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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Former SEC-registered adviser

D•••••••• C•••••• A•••• M••••••••• L••

STATE REGISTEREDPalm Beach Gardens, FloridaCRD 324549websiteIAPD
Latest filing Jun 25, 2026
First filing on the tape Jun 25, 2026 · 1 filings
RAUM
$50.1M
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
81%
$40.6M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jun 25, 2026; every figure names its basis
RAUM per advisor
$12.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
5derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.9MderivedHNW RAUM over HNW clients
Average account
$726,130derivedRAUM over accounts (5.F.2.f)
Discretionary
75%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.3derived3 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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$38.8M77%
  • Pooled investment vehicles$7.9M16%
  • Individuals$1.8M3.6%
  • Insurance companies$1.5M2.9%
  • Corporations and businesses$110,0140.2%
Individual clients
10reported
HNW clients
10reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
69reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••••••••• C••••• C•••••••Palm Beach Gardens, FlApr 20, 202312 y0
H••••• M••••• D•••••••••Palm Beach Gardens, FlMay 4, 202310 y6
J••••• A•••••• L•••••Palm Beach Gardens, FlOct 3, 202414 y4
R••• R• W••••Denver, Co Feb 24, 202525 y8
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Palm Beach Gardens, Fl · principal400
Houston, Tx000
Fallbrook, Ca000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
4 dated events
  • W•••••• D••• K••••••• left D•••••••• C•••••• A•••• M••••••••• L•• for V••••• I••••••••• A•••••••• L•• (registered 2026-02-04)
    Mar 28, 2025 · a•••••• firm change · fact
  • T•••••• G••••• H••••••• left D•••••••• C•••••• A•••• M••••••••• L•• for L••••••• I••••••••• G•••• (registered 2025-06-27)
    Mar 28, 2025 · a•••••• firm change · fact
  • M•••••• P•••••• M•••• left D•••••••• C•••••• A•••• M••••••••• L•• for H••••• A•••••• S•••••••• I••• (registered 2024-10-28)
    Sep 9, 2024 · a•••••• firm change · fact
  • G••••• S•••••••• left D•••••••• C•••••• A•••• M••••••••• L•• for L••••••• I••••••••• G•••• (registered 2025-02-11)
    Mar 5, 2024 · a•••••• firm change · 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
Firm profile
H••••://WWW.LINKEDIN.COM/COMPANY/D•••••••••reportedpublic record, Form ADV, Sep 18, 2026
Website
H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
(800) 305-3221reportedpublic record, Form ADV, Jun 25, 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
STATE REGISTEREDderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 15, 2026