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
L••• A••••••• P•••••••
Legal name L••• A••••••• P••••••• L••
Latest filing Feb 24, 2026
First filing on the tape Apr 19, 2023 · 9 filings
SEC status approved since Nov 6, 2023
RAUM
$221M
reported, Item 5.F
Discretionary
64%
of RAUM
Private clients
100%
$221M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$73.8M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$221M as of Feb 24, 2026
Feb 14, 2024$164M then
HNW client RAUM$204M as of Feb 24, 2026
Feb 14, 2024$141M then
State-registered IARs (5.B.3)3 as of Feb 24, 2026
Feb 14, 20242 then
Employees (5.A)7 as of Feb 24, 2026
Feb 14, 20245 then
Private funds: no history
RAUM +3.1% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Feb 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $73.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 64%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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$204M92%
- Individuals$17.3M7.8%
- Individual clients
- 47reported
- HNW clients
- 66reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 113reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• M•••••• | Coral Gables, Fl | Apr 3, 2025 | 12 y | 1 |
| M••••• G••••••• D• C••••••• | Coral Gables, Fl | Apr 29, 2025 | 17 y | 5 |
| E•••••• D•• R•• | Coral Gables, Fl | Oct 22, 2025 | 15 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
- E•••••• D•• R•• from C•••• G••••• A•••••••Oct 22, 2025 · RIA to RIA
- M••••• G••••••• D• C••••••• from C•••• G••••• A•••••••Apr 29, 2025 · RIA to RIA
- G•••••• M•••••• from C•••• G••••• A•••••••Apr 3, 2025 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••• G••••• A•••••••Sep 18, 2023 · Coral Gables, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•• R••• E•••••• · Membercontrolsince 09/2023 · owns 10% to 25%
- G••••••• D• C•••••••• M••••• · Membercontrolsince 09/2023 · owns 5% to 10%
- M•••••••• O•••••••• C••••• · Membercontrolsince 09/2023 · owns 10% to 25%
- R•••••• G•••••••• J••••• N•• · Managing Director,Ccocontrolsince 03/2023 · 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 |
|---|---|---|---|---|---|
| Coral Gables, Fl · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 97 to 113Mar 14, 2025 to Feb 24, 2026
- Advisory employees · 5 to 6Mar 14, 2025 to Feb 24, 2026
- HNW clients · 55 to 66Mar 14, 2025 to Feb 24, 2026
- Individual clients · 42 to 47Mar 14, 2025 to Feb 24, 2026
- Employees · 6 to 7Mar 14, 2025 to Feb 24, 2026
- State-registered IARs · 2 to 3Mar 14, 2025 to Feb 24, 2026
- Discretionary RAUM · $135M to $141MMar 14, 2025 to Feb 24, 2026
- HNW RAUM · $197M to $204MMar 14, 2025 to Feb 24, 2026
- Individual RAUM · $18.1M to $17.3MMar 14, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $80.2M to $80.6MMar 14, 2025 to Feb 24, 2026
- RAUM · $215M to $221MMar 14, 2025 to Feb 24, 2026
- Accounts · 82 to 97Feb 20, 2024 to Mar 14, 2025
- Advisory employees · 4 to 5Feb 20, 2024 to Mar 14, 2025
- Advisory activities · 4 to 3Feb 20, 2024 to Mar 14, 2025
- HNW clients · 38 to 55Feb 20, 2024 to Mar 14, 2025
- Individual clients · 44 to 42Feb 20, 2024 to Mar 14, 2025
- Employees · 5 to 6Feb 20, 2024 to Mar 14, 2025
- Financial planning clients · unset to Feb 20, 2024 to Mar 14, 2025
- Discretionary RAUM · $101M to $135MFeb 20, 2024 to Mar 14, 2025
- HNW RAUM · $141M to $197MFeb 20, 2024 to Mar 14, 2025
- Individual RAUM · $22.9M to $18.1MFeb 20, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $62.2M to $80.2MFeb 20, 2024 to Mar 14, 2025
- RAUM · $164M to $215MFeb 20, 2024 to Mar 14, 2025
- Accounts · 59 to 82Nov 7, 2023 to Feb 14, 2024
- HNW clients · 25 to 38Nov 7, 2023 to Feb 14, 2024
- Individual clients · 34 to 44Nov 7, 2023 to Feb 14, 2024
- Discretionary RAUM · $98.6M to $101MNov 7, 2023 to Feb 14, 2024
- HNW RAUM · $96.3M to $141MNov 7, 2023 to Feb 14, 2024
- Individual RAUM · $16.0M to $22.9MNov 7, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $13.7M to $62.2MNov 7, 2023 to Feb 14, 2024
- RAUM · $112M to $164MNov 7, 2023 to Feb 14, 2024
- Advisory employees · 1 to 4Sep 25, 2023 to Nov 2, 2023
- Employees · 1 to 5Sep 25, 2023 to Nov 2, 2023
- State-registered IARs · 0 to 2Sep 25, 2023 to Nov 2, 2023
- Accounts · 0 to 59Jun 12, 2023 to Sep 25, 2023
- HNW clients · unset to 25.0Jun 12, 2023 to Sep 25, 2023
- Individual clients · unset to 34.0Jun 12, 2023 to Sep 25, 2023
- Discretionary RAUM · $0 to $98.6MJun 12, 2023 to Sep 25, 2023
- HNW RAUM · unset to 96264510.0Jun 12, 2023 to Sep 25, 2023
- Individual RAUM · unset to 16043422.0Jun 12, 2023 to Sep 25, 2023
Signals
5 dated events
- E•••••• D•• R•• (Member) appeared on Schedule A of L••• A••••••• P•••••••Nov 2, 2023 · Control person joined · fact
- Carlos Maldonado Olivares (Member) appeared on Schedule A of L••• A••••••• P•••••••Nov 2, 2023 · Control person joined · fact
- M••••• G••••••• D• C••••••• (Member) appeared on Schedule A of L••• A••••••• P•••••••Nov 2, 2023 · Control person joined · fact
- 2 advisors left C•••• G••••• A••••••• (Coral Gables, FL) for L••• A••••••• P••••••• on the same daySep 18, 2023 · Team lift-out · derived
- L••• A••••••• P••••••• filed its initial SEC registration (Form ADV)Apr 19, 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.
How to reach
public business contact points only, each with its source
- Website
- l••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (305) 772-7137reportedpublic record, Form ADV, Feb 24, 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
- $73.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026