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

A••••• G••••• A••••••• L••

Former SEC-registered adviserMiami, FloridaCRD 304498SEC 801-117232IAPD
Latest filing Jan 2, 2024
First filing on the tape Jul 24, 2019 · 25 filings
RAUM
$7.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$7.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$7.8M as of Mar 3, 2023
Mar 23, 2022$1.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 3, 2023
Mar 27, 20200 then
Employees (5.A)10 as of Mar 3, 2023
Mar 27, 20203 then
Private funds: no history
RAUM +401% over the last fiscal yearIARs 8 to 8
Practice profile
derived from the filing of Jan 2, 2024; every figure names its basis
RAUM per advisor
$974,670derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$6,365derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+401%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
$7.8MreportedItem 5.I
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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$7.8M100%
Individual clients
1,225reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,225reported
Financial planning clients
0reported
Wrap fee programs
$7.8M sponsored, $0 managedreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L••• R••••••• L••••• · Chief Executive Officercontrol
    since 05/2019 · owns less than 5%
  • L••• R••••••• L••••• · Shareholdercontrol
    since 12/2017 · owns 75% or more of A••••• H••••••• I•••
  • R••••• O•••• E••• · Chief Compliance Officer
    since 05/2021 · owns less than 5%
Entity owners
  • A••••• H••••••• I••• · Member
    direct · owns 75% or more
  • A••••• C••••••• · Shareholder
    indirect · owns 75% or more of A••••• H•••••• C••••• L••
  • A••••• H•••••• C••••• L•• · Shareholder
    indirect · owns 75% or more of A••••• H••••••• I•••
  • I•• H•••••• B••••• P•••• L•••• · Shareholder
    indirect · owns 25% to 50% of A••••• H•••••• C••••• L••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 237 to 1,225
    Nov 10, 2022 to Mar 3, 2023
  • BD registered reps · 8 to 10
    Nov 10, 2022 to Mar 3, 2023
  • Individual clients · 237 to 1,225
    Nov 10, 2022 to Mar 3, 2023
  • Employees · 8 to 10
    Nov 10, 2022 to Mar 3, 2023
  • Discretionary RAUM · $1.6M to $7.8M
    Nov 10, 2022 to Mar 3, 2023
  • Individual RAUM · $1.6M to $7.8M
    Nov 10, 2022 to Mar 3, 2023
  • RAUM · $1.6M to $7.8M
    Nov 10, 2022 to Mar 3, 2023
  • Wrap assets (sponsor) · $1.5M to $7.8M
    Nov 10, 2022 to Mar 3, 2023
  • Accounts · unset to 237.0
    Sep 17, 2021 to Mar 23, 2022
  • BD registered reps · 1 to 8
    Sep 17, 2021 to Mar 23, 2022
  • Individual clients · unset to 237.0
    Sep 17, 2021 to Mar 23, 2022
  • Employees · 3 to 8
    Sep 17, 2021 to Mar 23, 2022
  • State-registered IARs · 0 to 8
    Sep 17, 2021 to Mar 23, 2022
  • Discretionary RAUM · unset to 1557327.0
    Sep 17, 2021 to Mar 23, 2022
  • Individual RAUM · unset to 1557327.0
    Sep 17, 2021 to Mar 23, 2022
  • Non-discretionary RAUM · unset to 0.0
    Sep 17, 2021 to Mar 23, 2022
  • RAUM · unset to 1557327.0
    Sep 17, 2021 to Mar 23, 2022
  • Wrap assets (sponsor) · $0 to $1.5M
    Sep 17, 2021 to Mar 23, 2022
  • Accounts · 0.0 to unset
    Dec 18, 2019 to Mar 27, 2020
  • Discretionary RAUM · 0.0 to unset
    Dec 18, 2019 to Mar 27, 2020
  • Non-discretionary RAUM · 0.0 to unset
    Dec 18, 2019 to Mar 27, 2020
  • RAUM · 0.0 to unset
    Dec 18, 2019 to Mar 27, 2020
  • Business name · A••••• A••••••• L•• to A••••• G••••• A••••••• L••
    Jul 24, 2019 to Oct 8, 2019
  • Legal name · A••••• A••••••• L•• to A••••• G••••• A••••••• L••
    Jul 24, 2019 to Oct 8, 2019
Signals
2 dated events
  • Ryan Calvin Persaud (Chief Compliance Officer) no longer on Schedule A of A••••• G••••• A••••••• L•• (listed 2021-02-25, absent 2021-06-03)
    Jun 3, 2021 · Control person left · inference
  • A••••• A••••••• L•• filed its initial SEC registration (Form ADV)
    Jul 24, 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