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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Former SEC-registered adviser

P••••• A••••••••• D• I••••••••• L••

Former SEC-registered adviserMiami, FloridaCRD 311609SEC 801-120169IAPD
Latest filing Jun 20, 2023
First filing on the tape Dec 16, 2020 · 13 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$0 as of Jun 20, 2023
Dec 16, 2020$0 then
HNW client RAUM$0 as of Jun 20, 2023
Dec 16, 2020$0 then
State-registered IARs (5.B.3)0 as of Jun 20, 2023
Dec 16, 20200 then
Employees (5.A)5 as of Jun 20, 2023
Dec 16, 20205 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 20, 2023; every figure names its basis
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
2.5derivedItem 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
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M•••••• J•••••• P•••••Miami, FlFeb 1, 202317 y4
J•••• A••••• S•• R••••Miami, FlMar 4, 202612 y0
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount5 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A•••••• G••• O• · Chief Compliance Officercontrol
    since 06/2023 · owns less than 5%
  • S•••••••• N••••• C••••• · Chief Executive Officercontrol
    since 11/2020 · owns less than 5%
  • S••••••• G••••••• M••••• · Managing Directorcontrol
    since 11/2020 · owns less than 5%
  • T••••••••• F••••••• · Ownercontrol
    since 11/2020 · owns 75% or more of C•••• C•••••• S•••
Entity owners
  • P••••• H•••••• L•••••• · Owner
    direct · owns 75% or more
  • C•••• C•••••• S••• · Owner
    indirect · owns 50% to 75% of P••••• H•••••• L••••••
  • C•••• C•••••• S••• · Owner
    indirect · owns 75% or more of P••••• P••••••• S•
  • P••••• P••••••• S• · Owner
    indirect · owns 25% to 50% of P••••• H•••••• L••••••
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Miami, Fl · principal212
Easton, Ct000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Assets in custody · unset to 0.0
    Jan 23, 2023 to Apr 26, 2023
  • Custody of client assets · false to true
    Jan 23, 2023 to Apr 26, 2023
  • Accounts · 1 to 0
    Oct 17, 2022 to Jan 23, 2023
  • Non-discretionary RAUM · $1.1B to $0
    Oct 17, 2022 to Jan 23, 2023
  • RAUM · $1.1B to $0
    Oct 17, 2022 to Jan 23, 2023
  • Advisory employees · 5 to 2
    Aug 19, 2021 to Mar 31, 2022
  • Non-discretionary RAUM · $194M to $1.1B
    Aug 19, 2021 to Mar 31, 2022
  • RAUM · $194M to $1.1B
    Aug 19, 2021 to Mar 31, 2022
  • Accounts · 0 to 1
    Jan 7, 2021 to May 14, 2021
  • Non-discretionary RAUM · $0 to $194M
    Jan 7, 2021 to May 14, 2021
  • RAUM · $0 to $194M
    Jan 7, 2021 to May 14, 2021
Signals
11 dated events
  • D•••• G••••• D••••••••• left P••••• A••••••••• D• I••••••••• L•• for A•••••• I••••••••• I••• (registered 2026-03-23)
    Feb 23, 2026 · Advisor changed firm · fact
  • F••••••• E•••••• F•••••• T•••••• left P••••• A••••••••• D• I••••••••• L•• for Balanz (registered 2026-03-25)
    Jan 30, 2026 · Advisor changed firm · fact
  • A•••••• E• K•••••• left P••••• A••••••••• D• I••••••••• L•• for A••••••• W••••• M••••••••• L•• (registered 2025-10-30)
    Jul 9, 2025 · Advisor changed firm · fact
  • M••••••• V••••••• left P••••• A••••••••• D• I••••••••• L•• for B••• G••••• W••••• A•••••••• I••• (registered 2025-12-12)
    Apr 21, 2025 · Advisor changed firm · fact
  • G•• O• A••••• left P••••• A••••••••• D• I••••••••• L•• for A••••• M•••• F••••• O••••• (registered 2024-02-28)
    Sep 28, 2023 · Advisor changed firm · fact
  • K•••• R•••• S••• (Chief Compliance Officer) no longer on Schedule A of P••••• A••••••••• D• I••••••••• L•• (listed 2023-04-26, absent 2023-06-20)
    Jun 20, 2023 · Control person left · inference
  • R•••• S••• left P••••• A••••••••• D• I••••••••• L•• for I••••• A••••••• (registered 2024-01-18)
    Jun 20, 2023 · Advisor changed firm · fact
  • O Gil Aikins (Chief Compliance Officer) appeared on Schedule A of P••••• A••••••••• D• I••••••••• L••
    Jun 20, 2023 · Control person joined · fact
  • P••••• A••••••••• D• I••••••••• L•• reported RAUM $0, down 100% from $1.1B (2022-10-17 to 2023-01-23)
    Jan 23, 2023 · RAUM change · derived
  • P••••• A••••••••• D• I••••••••• L•• reported RAUM $1.1B, up 447% from $194.0M (2021-08-19 to 2022-03-31)
    Mar 31, 2022 · RAUM change · derived
  • P••••• A••••••••• D• I••••••••• L•• filed its initial SEC registration (Form ADV)
    Dec 16, 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
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026