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
S••••••• W••••• M••••••••• L••
Latest filing May 15, 2026
First filing on the tape Nov 7, 2021 · 15 filings
SEC status approved since Dec 7, 2021
RAUM
$210M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.8%
$1.6M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$69.9M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$210M as of May 15, 2026
Mar 31, 2022$110M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of May 15, 2026
Mar 31, 20221 then
Employees (5.A)4 as of May 15, 2026
Mar 31, 20222 then
Private funds: no history
RAUM +14% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of May 15, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $69.9MderivedRAUM 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
- $35.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- $210MreportedItem 5.I
- Custody
- $210M, 6 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$208M99%
- Individuals$1.6M0.8%
- Individual clients
- 5reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $210M for 6 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.01 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F••••••• C••••• M••••••••• | Coral Gables, Fl | Apr 13, 2022 | 20 y | 0 |
| L•••• D••••• | Coral Gables, Fl | Jun 9, 2025 | 12 y | 0 |
| G•••••• C• F••••• | Coral Gables, Fl | Jun 10, 2025 | 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
- R••••• L••••• to O•••• F•••••••• A••••••• L••Nov 16, 2022 · Other
Joined, latest
- G•••••• C• F••••• from B••••• P••••• I••••••••• A•••••• L••Jun 10, 2025 · Other
- R••••• L••••• from W••••••Jan 24, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• L•••• · Managing Membercontrolsince 12/2021 · owns less than 5%
- M••••••••• F•••••••• C••••• · Managing Membercontrolsince 10/2021 · owns less than 5%
- B•••••••• A•••••••• · Trusteecontrolsince 01/2021 · owns F of B••••••• S••••• T••••
- B•••••••• H••••• D••••• · Ownercontrolsince 10/2021 · owns 50% to 75% of B••••••• S••••• T••••
- R•••• K••••• A•••••• · Chief Compliance Officersince 10/2022 · owns less than 5%
Entity owners
- S••••••• B••••••••• I••• · Ownerdirect · owns 75% or more
- T•• P•••••• T•••• C••••••••• L•••••• · Trusteeindirect · owns F of B••••••• S••••• T••••
- B••••••• S••••• T•••• · Ownerindirect · owns 75% or more of S••••••• B••••••••• I•••
Related persons
Schedule D 7.A
- S••••••• B•••custodiann
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Coral Gables, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing May 15, 2026discretionary share of RAUM of 0% against a peer median of 100% (212 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $100M to $500M (212) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 7 to 6Oct 17, 2025 to Mar 30, 2026
- Individual clients · 6 to 5Oct 17, 2025 to Mar 30, 2026
- Assets in custody · $203M to $210MOct 17, 2025 to Mar 30, 2026
- Individual RAUM · $1.5M to $1.6MOct 17, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $203M to $210MOct 17, 2025 to Mar 30, 2026
- RAUM · $203M to $210MOct 17, 2025 to Mar 30, 2026
- Accounts · 6 to 7Mar 28, 2025 to Oct 17, 2025
- Individual clients · 5 to 6Mar 28, 2025 to Oct 17, 2025
- Assets in custody · $185M to $203MMar 28, 2025 to Oct 17, 2025
- Financial planning clients · 0 to 0Mar 28, 2025 to Oct 17, 2025
- Individual RAUM · $623,151 to $1.5MMar 28, 2025 to Oct 17, 2025
- Non-discretionary RAUM · $185M to $203MMar 28, 2025 to Oct 17, 2025
- RAUM · $185M to $203MMar 28, 2025 to Oct 17, 2025
- Wrap assets (manager) · unset to 0.0Mar 28, 2025 to Oct 17, 2025
- Wrap assets (sponsor) · unset to 0.0Mar 28, 2025 to Oct 17, 2025
- Accounts · 17 to 6Mar 22, 2024 to Mar 28, 2025
- Individual clients · 16 to 5Mar 22, 2024 to Mar 28, 2025
- Assets in custody · $173M to $185MMar 22, 2024 to Mar 28, 2025
- Discretionary RAUM · $173M to $0Mar 22, 2024 to Mar 28, 2025
- Individual RAUM · $7,834 to $623,151Mar 22, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $7,834 to $185MMar 22, 2024 to Mar 28, 2025
- RAUM · $173M to $185MMar 22, 2024 to Mar 28, 2025
- Accounts · 1 to 17Mar 7, 2023 to Mar 22, 2024
- Advisory employees · 2 to 3Mar 7, 2023 to Mar 22, 2024
- Individual clients · unset to 16.0Mar 7, 2023 to Mar 22, 2024
- Assets in custody · $146M to $173MMar 7, 2023 to Mar 22, 2024
- Employees · 3 to 4Mar 7, 2023 to Mar 22, 2024
- State-registered IARs · 2 to 3Mar 7, 2023 to Mar 22, 2024
- Discretionary RAUM · $0 to $173MMar 7, 2023 to Mar 22, 2024
- Individual RAUM · unset to 7834.0Mar 7, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $146M to $7,834Mar 7, 2023 to Mar 22, 2024
- RAUM · $146M to $173MMar 7, 2023 to Mar 22, 2024
- Assets in custody · $0 to $146MNov 16, 2022 to Mar 7, 2023
- Non-discretionary RAUM · $110M to $146MNov 16, 2022 to Mar 7, 2023
- RAUM · $110M to $146MNov 16, 2022 to Mar 7, 2023
- Assets in custody · unset to 0.0Jun 8, 2022 to Sep 2, 2022
- Custody of client assets · false to trueJun 8, 2022 to Sep 2, 2022
- Employees · 2 to 3Jun 8, 2022 to Sep 2, 2022
- State-registered IARs · 1 to 2Jun 8, 2022 to Sep 2, 2022
- Accounts · 60 to 1Nov 15, 2021 to Mar 31, 2022
Signals
4 dated events
- R••••• L••••• left S••••••• W••••• M••••••••• L•• for O•••• F•••••••• A••••••• L•• (registered 2023-07-31)Nov 16, 2022 · a•••••• firm change · fact
- L•••• D••••• (Managing Member) appeared on Schedule A of S••••••• W••••• M••••••••• L••Jun 8, 2022 · Control person joined · fact
- A•••••••• B••••••• (Trustee) appeared on Schedule A of S••••••• W••••• M••••••••• L••Nov 15, 2021 · Control person joined · fact
- S••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 7, 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.
How to reach
public business contact points only, each with its source
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 305-567-5524reportedpublic record, Form ADV, May 15, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $69.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026