DFX Intelligence

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SEC-registered adviser

B••• W••••• M••••••••• L••

Independent wealth managerMiami, FloridaCRD 323979SEC 801-134990IAPD
Latest filing Mar 30, 2026
First filing on the tape Dec 9, 2025 · 2 filings
SEC status approved since Dec 11, 2025
RAUM
$164M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$164M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$54.8M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$164M as of Mar 30, 2026
Dec 9, 2025$148M then
HNW client RAUM$164M as of Mar 30, 2026
Dec 9, 2025$148M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Dec 9, 20253 then
Employees (5.A)3 as of Mar 30, 2026
Dec 9, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 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
RAUM per advisor
$54.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$2.5MderivedRAUM 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
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 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 assets, hourlyreportedItem 5.E
Advisory activities
portfolio management for individuals, otherreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$164M100%
Individual clients
n/areported
HNW clients
65reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
65reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
L••• F••••• L•••••• P••••••Chartered Financial AnalystMiami, FlMar 3, 202311 y0
A••••• W••••••• L••••Miami, FlApr 13, 202317 y2
L••• S••••••••Santiago Sep 30, 202418 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L•••••• P••••••• L••• F••••• · Ciocontrol
      since 09/2022 · owns less than 5%
    • U•••• L•••• P••••••• · Ccocontrol
      since 09/2022 · owns less than 5%
    Entity owners
    • B••• U• I•• · 100% Owner
      direct · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Miami, Fl · principal300
    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 Mar 30, 2026
      discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)
      peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 61 to 65
      Dec 9, 2025 to Mar 30, 2026
    • HNW clients · 61 to 65
      Dec 9, 2025 to Mar 30, 2026
    • HNW RAUM · $148M to $164M
      Dec 9, 2025 to Mar 30, 2026
    • Non-discretionary RAUM · $148M to $164M
      Dec 9, 2025 to Mar 30, 2026
    • RAUM · $148M to $164M
      Dec 9, 2025 to Mar 30, 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
    786-266-4597reportedpublic record, Form ADV, Mar 30, 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
    Independent wealth managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $54.8Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026