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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
G•••••••• F••••• A••••••• L••
Latest filing Feb 9, 2026
First filing on the tape Jul 16, 2019 · 14 filings
SEC status approved since Nov 10, 2021
RAUM
$327M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
96%
$315M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$109M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$327M as of Feb 9, 2026
Jan 22, 2020$26.0M then
HNW client RAUM$314M as of Feb 9, 2026
Jan 22, 2020$26.0M then
State-registered IARs (5.B.3)3 as of Feb 9, 2026
Jan 22, 20201 then
Employees (5.A)3 as of Feb 9, 2026
Jan 22, 20201 then
Private funds: no history
RAUM +10% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $24.1MderivedHNW RAUM over HNW clients
- Average account
- $2.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$314M96%
- Corporations and businesses$12.4M3.8%
- Individuals$982,8890.3%
- Individual clients
- 2reported
- HNW clients
- 13reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 120reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• A•••• | Miami, Fl | Apr 6, 2020 | 18 y | 1 |
| N•••••• S•••••••••Chartered Financial Analyst | Key Biscayne, Fl | May 10, 2021 | 15 y | 0 |
| J••••••• A••••••••• | Miami, Fl | Jul 28, 2021 | 18 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••••••• A••••••••• from B••••• G••••• A•••• M•••••••••Jul 28, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• J••••••• · Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- A••••• C••••• · Managing Directorcontrolsince 06/2019 · owns 50% to 75%
- S••••••••• N•••••• · Partnercontrolsince 05/2021 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Feb 9, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 119 to 120Mar 5, 2025 to Feb 9, 2026
- HNW RAUM · $284M to $314MMar 5, 2025 to Feb 9, 2026
- Individual RAUM · $1.1M to $982,889Mar 5, 2025 to Feb 9, 2026
- Non-discretionary RAUM · $296M to $327MMar 5, 2025 to Feb 9, 2026
- RAUM · $296M to $327MMar 5, 2025 to Feb 9, 2026
- Accounts · 81 to 119Jan 31, 2024 to Mar 5, 2025
- HNW clients · 11 to 13Jan 31, 2024 to Mar 5, 2025
- Individual clients · 3 to 2Jan 31, 2024 to Mar 5, 2025
- Financial planning clients · unset to Jan 31, 2024 to Mar 5, 2025
- HNW RAUM · $243M to $284MJan 31, 2024 to Mar 5, 2025
- Individual RAUM · $1.2M to $1.1MJan 31, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $255M to $296MJan 31, 2024 to Mar 5, 2025
- RAUM · $255M to $296MJan 31, 2024 to Mar 5, 2025
- Accounts · 67 to 81Oct 4, 2023 to Jan 31, 2024
- HNW clients · 8 to 11Oct 4, 2023 to Jan 31, 2024
- Individual clients · 6 to 3Oct 4, 2023 to Jan 31, 2024
- HNW RAUM · $222M to $243MOct 4, 2023 to Jan 31, 2024
- Individual RAUM · $4.0M to $1.2MOct 4, 2023 to Jan 31, 2024
- Non-discretionary RAUM · $236M to $255MOct 4, 2023 to Jan 31, 2024
- RAUM · $236M to $255MOct 4, 2023 to Jan 31, 2024
- HQ city · CORAL GABLES to MIAMIJun 29, 2023 to Oct 4, 2023
- Accounts · 57 to 67Mar 3, 2022 to Mar 29, 2023
- Corporate clients · 0 to 1Mar 3, 2022 to Mar 29, 2023
- HNW clients · 14 to 8Mar 3, 2022 to Mar 29, 2023
- Individual clients · 1 to 6Mar 3, 2022 to Mar 29, 2023
- HNW RAUM · $257M to $222MMar 3, 2022 to Mar 29, 2023
- Individual RAUM · $136,000 to $4.0MMar 3, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $257M to $236MMar 3, 2022 to Mar 29, 2023
- RAUM · $257M to $236MMar 3, 2022 to Mar 29, 2023
- Accounts · 38 to 57Oct 11, 2021 to Feb 7, 2022
- HNW clients · 7 to 14Oct 11, 2021 to Feb 7, 2022
- Individual clients · 6 to 1Oct 11, 2021 to Feb 7, 2022
- HNW RAUM · $128M to $257MOct 11, 2021 to Feb 7, 2022
- Individual RAUM · $2.0M to $136,000Oct 11, 2021 to Feb 7, 2022
- Non-discretionary RAUM · $130M to $257MOct 11, 2021 to Feb 7, 2022
- RAUM · $130M to $257MOct 11, 2021 to Feb 7, 2022
- Accounts · 4 to 38Jan 22, 2020 to Oct 11, 2021
- Advisory employees · 1 to 2Jan 22, 2020 to Oct 11, 2021
- Advisory activities · 3 to 2Jan 22, 2020 to Oct 11, 2021
- HNW clients · 2 to 7Jan 22, 2020 to Oct 11, 2021
Signals
4 dated events
- G•••••••• F••••• A••••••• L•• reported RAUM $257.1M, up 97% from $130.2M (2021-10-11 to 2022-02-07)Feb 7, 2022 · RAUM change · derived
- N•••••• S••••••••• (Partner) appeared on Schedule A of G•••••••• F••••• A••••••• L••Oct 11, 2021 · Control person joined · fact
- J••••••• A••••••••• (Chief Compliance Officer) appeared on Schedule A of G•••••••• F••••• A••••••• L••Oct 11, 2021 · Control person joined · fact
- G•••••••• F••••• A••••••• L•• filed its initial SEC registration (Form ADV)Jul 16, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G•••••••• F••••• A••••••• L•• · Family Officesshared crd · office
- G•••••••• F••••• A••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Principal office phone
- 305 648-6405reportedpublic record, Form ADV, Feb 9, 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
- $109Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026