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•••••• C•••• I••••••••• A••••••
Latest filing Aug 17, 2026
First filing on the tape May 21, 2025 · 5 filings
SEC status approved since May 30, 2025
RAUM
$204M
reported, Item 5.F
Discretionary
20%
of RAUM
Private clients
37%
$75.6M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$34.0M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$204M as of Aug 17, 2026
May 21, 2025$109M then
HNW client RAUM$14.3M as of Aug 17, 2026
May 21, 2025$0 then
State-registered IARs (5.B.3)5 as of Aug 17, 2026
May 21, 20252 then
Employees (5.A)5 as of Aug 17, 2026
May 21, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 17, 2026; every figure names its basis
- RAUM per advisor
- $34.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 186derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $169,110derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 20%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 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 individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $41.5MreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- an independent public accountant performs a surprise examination (9.C.1)
- 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$129M63%
- Individuals$61.3M30%
- High-net-worth individuals$14.3M7.0%
- Individual clients
- 1,107reported
- HNW clients
- 9reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,207reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.37 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•• S••••• B••••• R•••••• | Miami, Fl | Jun 16, 2023 | 15 y | 0 |
| F••••• H••••• P•••• | Miami, Fl | Sep 12, 2025 | 11 y | 0 |
| J••••• E•••••• G•••••• | Miami, Fl | Nov 3, 2025 | 20 y | 0 |
| J••• P•••• D•••• | Miami, Fl | May 12, 2026 | 23 y | 4 |
| V•••••• E••••• | Miami, Fl | Aug 6, 2026 | 10 y | 0 |
| S••••••• G•••••••• T•••••• | Miami, Fl | Sep 8, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J••• P•••• D•••• from J••• M••••• S••••••••• L••May 12, 2026 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• R••••••• L••• S••••• · Vice Presidentcontrolsince 02/2023 · owns less than 5%
- F••••••• L•••• F••••••• · Presidentcontrolsince 02/2023 · owns less than 5%
- G•••••••• C•••••• J••••• · Chief Compliance Officersince 12/2022 · owns less than 5%
Entity owners
- A•••••• V•••••• C••••••••• D• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 6 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 551 to 1,207Sep 16, 2025 to Mar 20, 2026
- Advisory employees · 1 to 5Sep 16, 2025 to Mar 20, 2026
- BD registered reps · 1 to 0Sep 16, 2025 to Mar 20, 2026
- Corporate clients · unset to 91.0Sep 16, 2025 to Mar 20, 2026
- HNW clients · 0 to 9Sep 16, 2025 to Mar 20, 2026
- Individual clients · 490 to 1,107Sep 16, 2025 to Mar 20, 2026
- Employees · 3 to 5Sep 16, 2025 to Mar 20, 2026
- State-registered IARs · 2 to 5Sep 16, 2025 to Mar 20, 2026
- Discretionary RAUM · $18.9M to $41.5MSep 16, 2025 to Mar 20, 2026
- HNW RAUM · $0 to $14.3MSep 16, 2025 to Mar 20, 2026
- Individual RAUM · $39.2M to $61.3MSep 16, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $90.0M to $163MSep 16, 2025 to Mar 20, 2026
- RAUM · $109M to $204MSep 16, 2025 to Mar 20, 2026
- Wrap assets (sponsor) · $12.2M to $0Sep 16, 2025 to Mar 20, 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
- 954-330-1741reportedpublic record, Form ADV, Aug 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
- $34.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026