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

P••••• A••••••• L••

Former SEC-registered adviserMiami, FloridaCRD 305323SEC 801-117315IAPD
Latest filing Aug 18, 2021
First filing on the tape Aug 12, 2019 · 14 filings
RAUM
$14.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$14.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
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$14.8M as of Mar 16, 2021
Feb 20, 2020$10.0M then
HNW client RAUM: $10.0M
State-registered IARs (5.B.3)2 as of Mar 16, 2021
Feb 20, 20202 then
Employees (5.A)2 as of Mar 16, 2021
Feb 20, 20202 then
Private funds: no history
RAUM +49% over the last fiscal yearIARs 2 to 2offices 1 to 0
Practice profile
derived from the filing of Aug 18, 2021; every figure names its basis
RAUM per advisor
$7.4MderivedRAUM 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
$643,892derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+49%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
$14.8MreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$14.8M100%
Individual clients
23reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
23reported
Financial planning clients
n/areported
Wrap fee programs
$0 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
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
    • D••••••••• R•••••• J••• · Ccocontrol
      since 08/2019 · owns less than 5%
    • D••••••••• R•••••• J••• · Managing Member/Ccocontrol
      since 02/1998 · owns 75% or more of S••••• C•••••• L••
    • P••••••• C•••••• A•••••• · Managing Membercontrol
      since 01/2016 · owns F of S••••• C•••••• L••
    Entity owners
    • S••••• C•••••• L•• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HQ city · NEW YORK to MIAMI
      Mar 31, 2021 to Aug 2, 2021
    • HQ state · NY to FL
      Mar 31, 2021 to Aug 2, 2021
    • Other offices · 1 to 0
      Mar 31, 2021 to Aug 2, 2021
    • Accounts · 14 to 23
      Jun 15, 2020 to Mar 16, 2021
    • HNW clients · 13.0 to unset
      Jun 15, 2020 to Mar 16, 2021
    • Individual clients · unset to 23.0
      Jun 15, 2020 to Mar 16, 2021
    • Discretionary RAUM · $10.0M to $14.8M
      Jun 15, 2020 to Mar 16, 2021
    • HNW RAUM · 9950483.0 to unset
      Jun 15, 2020 to Mar 16, 2021
    • Individual RAUM · unset to 14809519.0
      Jun 15, 2020 to Mar 16, 2021
    • RAUM · $10.0M to $14.8M
      Jun 15, 2020 to Mar 16, 2021
    • Accounts · 0 to 14
      Sep 25, 2019 to Feb 20, 2020
    • Advisory employees · 1 to 2
      Sep 25, 2019 to Feb 20, 2020
    • HNW clients · unset to 13.0
      Sep 25, 2019 to Feb 20, 2020
    • Employees · 1 to 2
      Sep 25, 2019 to Feb 20, 2020
    • State-registered IARs · 1 to 2
      Sep 25, 2019 to Feb 20, 2020
    • Discretionary RAUM · $0 to $10.0M
      Sep 25, 2019 to Feb 20, 2020
    • HNW RAUM · unset to 9950483.0
      Sep 25, 2019 to Feb 20, 2020
    • RAUM · $0 to $10.0M
      Sep 25, 2019 to Feb 20, 2020
    • Other offices · 0 to 1
      Aug 13, 2019 to Sep 25, 2019
    Signals
    1 dated events
    • P••••• A••••••• L•• filed its initial SEC registration (Form ADV)
      Aug 12, 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