DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

P•••• C•••••• L••

Independent wealth managerSEC-registered· Miami, Florida

Independent wealth manager, based in Miami, Florida, reporting $187M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$187M
Form ADV
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
+7.8%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $187M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 307775 · SEC 801-118458 · 22 filingsShow
CRD 307775SEC 801-118458First filing on the tape Mar 17, 2020, latest Mar 30, 2026SEC status approved since Apr 16, 2020IAPD
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$187M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
22 filings and snapshots on the tape
RAUM$187M as of Mar 30, 2026
Feb 16, 2021$0 then
HNW client RAUM$187M as of Mar 30, 2026
Feb 16, 2021$0 then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Feb 16, 20212 then
Employees (5.A)3 as of Mar 30, 2026
Feb 16, 20212 then
Private funds: no history
RAUM +7.8% over the last fiscal year+70% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 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
$93.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
8derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$12.5MderivedHNW RAUM over HNW clients
Average account
$12.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+7.1%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$187M100%
Individual clients
0reported
HNW clients
15reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
15reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=1.0 fund_share=0.0 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• R••••••• A•••••• · Managing Member & Chief Compliance Officercontrol
        since 02/2020 · owns 25% to 50%
      • M•••••• M••••••• J••••• · Managing Membercontrol
        since 01/2020 · owns 25% to 50%
      • M••••••••• D••••••• N•• · Managing Member
        since 03/2023 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 14 to 15
        Jan 22, 2025 to Mar 30, 2026
      • HNW clients · 14 to 15
        Jan 22, 2025 to Mar 30, 2026
      • Discretionary RAUM · $173M to $187M
        Jan 22, 2025 to Mar 30, 2026
      • HNW RAUM · $173M to $187M
        Jan 22, 2025 to Mar 30, 2026
      • RAUM · $173M to $187M
        Jan 22, 2025 to Mar 30, 2026
      • HNW clients · 5 to 14
        Dec 18, 2024 to Jan 22, 2025
      • Individual clients · 9 to 0
        Dec 18, 2024 to Jan 22, 2025
      • Financial planning clients · unset to
        Dec 18, 2024 to Jan 22, 2025
      • Discretionary RAUM · $174M to $173M
        Dec 18, 2024 to Jan 22, 2025
      • HNW RAUM · $155M to $173M
        Dec 18, 2024 to Jan 22, 2025
      • Individual RAUM · $18.7M to $0
        Dec 18, 2024 to Jan 22, 2025
      • RAUM · $174M to $173M
        Dec 18, 2024 to Jan 22, 2025
      • Accounts · 13 to 14
        Feb 23, 2024 to Dec 9, 2024
      • HNW clients · 12 to 5
        Feb 23, 2024 to Dec 9, 2024
      • Individual clients · 0 to 9
        Feb 23, 2024 to Dec 9, 2024
      • Employees · 2 to 3
        Feb 23, 2024 to Dec 9, 2024
      • Discretionary RAUM · $158M to $174M
        Feb 23, 2024 to Dec 9, 2024
      • HNW RAUM · $158M to $155M
        Feb 23, 2024 to Dec 9, 2024
      • Individual RAUM · $0 to $18.7M
        Feb 23, 2024 to Dec 9, 2024
      • RAUM · $158M to $174M
        Feb 23, 2024 to Dec 9, 2024
      • Discretionary RAUM · $38.3M to $158M
        Oct 4, 2023 to Feb 23, 2024
      • HNW RAUM · $38.3M to $158M
        Oct 4, 2023 to Feb 23, 2024
      • RAUM · $38.3M to $158M
        Oct 4, 2023 to Feb 23, 2024
      • HQ city · NEW YORK to MIAMI
        Feb 6, 2023 to Oct 4, 2023
      • HQ state · NY to FL
        Feb 6, 2023 to Oct 4, 2023
      • Other offices · 1 to 0
        Feb 6, 2023 to Oct 4, 2023
      • Accounts · 8 to 13
        May 31, 2022 to Feb 6, 2023
      • HNW clients · 0 to 12
        May 31, 2022 to Feb 6, 2023
      • Individual clients · 8 to 0
        May 31, 2022 to Feb 6, 2023
      • Discretionary RAUM · $36.1M to $38.3M
        May 31, 2022 to Feb 6, 2023
      • HNW RAUM · $0 to $38.3M
        May 31, 2022 to Feb 6, 2023
      • Individual RAUM · $36.1M to $0
        May 31, 2022 to Feb 6, 2023
      • RAUM · $36.1M to $38.3M
        May 31, 2022 to Feb 6, 2023
      • Accounts · 0 to 8
        Jan 25, 2022 to May 31, 2022
      • Individual clients · 0 to 8
        Jan 25, 2022 to May 31, 2022
      • Discretionary RAUM · $0 to $36.1M
        Jan 25, 2022 to May 31, 2022
      • Individual RAUM · $0 to $36.1M
        Jan 25, 2022 to May 31, 2022
      • RAUM · $0 to $36.1M
        Jan 25, 2022 to May 31, 2022
      • HQ city · MIAMI to NEW YORK
        Sep 28, 2021 to Oct 22, 2021
      • HQ state · FL to NY
        Sep 28, 2021 to Oct 22, 2021
      Signals
      1 dated events
      • ••• Locked
        Mar 17, 2020 · 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
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 30, 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026