $5.5MDec 9, 2024 to Feb 18, 2025
- Employees · 8 to 9Dec 9, 2024 to Feb 18, 2025
- State-registered IARs · 5 to 6Dec 9, 2024 to Feb 18, 2025
- Discretionary RAUM · $223M to $303MDec 9, 2024 to Feb 18, 2025
- HNW RAUM · $170M to $235MDec 9, 2024 to Feb 18, 2025
- Individual RAUM · $48.4M to $62.8MDec 9, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $2.1M to $2,903Dec 9, 2024 to Feb 18, 2025
- Pension RAUM · $1.0M to $1.5MDec 9, 2024 to Feb 18, 2025
- RAUM · $225M to $303MDec 9, 2024 to Feb 18, 2025
- Discretionary RAUM · $225M to $223MMar 5, 2024 to Apr 17, 2024
- Non-discretionary RAUM · $0 to $2.1MMar 5, 2024 to Apr 17, 2024
- RAUM · $225M to $225MMar 5, 2024 to Apr 17, 2024
- Accounts · 315 to 373Aug 30, 2023 to Feb 23, 2024
- Advisory employees · 3 to 6Aug 30, 2023 to Feb 23, 2024
- Advisory activities · 3 to 6Aug 30, 2023 to Feb 23, 2024
- BD registered reps · 1 to 2Aug 30, 2023 to Feb 23, 2024
- HNW clients · 60 to 70Aug 30, 2023 to Feb 23, 2024
- Individual clients · 74 to 85Aug 30, 2023 to Feb 23, 2024
Signals
7 dated events
- Kaufman Rossin Wealth, Llc reported RAUM $506.7M, up 67% from $302.9M (2025-12-05 to 2026-03-04)Mar 4, 2026 · RAUM change · derived
- Mayelin Alvarez left Kaufman Rossin Wealth, Llc for Mariner Independent (registered 2025-07-30)Jun 17, 2025 · Advisor changed firm · fact
- Bennett Charles Sachs (Chief Investment Officer) no longer on Schedule A of Kaufman Rossin Wealth, Llc (listed 2024-07-18, absent 2024-09-20)Sep 20, 2024 · Control person left · inference
- Charles Bennett Sachs left Kaufman Rossin Wealth, Llc for Mariner Independent (registered 2024-11-13)Sep 11, 2024 · Advisor changed firm · fact
- Elena Maria Socarras (Chief Compliance Officer) appeared on Schedule A of Kaufman Rossin Wealth, LlcJun 14, 2023 · Control person joined · fact
- Arnold Gerald Michelson (Chief Operating Officer / Elected Manager) no longer on Schedule A of Kaufman Rossin Wealth, Llc (listed 2022-09-06, absent 2022-09-19)Sep 19, 2022 · Control person left · inference
- Kaufman Rossin Wealth, Llc filed its initial SEC registration (Form ADV)Nov 10, 2021 · 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
- elacasa@kaufmanrossinwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jkornfeld@kaufmanrossinwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- l.montoto@kaufmanrossinwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m.socarras@kaufmanrossinwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- michelle.gonzalez@kaufmanrossinwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- scenci@kaufmanrossinwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-376-5063reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 305-504-8474reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 305-646-6029reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/kaufman-rossin-&-coreportedpublic record, Form ADV, Sep 17, 2026
- Website
- kaufmanrossinwealth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 305-646-6071reportedpublic record, Form ADV, Jul 31, 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
- $84.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026