DFX Intelligence
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O•••••• F•••••••• A•••••••• I•••
Wealth manager with institutional or fund businessSEC-registered· Miami, Florida
Wealth manager with institutional or fund business, based in Miami, Florida, reporting $226M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $226M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +4.3%
- Private clients
- 34% of RAUM, $77.5M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 1
Every filed figure, and the identifiersCRD 307787 · SEC 801-118279 · 10 filingsShowHide
CRD 307787SEC 801-118279First filing on the tape Feb 20, 2020, latest Mar 25, 2026SEC status approved since Mar 23, 2020IAPD
RAUM
$226M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
34%
$77.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$226M
derived; firm RAUM over IAPD count
Employees
2
1 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$226M as of Mar 25, 2026
Feb 23, 2021$154M then
HNW client RAUM$71.6M as of Mar 25, 2026
Feb 23, 2021$14.7M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Feb 23, 20211 then
Employees (5.A)2 as of Mar 25, 2026
Feb 23, 20211 then
Private funds: no history
RAUM +4.3% over the last fiscal year+7.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $226MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $2.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$148M66%
- High-net-worth individuals$71.6M32%
- Individuals$5.9M2.6%
- Individual clients
- 38reported
- HNW clients
- 21reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 82reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.34 fund_share=0.66 institutional_share=0.0 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 |
|---|---|---|---|---|
| A•••••• N•• O•••• | Miami, Fl | Apr 9, 2020 | 13 y | 1 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••• A••••••• N•• · Presidentcontrolsince 04/2019 · owns 50% to 75%
- P•••••••• M•••••• · Shareholder And Chief Compliance Officercontrolsince 01/2020 · owns 25% to 50%
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 · 83 to 82Feb 18, 2025 to Mar 25, 2026
- HNW clients · 18 to 21Feb 18, 2025 to Mar 25, 2026
- Individual clients · 39 to 38Feb 18, 2025 to Mar 25, 2026
- Discretionary RAUM · $216M to $226MFeb 18, 2025 to Mar 25, 2026
- HNW RAUM · $70.5M to $71.6MFeb 18, 2025 to Mar 25, 2026
- Individual RAUM · $6.0M to $5.9MFeb 18, 2025 to Mar 25, 2026
- RAUM · $216M to $226MFeb 18, 2025 to Mar 25, 2026
- Accounts · 70 to 83Mar 19, 2024 to Feb 18, 2025
- HNW clients · 17 to 18Mar 19, 2024 to Feb 18, 2025
- Individual clients · 28 to 39Mar 19, 2024 to Feb 18, 2025
- Financial planning clients · 0 to 0Mar 19, 2024 to Feb 18, 2025
- State-registered IARs · 0 to 1Mar 19, 2024 to Feb 18, 2025
- Discretionary RAUM · $201M to $216MMar 19, 2024 to Feb 18, 2025
- HNW RAUM · $64.9M to $70.5MMar 19, 2024 to Feb 18, 2025
- Individual RAUM · $3.5M to $6.0MMar 19, 2024 to Feb 18, 2025
- RAUM · $201M to $216MMar 19, 2024 to Feb 18, 2025
- Accounts · 63 to 70Mar 8, 2023 to Mar 19, 2024
- Discretionary RAUM · $181M to $201MMar 8, 2023 to Mar 19, 2024
- HNW RAUM · $61.1M to $64.9MMar 8, 2023 to Mar 19, 2024
- Individual RAUM · $4.4M to $3.5MMar 8, 2023 to Mar 19, 2024
- RAUM · $181M to $201MMar 8, 2023 to Mar 19, 2024
- Accounts · 61 to 63Mar 4, 2022 to Mar 8, 2023
- HNW clients · 14 to 17Mar 4, 2022 to Mar 8, 2023
- Individual clients · 25 to 28Mar 4, 2022 to Mar 8, 2023
- Discretionary RAUM · $194M to $181MMar 4, 2022 to Mar 8, 2023
- HNW RAUM · $60.9M to $61.1MMar 4, 2022 to Mar 8, 2023
- Individual RAUM · $10.1M to $4.4MMar 4, 2022 to Mar 8, 2023
- RAUM · $194M to $181MMar 4, 2022 to Mar 8, 2023
- Accounts · 56 to 61Oct 5, 2021 to Mar 4, 2022
- HNW clients · unset to 14.0Oct 5, 2021 to Mar 4, 2022
- Individual clients · 33 to 25Oct 5, 2021 to Mar 4, 2022
- Employees · 1 to 2Oct 5, 2021 to Mar 4, 2022
- Insurance-licensed employees · 1 to 0Oct 5, 2021 to Mar 4, 2022
- State-registered IARs · 1 to 0Oct 5, 2021 to Mar 4, 2022
- Discretionary RAUM · $154M to $194MOct 5, 2021 to Mar 4, 2022
- HNW RAUM · $14.7M to $60.9MOct 5, 2021 to Mar 4, 2022
- Individual RAUM · $44.7M to $10.1MOct 5, 2021 to Mar 4, 2022
- RAUM · $154M to $194MOct 5, 2021 to Mar 4, 2022
- Accounts · 70 to 56May 15, 2020 to Feb 23, 2021
- HNW clients · 10.0 to unsetMay 15, 2020 to Feb 23, 2021
Signals
2 dated events
- ••• LockedFeb 20, 2020 · Succession (Item 4) · fact
- ••• LockedFeb 20, 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 25, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $226Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026