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

S•••••••• C•••••• P•••••••• L••

Former SEC-registered adviserMiami, FloridaCRD 312611SEC 801-120375IAPD
Latest filing Aug 18, 2022
First filing on the tape Jan 25, 2021 · 6 filings
RAUM
$285M
reported, Item 5.F
Discretionary
100%
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
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$285M as of Jun 21, 2022
Aug 4, 2021$682M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 21, 2022
Aug 4, 20210 then
Employees (5.A)9 as of Jun 21, 2022
Aug 4, 20217 then
Private funds: no history
RAUM -58% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 18, 2022; 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
$285MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
-58%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
  • Investment companies$285M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
      • C••••••••• A•••••• · Chief Executive Officer And Managing Membercontrol
        since 12/2020 · owns 75% or more
      • L••••• M••••••• J• · Chief Compliance Officercontrol
        since 06/2021 · owns less than 5%
      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
      • Advisory employees · 5 to 4
        Nov 18, 2021 to Jun 21, 2022
      • BD registered reps · 2 to 5
        Nov 18, 2021 to Jun 21, 2022
      • Employees · 7 to 9
        Nov 18, 2021 to Jun 21, 2022
      • Discretionary RAUM · $682M to $285M
        Nov 18, 2021 to Jun 21, 2022
      • RAUM · $682M to $285M
        Nov 18, 2021 to Jun 21, 2022
      • Accounts · unset to 1.0
        Jan 25, 2021 to Jun 24, 2021
      • Advisory employees · 1 to 5
        Jan 25, 2021 to Jun 24, 2021
      • BD registered reps · 0 to 2
        Jan 25, 2021 to Jun 24, 2021
      • Employees · 1 to 7
        Jan 25, 2021 to Jun 24, 2021
      • HQ city · unset to MIAMI
        Jan 25, 2021 to Jun 24, 2021
      • HQ state · unset to FL
        Jan 25, 2021 to Jun 24, 2021
      • Discretionary RAUM · unset to 681689757.0
        Jan 25, 2021 to Jun 24, 2021
      • Non-discretionary RAUM · unset to 0.0
        Jan 25, 2021 to Jun 24, 2021
      • RAUM · unset to 681689757.0
        Jan 25, 2021 to Jun 24, 2021
      Signals
      3 dated events
      • S•••••••• C•••••• P•••••••• L•• reported RAUM $284.8M, down 58% from $681.7M (2021-11-18 to 2022-06-21)
        Jun 21, 2022 · RAUM change · derived
      • J M•••••• L•••• (Chief Compliance Officer) appeared on Schedule A of S•••••••• C•••••• P•••••••• L••
        Jun 24, 2021 · Control person joined · fact
      • S•••••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 25, 2021 · 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