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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

R•••• M•••• L••

Former SEC-registered adviserMiami, FloridaCRD 318725SEC 801-124697websiteIAPD
Latest filing Jan 22, 2025
First filing on the tape Mar 22, 2022 · 11 filings
SEC status approved since Apr 27, 2022
RAUM
$186,824
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$186,824 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$186,824 as of Jan 22, 2025
Mar 29, 2023$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 22, 2025
Mar 29, 20230 then
Employees (5.A)2 as of Jan 22, 2025
Mar 29, 20233 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 22, 2025; 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
$37,365derivedRAUM 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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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 individualsreportedItem 5.G
Custody
$186,052, 1 clientsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$186,824100%
Individual clients
1reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$186,052 for 1 clientsreported
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••••• J•••••• S•••••• · Chief Insurance Officercontrol
      since 01/2022 · owns less than 5%
    • O••••• G••••• S••••• · Chief Executive Officer, Chief Compliance Officercontrol
      since 01/2022 · owns less than 5%
    • R••••• J••••• R••• · Chief Development Officercontrol
      since 01/2022 · owns less than 5%
    • O••••• G••••• S••••• · Chief Executive Officercontrol
      since 10/2018 · owns F of R•••• I•••
    • M••••••••• M••••••• J•••• · Advisor
      since 05/2023 · owns less than 5%
    Entity owners
    • R•••• I••• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • R•••• I•• H••••••• L••
      real estaten
    • R•••• T•••• L••
      real estaten
    • W•••••• T•••• L••
      real estaten
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Miami, Fl · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 5
      Mar 28, 2024 to Jan 22, 2025
    • Advisory employees · 2 to 1
      Mar 28, 2024 to Jan 22, 2025
    • Individual clients · unset to 1.0
      Mar 28, 2024 to Jan 22, 2025
    • Assets in custody · unset to 186052.0
      Mar 28, 2024 to Jan 22, 2025
    • Custody of client assets · false to true
      Mar 28, 2024 to Jan 22, 2025
    • Employees · 4 to 2
      Mar 28, 2024 to Jan 22, 2025
    • Financial planning clients · unset to 0
      Mar 28, 2024 to Jan 22, 2025
    • Individual RAUM · unset to 186824.0
      Mar 28, 2024 to Jan 22, 2025
    • Non-discretionary RAUM · $0 to $186,824
      Mar 28, 2024 to Jan 22, 2025
    • RAUM · $0 to $186,824
      Mar 28, 2024 to Jan 22, 2025
    • Advisory employees · 1 to 2
      May 15, 2023 to Jun 8, 2023
    • Employees · 3 to 4
      May 15, 2023 to Jun 8, 2023
    Signals
    4 dated events
    • R•••• M•••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $186,824)
      Apr 1, 2026 · Left the SEC roster · derived
    • M•••••• J•••• M•••••••• no longer registered at R•••• M•••• L••; no later IA registration on IAPD
      Dec 31, 2023 · Advisor departure · fact
    • A•••• C•••• (Chief Operating Officer, Chief Compliance Officer, Chief Investment Officer) no longer on Schedule A of R•••• M•••• L•• (listed 2022-04-26, absent 2023-03-29)
      Mar 29, 2023 · Control person left · inference
    • R•••• M•••• L•• filed its initial SEC registration (Form ADV)
      Mar 22, 2022 · 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