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

P••••• S•••• C•••••• M••••••••• L••

Former SEC-registered adviserGuatemala City, CRD 325330SEC 801-127968IAPD
Latest filing Mar 20, 2025
First filing on the tape Apr 12, 2023 · 6 filings
SEC status approved since May 12, 2023
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM: $0
HNW client RAUM$0 as of Mar 20, 2025
Mar 21, 2024$0 then
State-registered IARs (5.B.3)1 as of Mar 20, 2025
Mar 21, 20241 then
Employees (5.A)1 as of Mar 20, 2025
Mar 21, 20241 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 20, 2025; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • J••••••••• N•••••• R•••• · Chief Executive Officer (Ceo) And Chief Compliance Officer (Cco)control
        since 11/2022 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · unset to 0.0
        Mar 21, 2024 to Mar 20, 2025
      • Financial planning clients · 0 to 0
        Mar 21, 2024 to Mar 20, 2025
      • HQ state · unset to
        Mar 21, 2024 to Mar 20, 2025
      • Discretionary RAUM · unset to 0.0
        Mar 21, 2024 to Mar 20, 2025
      • Non-discretionary RAUM · unset to 0.0
        Mar 21, 2024 to Mar 20, 2025
      • RAUM · unset to 0.0
        Mar 21, 2024 to Mar 20, 2025
      • Accounts · 0.0 to unset
        May 18, 2023 to Mar 21, 2024
      • Discretionary RAUM · 0.0 to unset
        May 18, 2023 to Mar 21, 2024
      • Non-discretionary RAUM · 0.0 to unset
        May 18, 2023 to Mar 21, 2024
      • RAUM · 0.0 to unset
        May 18, 2023 to Mar 21, 2024
      Signals
      2 dated events
      • P••••• S•••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02)
        Apr 1, 2026 · Left the SEC roster · derived
      • P••••• S•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 12, 2023 · 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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026