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

A•••• D••••• A••••••• L••

Former SEC-registered adviserCoral Gables, FloridaCRD 327473SEC 801-128599IAPD
Latest filing Aug 21, 2023
First filing on the tape Jul 20, 2023 · 4 filings
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
19
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$0 as of Aug 21, 2023
Jul 20, 2023$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Aug 21, 2023
Jul 20, 20237 then
Employees (5.A)19 as of Aug 21, 2023
Jul 20, 202319 then
Private funds1 as of Aug 21, 2023
Jul 20, 20231 then
Practice profile
derived from the filing of Aug 21, 2023; 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
2.7derivedItem 5.A over advisors
Advisors per office
7.0derived1 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, performance-basedreportedItem 5.E
Advisory activities
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• D••••• I•••••••• I• L•Private Equity Fund$01Jul 20, 2023
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• J•••••• E••••• · Chief Executive Officercontrol
        since 06/2023 · owns 75% or more
      • D••••••• J•••••• E••••• · M••••••control
        since 12/2021 · owns 75% or more of J••• H••••••• L••
      • B••••••• G•••• J• · Chief Financial Officer
        since 06/2023 · owns less than 5%
      • B•••• A••• D•••• · President
        since 06/2023 · owns less than 5%
      • J••••• K•••••• J••• · Chief Compliance Officer
        since 06/2023 · owns less than 5%
      • K•••••• A•••• L••••••• · Chief Administrative Officer
        since 06/2023 · owns less than 5%
      • R••• J•••• P••••• · Chief Revenue Officer
        since 06/2023 · owns less than 5%
      Entity owners
      • A•••• D••••• H••••••• L•• · M••••••
        indirect · owns 75% or more of A•••• D••••• L••
      • D•••••• C•••••• L•• · M••••••
        indirect · owns 75% or more of D•••••• P•••••• C•••••• P•••••••
      • D•••••• C•••••• P••••••• L•• · Member
        indirect · owns 75% or more of D•• A•••• P••••••• L••
      • D•••••• E••••••••• L•• · M••••••
        indirect · owns 75% or more of D•••••• C•••••• P••••••• L••
      • D•••••• P•••••• C•••••• P••••••• · Member
        indirect · owns 75% or more of D•••••• C•••••• P••••••• L••
      • D•• A•••• P••••••• L•• · Member
        indirect · owns 75% or more of A•••• P••••••• L••
      • J••• H••••••• L•• · M••••••
        indirect · owns 75% or more of D•••••• E••••••••• L••
      • A•••• C•••••• I••• · Member
        direct · owns less than 5%
      • A•••• D••••• L•• · Member
        direct · owns 75% or more
      • A•••• P••••••• L•• · Member
        indirect · owns F of A•••• C•••••• I•••
      Related persons
      Schedule D 7.A
      • A•••• A••••••• L••
        investment adviseryRAUM $100,000
      • A•••• C•••••• I•••
        y
      • A•••• D••••• H••••••• L••
        y
      • A•••• D••••• L••
        y
      • A•••• H••••••• I•••
        y
      • A•••• P••••••• L••
        y
      • C• C••••• M••••••••• L••
        n
      • C• C••••• P••••••• L••
        n
      • C• G••••• H••••••• L••
        n
      • D•••••• B••• L••
        n
      • D•••••• C•••••• A••••••• L••
        n
      • D•••••• C•••••• L••
        y
      • D•••••• C•••••• P••••••• L••
        y
      • D•••••• E••••••••• L••
        y
      • D•••••• I•••••••• L••
        n
      • D•••••• P•••••• C•••••• P••••••• L••
        y
      • D•••••• P••••• C•••••• L••
        n
      • D•••••• P••••• C•••••• P••••••• L••
        n
      • D••• C••••••
        n
      • D•• A•••• H••••••• L••
        y
      • D•• A•••• P••••••• L••
        y
      • D•• E••••• M•••••• I• L••
        n
      • G••• L••
        n
      • G••• P•••••• C•••••• M•••••••••
        n
      • G••• P••••••••• L••
        n
      • G••• S••••• L••
        n
      • G••• S••••• P••••••• L••
        n
      • G•••••• A••••••• C•••••• P••••••• L••
        n
      • J••• H••••••• L••
        y
      • J••• I••••••••• T••••
        n
      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
      1 dated events
      • A•••• D••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 20, 2023 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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