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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SEC-registered adviser
A••••• A••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Sep 22, 2021 · 11 filings
SEC status approved since Oct 22, 2021
RAUM
$2.0B
reported, Item 5.F
Discretionary
29%
of RAUM
Private clients
38%
$770M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$184M
derived; firm RAUM over IAPD count
Employees
11
10 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$2.0B as of Mar 18, 2026
Feb 17, 2022$146M then
HNW client RAUM$767M as of Mar 18, 2026
Feb 17, 2022$146M then
State-registered IARs (5.B.3)10 as of Mar 18, 2026
Feb 17, 20221 then
Employees (5.A)11 as of Mar 18, 2026
Feb 17, 20221 then
Private funds: no history
RAUM +24% over the last fiscal year+19% a year over threeIARs 12 to 10
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
- RAUM per advisor
- $184MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 6derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.5MderivedHNW RAUM over HNW clients
- Average account
- $24.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 29%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
- 2.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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$767M100%
- Individuals$2.8M0.4%
- Individual clients
- 6reported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 84reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.38 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••• M••••• S••••• | Miami, Fl | Apr 22, 2022 | 23 y | 4 |
| R••••• I•••• D• I•••• | Miami, Fl | Jan 10, 2023 | 16 y | 1 |
| P•••• A•••••• L•••••• | Miami, Fl | Feb 24, 2023 | 16 y | 1 |
| S••••••• A•••••• B•••••• | Miami, Fl | Aug 3, 2023 | 23 y | 1 |
| A••• G••••••• | Miami, Fl | Jun 20, 2024 | 12 y | 1 |
| V•••••• A••••••• A••• | Miami, Fl | Jul 10, 2024 | 14 y | 1 |
| A••• O•••••••• | Miami, Fl | Jul 26, 2024 | 10 y | 1 |
| M•••• A••••• M••••• S••• V••••• | Miami, Fl | Feb 14, 2025 | 11 y | 0 |
| M•••••• N•••••• D• C••••• | Miami, Fl | Jul 28, 2026 | 10 y | 0 |
| A•••••• F•••••••• | Miami, Fl | Jul 28, 2026 | 10 y | 0 |
| C••••• A•••••• P••••••• P•••• | Miami, Fl | Aug 14, 2026 | 12 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
- F•••• M••••• S••••• from C••••• S••••• S••••••••• •••• L••Apr 22, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• S•••••••• A•••••• · Managing Partnercontrolsince 04/2025 · owns less than 5%
- F•••••• M•••••• S• · LLC Managercontrolsince 05/2021 · owns less than 5%
- I•••• D• I••••• R••••• · Managing Partnercontrolsince 04/2025 · owns less than 5%
- L••••••• P••••• A•••••• · Managing Partnercontrolsince 02/2021 · owns less than 5%
- S•••••• F••••• M••••• · Managing Partnercontrolsince 08/2021 · owns less than 5%
- F•••••• M•••••• S• · Shareholdercontrolsince 05/2021 · owns 25% to 50% of L•• C•••••• L••
- Z•••••• J•••••• J• · Shareholdercontrolsince 05/2021 · owns 25% to 50% of L•• C•••••• L••
- G•••••••• C•••••• J••••• · Chief Compliance Officersince 02/2022 · owns less than 5%
Entity owners
- F• S••••• L•• · Shareholderdirect · owns 25% to 50%
- J•• I••••••••• L•• · Shareholderdirect · owns 25% to 50%
- L•• C•••••• L•• · Ownerdirect · owns 50% to 75%
- C•••••• C••••••• S••• · Shareholderdirect · owns 10% to 25%
- R•• A•••••• L•• · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- L•• A•••• M••••••••• S•investment adviserpooled vehicle sponsorn
- L•• C••••••• S•••••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 11 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lima, Peru2 employees
- Buenos Aires, Argentina1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 18, 2026RAUM per account of $24,146,131 against a peer median of $813,262 (1333 comparable advisers, 98.0th percentile, 15.7 robust deviations)peers: independent wealth managers, $1B to $5B (1,333) · 98% percentile
- control person changedChange between filings · filing Mar 18, 2026F•••••• M•••••• S• (LLC MANAGER) left Schedule A between the filings of 2023-03-09 and 2026-03-18peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 18, 2026Z•••••• J•••••• J• (SHAREHOLDER) left Schedule A between the filings of 2023-03-09 and 2026-03-18peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 18, 2026I•••• D• I••••• R••••• (MANAGING PARTNER) appeared on Schedule A between the filings of 2023-03-09 and 2026-03-18peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 18, 2026B••••••• S•••••••• A•••••• (MANAGING PARTNER) appeared on Schedule A between the filings of 2023-03-09 and 2026-03-18peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 71 to 84Jun 9, 2025 to Mar 18, 2026
- Advisory employees · 12 to 10Jun 9, 2025 to Mar 18, 2026
- HNW clients · 46 to 57Jun 9, 2025 to Mar 18, 2026
- Employees · 14 to 11Jun 9, 2025 to Mar 18, 2026
- State-registered IARs · 12 to 10Jun 9, 2025 to Mar 18, 2026
- Discretionary RAUM · $451M to $597MJun 9, 2025 to Mar 18, 2026
- HNW RAUM · $552M to $767MJun 9, 2025 to Mar 18, 2026
- Individual RAUM · $2.3M to $2.8MJun 9, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $1.2B to $1.4BJun 9, 2025 to Mar 18, 2026
- RAUM · $1.6B to $2.0BJun 9, 2025 to Mar 18, 2026
- Business name · L•• W••••• A••••••• L•• to A••••• A••••••• L••Mar 31, 2025 to Jun 9, 2025
- Financial planning clients · 0 to 0Mar 31, 2025 to Jun 9, 2025
- Legal name · L•• W••••• A••••••• L•• to A••••• A••••••• L••Mar 31, 2025 to Jun 9, 2025
- Related adviser · true to falseMar 31, 2025 to Jun 9, 2025
- Accounts · 61 to 71Mar 15, 2024 to Mar 31, 2025
- Advisory employees · 7 to 12Mar 15, 2024 to Mar 31, 2025
- HNW clients · 34 to 46Mar 15, 2024 to Mar 31, 2025
- Individual clients · 9 to 6Mar 15, 2024 to Mar 31, 2025
- Employees · 8 to 14Mar 15, 2024 to Mar 31, 2025
- State-registered IARs · 6 to 12Mar 15, 2024 to Mar 31, 2025
- Discretionary RAUM · $413M to $451MMar 15, 2024 to Mar 31, 2025
- HNW RAUM · $474M to $552MMar 15, 2024 to Mar 31, 2025
- Individual RAUM · $2.3M to $2.3MMar 15, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.0B to $1.2BMar 15, 2024 to Mar 31, 2025
- RAUM · $1.4B to $1.6BMar 15, 2024 to Mar 31, 2025
- Accounts · 52 to 61Oct 27, 2023 to Mar 15, 2024
- Advisory employees · 3 to 7Oct 27, 2023 to Mar 15, 2024
- HNW clients · 26 to 34Oct 27, 2023 to Mar 15, 2024
- Employees · 5 to 8Oct 27, 2023 to Mar 15, 2024
- State-registered IARs · 3 to 6Oct 27, 2023 to Mar 15, 2024
- Other offices · 2 to 3Oct 27, 2023 to Mar 15, 2024
- Discretionary RAUM · $324M to $413MOct 27, 2023 to Mar 15, 2024
- HNW RAUM · $322M to $474MOct 27, 2023 to Mar 15, 2024
- Individual RAUM · $2.0M to $2.3MOct 27, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $874M to $1.0BOct 27, 2023 to Mar 15, 2024
- RAUM · $1.2B to $1.4BOct 27, 2023 to Mar 15, 2024
- Other offices · 1 to 2May 10, 2023 to May 17, 2023
- Accounts · 8 to 52Feb 17, 2022 to Mar 9, 2023
- Advisory employees · 1 to 3Feb 17, 2022 to Mar 9, 2023
- Advisory activities · 4 to 3Feb 17, 2022 to Mar 9, 2023
Signals
5 dated events
- C••••• J••••• G••••••• no longer registered at A••••• A••••••• L••; no later IA registration on IAPDDec 31, 2024 · a•••••• departure · fact
- J••••• C••••• G••••••• (Chief Compliance Officer) appeared on Schedule A of A••••• A••••••• L••Mar 9, 2023 · Control person joined · fact
- A•••••• P•••• L•••••• (Llc Manager) appeared on Schedule A of A••••• A••••••• L••Mar 9, 2023 · Control person joined · fact
- A••••• A••••••• L•• reported RAUM $1.2B, up 721% from $145.9M (2022-02-17 to 2023-03-09)Mar 9, 2023 · RAUM change · derived
- L•• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)Sep 22, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- L•• W••••• A••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- info@althumadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/althum-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- althumadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- +1 305-456-7645reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- althumadvisors.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $184Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026