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
D••••••••• A•••••••
Legal name D••••••••• I••••••••• A•••••• U•• L••
Latest filing Jun 10, 2026
First filing on the tape Nov 14, 2022 · 21 filings
SEC status approved since Dec 13, 2022
RAUM
$120M
reported, Item 5.F
Discretionary
36%
of RAUM
Private clients
36%
$43.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$120M as of Jun 10, 2026
Feb 3, 2023$0 then
HNW client RAUM$0 as of Jun 10, 2026
Feb 3, 2023$0 then
State-registered IARs (5.B.3)0 as of Jun 10, 2026
Feb 3, 20230 then
Employees (5.A)8 as of Jun 10, 2026
Feb 3, 20232 then
Private funds: no history
RAUM +10% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 10, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 360derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $332,976derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 36%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +193%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $120MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Banks and thrifts$77.2M64%
- Individuals$43.0M36%
- Individual clients
- 360reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 361reported
- Financial planning clients
- reported
- Wrap fee programs
- $120M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.36 fund_share=0.0 institutional_share=0.0 related_bd=true 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 |
|---|---|---|---|---|
| M•••••• D•• P•••• S•••••• R•••• | Miami, Fl | Mar 14, 2023 | 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•••••• I•••• to P•••••••• R•••••••• A•••••• G••••• I•••Apr 20, 2023 · Other
Joined, latest
- M•••••• D•• P•••• S•••••• R•••• from S••••• I••••••••• A••••••• I••Mar 14, 2023 · RIA to a newly registered adviser
- R•••••• I•••• from A•••••• I••••••••• I•••Feb 25, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• R•••••• · Ccocontrolsince 06/2023 · owns less than 5%
Entity owners
- D••••••••• C••••••••• S••• C••••••••• D• B•••• · Managing Member / Direct Ownerdirect · owns 75% or more
- B•••• D••••••••• S••• · Indirect Owner / Memberindirect · owns 75% or more of D••••••••• C••••••••• S••• C••••••••• D• B••••
Related persons
Schedule D 7.A
- B•••• D••••••••• ••••• R•••• S•••n
- B•••• D••••••••• ••••••• S•••n
- B•••• D••••••••• H••••••• S•••n
- B•••• D••••••••• S•••y
- B•••• D••••••••• S••••••••• S•••n
- B•••• D••••••••• I••••••••• ••••••• S•••n
- C••••••• D• S•••••• B•••••• S•••real estaten
- C••••••••• D••••••••• ••••• R•••• S•••n
- C••••••••• F••••••••• D••••••••• S•••y
- C••••••••• D••••••••• P••••• S•••broker-dealern
- D••••••••• C••••••••• S••• C••••••••• D• B••••broker-dealery
- D••••••••• P••••• D• B•••• ••••• R•••• S•••broker-dealern
- D••••••••• S•••••• ••••• R•••• S•••real estaten
- D••••••••• S•••••• H••••••• S•••real estaten
- D••••••••• S•••••• S••• •• S••••••••real estaten
- F••••••••• D••••••••• S•••n
- S•••••• C••••••••• B•••••• S•••real estaten
Offices
Schedule D 1.F, the 25 largest
- Bogata, Colombia1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Apr 7, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $109,155,203 to $120,204,357, advisors 0 to 0, private clients 123 to 360, offices 1 to 1 (2025-03-31 to 2026-04-07)peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Apr 7, 2026institutional share of RAUM moved from 87.0% to 64.0% between the annual amendments of 2025-03-31 and 2026-04-07peers: independent wealth managers, $100M to $500M (5,676)
- discretionary share shiftChange between filings · filing Apr 7, 2026discretionary share of RAUM moved from 10.0% to 36.0% between the annual amendments of 2025-03-31 and 2026-04-07peers: independent wealth managers, $100M to $500M (5,676)
- client count surgeChange between filings · filing Apr 7, 2026individual and HNW clients (Item 5.D) moved from 123.0 to 360.0 (+193.0%) between the annual amendments of 2025-03-31 and 2026-04-07; the peer median change was +3.0% (3309 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 100% percentile
- client mix shiftChange between filings · filing Apr 7, 2026private-client share of RAUM moved from 13.0% to 36.0% between the annual amendments of 2025-03-31 and 2026-04-07peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 6 to 5Mar 31, 2026 to Apr 7, 2026
- Employees · 7 to 8Mar 31, 2026 to Apr 7, 2026
- Accounts · 126 to 361Jan 30, 2026 to Mar 31, 2026
- Advisory employees · 5 to 6Jan 30, 2026 to Mar 31, 2026
- Individual clients · 123 to 360Jan 30, 2026 to Mar 31, 2026
- Discretionary RAUM · $10.8M to $43.0MJan 30, 2026 to Mar 31, 2026
- Individual RAUM · $14.2M to $43.0MJan 30, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $98.3M to $77.2MJan 30, 2026 to Mar 31, 2026
- RAUM · $109M to $120MJan 30, 2026 to Mar 31, 2026
- Wrap assets (sponsor) · $109M to $120MJan 30, 2026 to Mar 31, 2026
- Accounts · 56 to 126May 9, 2024 to Mar 31, 2025
- Advisory employees · 2 to 5May 9, 2024 to Mar 31, 2025
- Individual clients · 55 to 123May 9, 2024 to Mar 31, 2025
- Employees · 4 to 7May 9, 2024 to Mar 31, 2025
- Financial planning clients · unset to May 9, 2024 to Mar 31, 2025
- Discretionary RAUM · $4.1M to $10.8MMay 9, 2024 to Mar 31, 2025
- Individual RAUM · $4.1M to $14.2MMay 9, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $118M to $98.3MMay 9, 2024 to Mar 31, 2025
- RAUM · $122M to $109MMay 9, 2024 to Mar 31, 2025
- Wrap assets (sponsor) · $4.1M to $109MMay 9, 2024 to Mar 31, 2025
- Accounts · 45 to 56Dec 8, 2023 to Mar 28, 2024
- Advisory employees · 1 to 2Dec 8, 2023 to Mar 28, 2024
- Individual clients · 44 to 55Dec 8, 2023 to Mar 28, 2024
- Employees · 2 to 4Dec 8, 2023 to Mar 28, 2024
- Other offices · 0 to 1Dec 8, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.0M to $4.1MDec 8, 2023 to Mar 28, 2024
- Individual RAUM · $3.0M to $4.1MDec 8, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $111M to $118MDec 8, 2023 to Mar 28, 2024
- RAUM · $114M to $122MDec 8, 2023 to Mar 28, 2024
- Wrap assets (sponsor) · $0 to $4.1MDec 8, 2023 to Mar 28, 2024
- Accounts · 0 to 45Aug 31, 2023 to Dec 8, 2023
- Individual clients · 0 to 44Aug 31, 2023 to Dec 8, 2023
- Discretionary RAUM · $0 to $3.0MAug 31, 2023 to Dec 8, 2023
- Individual RAUM · $0 to $3.0MAug 31, 2023 to Dec 8, 2023
- Non-discretionary RAUM · $0 to $111MAug 31, 2023 to Dec 8, 2023
- RAUM · $0 to $114MAug 31, 2023 to Dec 8, 2023
- Employees · 1 to 2Dec 6, 2022 to Feb 3, 2023
- Business name · D••••••••• I••••••••• A•••••• U•• L•• to D••••••••• A•••••••Nov 14, 2022 to Dec 6, 2022
Signals
5 dated events
- J••••• C••••• G••••••• (Chief Compliance Officer) no longer on Schedule A of D••••••••• A••••••• (listed 2023-07-18, absent 2023-07-18)Jul 18, 2023 · Control person left · inference
- R•••••• G••••••• (Cco) appeared on Schedule A of D••••••••• A•••••••Jul 18, 2023 · Control person joined · fact
- R•••••• I•••• Vantini (Chief Executive Officer) no longer on Schedule A of D••••••••• A••••••• (listed 2023-02-03, absent 2023-05-19)May 19, 2023 · Control person left · inference
- R•••••• I•••• left D••••••••• A••••••• for P•••••••• R•••••••• A•••••• G••••• I••• (registered 2023-09-18)Apr 20, 2023 · a•••••• firm change · fact
- D••••••••• I••••••••• A•••••• U•• L•• filed its initial SEC registration (Form ADV)Nov 14, 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.
How to reach
public business contact points only, each with its source
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 786-238-7925reportedpublic record, Form ADV, Jun 10, 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
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026