DFX Intelligence

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M•••••• W•••••

Former SEC-registered adviserFormer SEC adviser· Miami, Florida

Former SEC-registered adviser, based in Miami, Florida.

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

As of 2021-08-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2021-08-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 309588 · SEC 801-119245 · 20 filingsShow

CRD 309588SEC 801-119245Legal name M•••••• W••••• A•••••••• L••First filing on the tape Jul 7, 2020, latest Aug 26, 2021IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

Filed figures over time · the tape starts Jul 7, 2020

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$0 as of Aug 26, 2021

Nov 9, 2020$0 then

HNW client RAUM: no history

State-registered IARs (5.B.3)2 as of Aug 26, 2021

Jul 7, 20203 then

Employees (5.A)4 as of Aug 26, 2021

Jul 7, 20203 then

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Aug 26, 2021; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $0derivedRAUM 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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody: yesreportedItem 9.A
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 0reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 clientsreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Where they went: the top destinations among the 2 most recent departures on the tape

N•••• W•••••2 advisors

Left, latest

E••••• S••• A•••••• to N•••• W•••••
Jul 27, 2021 · Other
A•• L••••• R•••• F••••• to N•••• W•••••
Jul 27, 2021 · Other

Joined, latest

none on the tape

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for N•••• W•••••
Jul 27, 2021 · Col Polanco, Miguel Hidalgo

Teams out Teams in

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••••••• J•••• C••••••• · Chief Financial Officercontrol
since 07/2021 · owns less than 5%
H•••• P••••••• W•••••• · Chief Compliance Officercontrol
since 08/2020 · owns less than 5%
M•••••• M••••••• J•••• · Ceocontrol
since 05/2021 · owns less than 5%
P••••••• D•••• E••••• E•••••• · Owner
since 07/2018 · owns 75% or more of M•••••• I••••••••• G•••• L••••••

Entity owners

M•••••• F•••••••• H••••••• L•• · Owner
direct · owns 75% or more
M•••••• I••••••••• G•••• L•••••• · Owner
indirect · owns 75% or more of M•••••• F•••••••• H••••••• L••

Related persons

Schedule D 7.A

M•••••• C••••••• L••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 3 to 2
Jul 28, 2021 to Aug 5, 2021
BD registered reps · 3 to 2
Jul 28, 2021 to Aug 5, 2021
Employees · 3 to 4
Jul 28, 2021 to Aug 5, 2021
State-registered IARs · 3 to 2
Jul 28, 2021 to Aug 5, 2021
Advisory employees · 7 to 3
May 17, 2021 to Jul 27, 2021

Full history · 32 changes

BD registered reps · 4 to 3
May 17, 2021 to Jul 27, 2021
Employees · 7 to 3
May 17, 2021 to Jul 27, 2021
Insurance-licensed employees · 3 to 2
May 17, 2021 to Jul 27, 2021
State-registered IARs · 5 to 3
May 17, 2021 to Jul 27, 2021
Other offices · 1 to 0
May 17, 2021 to Jul 27, 2021
Business name · M•••••• W••••• A•••••••• L•• to M•••••• W•••••
Feb 17, 2021 to Apr 14, 2021
Advisory employees · 2 to 7
Dec 23, 2020 to Feb 17, 2021
BD registered reps · 0 to 4
Dec 23, 2020 to Feb 17, 2021
Employees · 4 to 7
Dec 23, 2020 to Feb 17, 2021
Insurance-licensed employees · 0 to 3
Dec 23, 2020 to Feb 17, 2021
State-registered IARs · 2 to 5
Dec 23, 2020 to Feb 17, 2021
Other offices · 0 to 1
Dec 23, 2020 to Feb 17, 2021
Advisory employees · 3 to 2
Nov 9, 2020 to Dec 10, 2020
State-registered IARs · 3 to 2
Nov 9, 2020 to Dec 10, 2020
Related broker-dealer · false to true
Nov 9, 2020 to Dec 10, 2020
Accounts · unset to 0.0
Oct 16, 2020 to Nov 9, 2020
Assets in custody · unset to 0.0
Oct 16, 2020 to Nov 9, 2020
Custody of client assets · false to true
Oct 16, 2020 to Nov 9, 2020
HQ city · NEW YORK to MIAMI
Oct 16, 2020 to Nov 9, 2020
HQ state · NY to FL
Oct 16, 2020 to Nov 9, 2020
Other offices · 1 to 0
Oct 16, 2020 to Nov 9, 2020
Discretionary RAUM · unset to 0.0
Oct 16, 2020 to Nov 9, 2020
Non-discretionary RAUM · unset to 0.0
Oct 16, 2020 to Nov 9, 2020
RAUM · unset to 0.0
Oct 16, 2020 to Nov 9, 2020
Other offices · 0 to 1
Sep 28, 2020 to Oct 16, 2020
Employees · 3 to 4
Aug 20, 2020 to Sep 1, 2020
Financial planning clients · unset to 0
Jul 7, 2020 to Aug 18, 2020

Signals

4 dated events

••• Locked
Aug 5, 2021 · Control person joined · fact
••• Locked
May 7, 2021 · Control person left · inference
••• Locked
May 7, 2021 · Control person joined · fact
••• Locked
Jul 7, 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.

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: private clients.