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
A••••• C•••••• L••
Latest filing Mar 20, 2026
First filing on the tape Feb 7, 2020 · 10 filings
SEC status approved since Mar 6, 2020
RAUM
$89.9M
reported, Item 5.F
Discretionary
8.2%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$89.9M as of Mar 20, 2026
Feb 2, 2021$55.6M then
HNW client RAUM: $3.0M
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Feb 2, 20210 then
Employees (5.A)8 as of Mar 20, 2026
Feb 2, 20217 then
Private funds1 as of Mar 25, 2024
Feb 2, 20211 then
RAUM +51% over the last fiscal year+2.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $45.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 8.2%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +51%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$82.6M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.92 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• L•••• A•••••• O••••••••• M••••• F••• L••• | Hedge Fund | $100,000 | 1 | Jun 18, 2013 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• R••••••• R••• · Chief Financial Officercontrolsince 02/2024 · owns less than 5%
- R•••• D•••••• A•••••••• · Portfolio Managercontrolsince 01/2015 · owns less than 5%
- R•••••••• M•••••• C••••••• · Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
- R•••• D•••••• A•••••••• · President And Directorcontrolsince 10/2006 · owns 75% or more of M••• C•••••• S••• D• C•••
Entity owners
- M••• C•••••• S••• D• C••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- M••• C•••••• S••• D• C•••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 20, 2026RAUM (Item 5.F) moved from $59,582,148 to $89,907,916 (+51.0%) between the annual amendments of 2025-03-19 and 2026-03-20; the peer median change was -12.0% (97 comparable advisers, 99.0th percentile of changes)peers: asset managers, under $100M (97) · 99% percentile
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Mar 19, 2025 to Mar 20, 2026
- Employees · 7 to 8Mar 19, 2025 to Mar 20, 2026
- Discretionary RAUM · $4.5M to $7.3MMar 19, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $55.1M to $82.6MMar 19, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $55.1M to $82.6MMar 19, 2025 to Mar 20, 2026
- RAUM · $59.6M to $89.9MMar 19, 2025 to Mar 20, 2026
- Accounts · 4 to 2Apr 19, 2024 to Mar 19, 2025
- Advisory employees · 5 to 4Apr 19, 2024 to Mar 19, 2025
- Pooled vehicle clients · 3 to 1Apr 19, 2024 to Mar 19, 2025
- Employees · 8 to 7Apr 19, 2024 to Mar 19, 2025
- Financial planning clients · unset to Apr 19, 2024 to Mar 19, 2025
- HQ state · unset to Apr 19, 2024 to Mar 19, 2025
- Private funds · 1 to unsetApr 19, 2024 to Mar 19, 2025
- Discretionary RAUM · $4.6M to $4.5MApr 19, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $68.4M to $55.1MApr 19, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $68.5M to $55.1MApr 19, 2024 to Mar 19, 2025
- RAUM · $73.0M to $59.6MApr 19, 2024 to Mar 19, 2025
- Accounts · 6 to 4Jul 27, 2023 to Mar 25, 2024
- Advisory employees · 6 to 5Jul 27, 2023 to Mar 25, 2024
- Pooled vehicle clients · 5 to 3Jul 27, 2023 to Mar 25, 2024
- Employees · 9 to 8Jul 27, 2023 to Mar 25, 2024
- Discretionary RAUM · $28.8M to $4.6MJul 27, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $54.9M to $68.4MJul 27, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $80.1M to $68.5MJul 27, 2023 to Mar 25, 2024
- RAUM · $83.7M to $73.0MJul 27, 2023 to Mar 25, 2024
- Accounts · 5 to 6Mar 10, 2022 to Mar 22, 2023
- Pooled vehicle clients · 4 to 5Mar 10, 2022 to Mar 22, 2023
- Employees · 7 to 9Mar 10, 2022 to Mar 22, 2023
- Discretionary RAUM · $20.3M to $28.8MMar 10, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $43.9M to $54.9MMar 10, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $60.7M to $80.1MMar 10, 2022 to Mar 22, 2023
- RAUM · $64.1M to $83.7MMar 10, 2022 to Mar 22, 2023
- Discretionary RAUM · $21.5M to $20.3MFeb 2, 2021 to Mar 10, 2022
- HNW RAUM · 3000000.0 to unsetFeb 2, 2021 to Mar 10, 2022
- Non-discretionary RAUM · $34.1M to $43.9MFeb 2, 2021 to Mar 10, 2022
- Pooled vehicle RAUM · $52.6M to $60.7MFeb 2, 2021 to Mar 10, 2022
- RAUM · $55.6M to $64.1MFeb 2, 2021 to Mar 10, 2022
- Accounts · 4 to 5Aug 28, 2020 to Feb 2, 2021
- Pooled vehicle clients · 3 to 4Aug 28, 2020 to Feb 2, 2021
- Discretionary RAUM · $20.5M to $21.5MAug 28, 2020 to Feb 2, 2021
Signals
5 dated events
- Francisco Montes De Oca (Chief Financial Officer) no longer on Schedule A of A••••• C•••••• L•• (listed 2024-03-25, absent 2024-04-19)Apr 19, 2024 · Control person left · inference
- R••• R•••••• A•••••• (Chief Financial Officer) appeared on Schedule A of A••••• C•••••• L••Apr 19, 2024 · Control person joined · fact
- Herbert Eric Anderson (Co-Portfolio Manager) no longer on Schedule A of A••••• C•••••• L•• (listed 2020-02-07, absent 2020-08-28)Aug 28, 2020 · Control person left · inference
- A••••• C•••••• L•• filed its initial SEC registration (Form ADV)Feb 7, 2020 · First SEC registration · fact
- A••••• C•••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 7, 2020 · Succession (Item 4) · 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
- Principal office phone
- +52 55 5985 1770reportedpublic record, Form ADV, Mar 20, 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
- Asset manager (funds and pooled vehicles)deriveda 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