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
C••••••• C•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jun 25, 2024 · 5 filings
SEC status approved since Jul 26, 2024
RAUM
$1.1B
reported, Item 5.F
Discretionary
0.6%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$211M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
38
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$1.1B as of Mar 27, 2026
Jan 24, 2025$587M then
HNW client RAUM$0 as of Mar 27, 2026
Jan 24, 2025$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Jan 24, 20250 then
Employees (5.A)2 as of Mar 27, 2026
Jan 24, 20252 then
Private funds38 as of Mar 27, 2026
Jan 24, 202531 then
RAUM +51% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $211MderivedRAUM 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
- $28.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.6%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +51%derivedbetween 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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.1B, 3 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.1B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 37reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 3 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••••• J• U•••••• | Guaynabo, Pr | Sep 6, 2024 | 12 y | 0 |
| G•••••• A•••• | Guaynabo, Pr | Dec 1, 2025 | 11 y | 0 |
| C••••••• M•••• D•••••••• M••••••• | Guaynabo, Pr | Jan 12, 2026 | 11 y | 0 |
| M•••• T••••• D•• T••• | Guaynabo, Pr | Feb 2, 2026 | 13 y | 0 |
| J•••• A••••• R•••• N••••• | Guaynabo, Pr | Mar 11, 2026 | 10 y | 1 |
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•••• A••••• R•••• N••••• from S••••••••• A•••••••• I•••Mar 11, 2026 · Other
Private funds
22 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- U••••••• F••••••••• J• · Managercontrolsince 02/2022 · owns 50% to 75%
- A••••• G•••••• · Membercontrolsince 04/2020 · owns 50% to 75% of C••••••• G•••• L••
- I•••••••• A••• C••••••• · Membercontrolsince 04/2020 · owns 50% to 75% of C••••••• G•••• L••
- D•••••••• M•••••••• C•••••••• M•••• · Chief Compliance Officersince 12/2023 · owns less than 5%
Entity owners
- C••••••• G•••• L•• · Managerdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Guaynabo, Pr · principal | 5 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- many private funds relative to firm sizeStatic outlier · filing Mar 27, 2026private funds per $1B of RAUM of 36.1 against a peer median of 4.3 (949 comparable advisers, 99.0th percentile, 10.2 robust deviations)peers: asset managers, $1B to $5B (949) · 99% percentile
- affiliate changedChange between filings · filing Mar 27, 2026broker-dealer affiliate (Item 7.A.1): no on the filing of 2025-04-08, yes on the filing of 2026-03-27peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Accounts · 30 to 37Apr 8, 2025 to Mar 27, 2026
- Pooled vehicle clients · 2 to 3Apr 8, 2025 to Mar 27, 2026
- Assets in custody · $700M to $1.1BApr 8, 2025 to Mar 27, 2026
- Private funds · 30 to 38Apr 8, 2025 to Mar 27, 2026
- Discretionary RAUM · $3.0M to $6.8MApr 8, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $697M to $1.0BApr 8, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $700M to $1.1BApr 8, 2025 to Mar 27, 2026
- RAUM · $700M to $1.1BApr 8, 2025 to Mar 27, 2026
- Related broker-dealer · false to trueApr 8, 2025 to Mar 27, 2026
- Accounts · 2 to 30Jan 24, 2025 to Apr 8, 2025
- Assets in custody · $587M to $700MJan 24, 2025 to Apr 8, 2025
- Financial planning clients · 0 to 0Jan 24, 2025 to Apr 8, 2025
- Private funds · 31 to 30Jan 24, 2025 to Apr 8, 2025
- Discretionary RAUM · $587M to $3.0MJan 24, 2025 to Apr 8, 2025
- Non-discretionary RAUM · $0 to $697MJan 24, 2025 to Apr 8, 2025
- Pooled vehicle RAUM · $587M to $700MJan 24, 2025 to Apr 8, 2025
- RAUM · $587M to $700MJan 24, 2025 to Apr 8, 2025
- Private funds · 22 to 31Sep 6, 2024 to Jan 24, 2025
- Private funds · 44 to 22Jun 25, 2024 to Sep 6, 2024
Signals
2 dated events
- C••••••• C•••••• M••••••••• L•• reported RAUM $1.1B, up 51% from $700.0M (2025-04-08 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- C••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 25, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
- C••••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 787-231-8042reportedpublic record, Form ADV, Mar 27, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $211Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026