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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SEC-registered adviser
L••• C•••••• A••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Sep 2, 2019 · 19 filings
SEC status approved since Oct 18, 2019
RAUM
$94.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
13%
$12.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$94.8M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$94.8M as of Mar 31, 2026
May 18, 2020$112M then
HNW client RAUM$12.4M as of Mar 31, 2026
Mar 31, 2021$4.9M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
May 18, 20200 then
Employees (5.A)3 as of Mar 31, 2026
May 18, 20203 then
Private funds1 as of May 1, 2025
Mar 31, 20231 then
RAUM -57% over the last fiscal year-34% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $94.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $3.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -57%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
- financial planning, portfolio management for individualsreportedItem 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)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$63.4M67%
- Other investment advisers$17.5M18%
- High-net-worth individuals$12.4M13%
- Charitable organizations$1.4M1.4%
- Individuals$200,5410.2%
- Individual clients
- n/areported
- HNW clients
- 12reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 31reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.13 fund_share=0.18 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• N•••••• C•••• | Miami, Fl | Apr 8, 2021 | 15 y | 0 |
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 headcount1 left over 36 months
Left, latest
- P••••• G••••• H•••••••• to T••••• C•••••• P•••••••Dec 15, 2023 · Other
Joined, latest
- P••••• G••••• H•••••••• from O••••••• N•Nov 5, 2021 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S• F••• | Other Private Fund | $32.2M | 10 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- C••••• P•••••• N•••••• · Ceo, Ccocontrolsince 07/2021 · owns less than 5%
- C•••••••• G•••••• C••••• · Managing Membercontrolsince 06/2019 · owns less than 5%
- C••••• P•••••• N•••••• · Shareholdercontrolsince 07/2021 · owns 75% or more of P••••• H•••••••• L••
- C•••••••• G•••••• C••••• · Managing Membercontrolsince 06/2019 · owns 75% or more of B•••••••• L••••• T••••
Entity owners
- P••••• H•••••••• L•• · Shareholderdirect · owns 25% to 50%
- S•••• C•••••• A••••••• L•• · Shareholderdirect · owns 50% to 75%
- A••• O•• L•• · Shareholderindirect · owns 75% or more of S•••• C•••••• A••••••• L••
- B•••••••• L••••• T•••• · Trusteeindirect · owns 75% or more of C•••••••• G•••••• C•••••
- C• P••••••• · Trusteeindirect · owns F of G••••••• S•
- G••••••• S• · Trusteeindirect · owns F of C• P•••••••
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 | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 65.0% to 87.0% between the annual amendments of 2025-01-16 and 2026-03-31peers: other advisers, under $100M (671)
- business activity changedChange between filings · filing Mar 31, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-05-01, no on the filing of 2026-03-31peers: other advisers, under $100M (671)
- business activity changedChange between filings · filing Mar 31, 2026advises private funds (Item 7.B): yes on the filing of 2025-05-01, no on the filing of 2026-03-31peers: other advisers, under $100M (671)
What changed
consecutive filings, newest first
- Accounts · 36 to 31May 1, 2025 to Mar 31, 2026
- Advisory activities · 3 to 2May 1, 2025 to Mar 31, 2026
- Corporate clients · 13 to 10May 1, 2025 to Mar 31, 2026
- HNW clients · 13 to 12May 1, 2025 to Mar 31, 2026
- Pooled vehicle clients · 1.0 to unsetMay 1, 2025 to Mar 31, 2026
- Private funds · 1 to unsetMay 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $137M to $94.8MMay 1, 2025 to Mar 31, 2026
- HNW RAUM · $12.0M to $12.4MMay 1, 2025 to Mar 31, 2026
- Individual RAUM · $195,562 to $200,541May 1, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · 38181926.0 to unsetMay 1, 2025 to Mar 31, 2026
- RAUM · $137M to $94.8MMay 1, 2025 to Mar 31, 2026
- Accounts · 48 to 36Jan 16, 2025 to May 1, 2025
- Advisory activities · 2 to 3Jan 16, 2025 to May 1, 2025
- Corporate clients · 17 to 13Jan 16, 2025 to May 1, 2025
- HNW clients · 14 to 13Jan 16, 2025 to May 1, 2025
- Individual clients · 2.0 to unsetJan 16, 2025 to May 1, 2025
- Financial planning clients · 26-50 to 0Jan 16, 2025 to May 1, 2025
- Discretionary RAUM · $222M to $137MJan 16, 2025 to May 1, 2025
- HNW RAUM · $12.3M to $12.0MJan 16, 2025 to May 1, 2025
- Individual RAUM · $204,743 to $195,562Jan 16, 2025 to May 1, 2025
- Pooled vehicle RAUM · $35.1M to $38.2MJan 16, 2025 to May 1, 2025
- RAUM · $222M to $137MJan 16, 2025 to May 1, 2025
- Accounts · 42 to 48Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 2 to 1Mar 31, 2023 to Mar 29, 2024
- HNW clients · 13 to 14Mar 31, 2023 to Mar 29, 2024
- Individual clients · unset to 2.0Mar 31, 2023 to Mar 29, 2024
- Employees · 4 to 3Mar 31, 2023 to Mar 29, 2024
- State-registered IARs · 2 to 1Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $328M to $222MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $20.2M to $12.3MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $217,922 to $204,743Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $34.2M to $35.1MMar 31, 2023 to Mar 29, 2024
- RAUM · $328M to $222MMar 31, 2023 to Mar 29, 2024
- Accounts · 31 to 42Mar 31, 2022 to Mar 31, 2023
- Advisory activities · 1 to 2Mar 31, 2022 to Mar 31, 2023
- Corporate clients · 10 to 17Mar 31, 2022 to Mar 31, 2023
- HNW clients · 8 to 13Mar 31, 2022 to Mar 31, 2023
- Individual clients · 2.0 to unsetMar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · unset to 1.0Mar 31, 2022 to Mar 31, 2023
- Employees · 3 to 4Mar 31, 2022 to Mar 31, 2023
Signals
8 dated events
- L••• C•••••• A••••••• L•• reported RAUM $222.1M, down 32% from $328.2M (2023-03-31 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- P••••• G••••• H•••••••• left L••• C•••••• A••••••• L•• for T••••• C•••••• P••••••• (registered 2024-01-12)Dec 15, 2023 · Advisor changed firm · fact
- Joseph Jonathan Cardona (Cco) no longer on Schedule A of L••• C•••••• A••••••• L•• (listed 2021-04-29, absent 2021-08-30)Aug 30, 2021 · Control person left · inference
- Nordell Philip Carey (Ceo, Cco) appeared on Schedule A of L••• C•••••• A••••••• L••Aug 30, 2021 · Control person joined · fact
- L••• C•••••• A••••••• L•• reported RAUM $299.5M, up 167% from $112.2M (2021-01-11 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Javier Carlos Legaspy (Chief Compliance Officer And Chief Financial Officer) no longer on Schedule A of L••• C•••••• A••••••• L•• (listed 2019-10-17, absent 2020-02-14)Feb 14, 2020 · Control person left · inference
- Joseph Jonathan Cardona (Cco) appeared on Schedule A of L••• C•••••• A••••••• L••Feb 14, 2020 · Control person joined · fact
- L••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)Sep 2, 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
- Firm profile
- linkedin.com/company/lion-capital-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- lioncapitaladvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 305-849-5222reportedpublic record, Form ADV, Mar 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $94.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026