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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Latest filing Jan 16, 2026
First filing on the tape Apr 9, 2025 · 3 filings
SEC status approved since May 9, 2025
RAUM
$129M
reported, Item 5.F
Discretionary
56%
of RAUM
Private clients
100%
$129M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$129M as of Jan 16, 2026
Apr 9, 2025$115M then
HNW client RAUM$125M as of Jan 16, 2026
Apr 9, 2025$112M then
State-registered IARs (5.B.3)1 as of Jan 16, 2026
Apr 9, 20251 then
Employees (5.A)1 as of Jan 16, 2026
Apr 9, 20251 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.3MderivedHNW RAUM over HNW clients
- Average account
- $4.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 56%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$125M97%
- Individuals$4.4M3.4%
- Individual clients
- 7reported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 30reported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| V••••• H••• S••• A•••••• | Key Biscayne, Fl | Mar 8, 2021 | 19 y | 2 |
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
- V••••• H••• S••• A•••••• from I•••• A••••••• L••Mar 8, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••• A••••••• V•••••• H••• · President/Chief Compliance Officercontrolsince 11/2020 · owns 75% or more
- A•••••• S••••••• M••••• V••••••• · Directorsince 01/2023 · 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
- Accounts · 36 to 30Aug 21, 2025 to Jan 16, 2026
- HNW clients · 17 to 15Aug 21, 2025 to Jan 16, 2026
- Discretionary RAUM · $66.6M to $72.2MAug 21, 2025 to Jan 16, 2026
- HNW RAUM · $112M to $125MAug 21, 2025 to Jan 16, 2026
- Individual RAUM · $2.8M to $4.4MAug 21, 2025 to Jan 16, 2026
- Non-discretionary RAUM · $48.3M to $57.2MAug 21, 2025 to Jan 16, 2026
- RAUM · $115M to $129MAug 21, 2025 to Jan 16, 2026
Signals
No event on the tape.
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
- 786-472-0187reportedpublic record, Form ADV, Jan 16, 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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026