DFX Intelligence

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E• M••••• C••••• L••

Independent wealth managerSEC-registered· Miami, Floridawebsite

Independent wealth manager, based in Miami, Florida, reporting $3,600 of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-04-28 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $3,600
Advisors: 0
RAUM change, 1 year: +22%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-04-28 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+21.8%
RAUM, one year
RAUM $2.96K to $3.6K (+21.8%) on the Form ADV filed 28 Apr 2026, while advisors on the filing fell 1 to 0.
Assets holding up while advisors and offices fall means the departures have not yet shown in the assets; the next filing will.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 328439 · SEC 801-129199 · 7 filingsShow

CRD 328439SEC 801-129199First filing on the tape Nov 13, 2023, latest Apr 28, 2026SEC status approved since Aug 22, 2024IAPD

RAUM

$3,600

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$3,600 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

7 filings and snapshots on the tape

RAUM +22% over the last fiscal year · the tape starts Nov 13, 2023

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$3,600 as of Apr 28, 2026

Mar 28, 2025$2,955 then

HNW client RAUM: $2,955

State-registered IARs (5.B.3)0 as of Apr 28, 2026

Mar 28, 20251 then

Employees (5.A)1 as of Apr 28, 2026

Mar 28, 20253 then

Private funds: no history

RAUM +22% over the last fiscal yearIARs 1 to 0

Practice profile

derived from the filing of Apr 28, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: unknownderivedRAUM 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: $327derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: +22%derivedbetween the last two annual amendments
Advisor growth, one year: -100%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, educational seminarsreportedItem 5.G
Wrap fee program: $3,600reportedItem 5.I
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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% individuals

The breakdown by client type, and the client counts1 client typesShow

Individuals$3,600100%

Individual clients: 11reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 11reported
Financial planning clients: reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: fixedreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A•••••• C•••••• M••••• · Ownercontrol
since 03/2023 · owns 10% to 25%
B••••• D••••••• N••••••• · Ownercontrol
since 03/2023 · owns 10% to 25%
M•••••• T•••••• K•••••• · Chief Compliance Officercontrol
since 03/2023 · owns 10% to 25%
S•••••• F••••••••• X• · Managing Partnercontrol
since 03/2023 · owns 50% to 75%
S••••••• R•••••• E••••• · Head Of Operationscontrol
since 04/2024 · owns 5% to 10%

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 · 2 to 11
Mar 28, 2025 to Apr 28, 2026
Individual clients · unset to 11.0
Mar 28, 2025 to Apr 28, 2026
Employees · 3 to 1
Mar 28, 2025 to Apr 28, 2026
Insurance-licensed employees · 1 to 0
Mar 28, 2025 to Apr 28, 2026
HQ city · CORAL GABLES to MIAMI
Mar 28, 2025 to Apr 28, 2026

Full history · 26 changes

State-registered IARs · 1 to 0
Mar 28, 2025 to Apr 28, 2026
Discretionary RAUM · $2,955 to $3,600
Mar 28, 2025 to Apr 28, 2026
HNW RAUM · 2955.0 to unset
Mar 28, 2025 to Apr 28, 2026
Individual RAUM · unset to 3600.0
Mar 28, 2025 to Apr 28, 2026
RAUM · $2,955 to $3,600
Mar 28, 2025 to Apr 28, 2026
Financial planning clients · unset to
Dec 20, 2024 to Mar 28, 2025
Discretionary RAUM · $1,000 to $2,955
Dec 20, 2024 to Mar 28, 2025
HNW RAUM · $1,000 to $2,955
Dec 20, 2024 to Mar 28, 2025
RAUM · $1,000 to $2,955
Dec 20, 2024 to Mar 28, 2025
Accounts · 0 to 1
Jun 26, 2024 to Dec 20, 2024
Discretionary RAUM · $0 to $1,000
Jun 26, 2024 to Dec 20, 2024
HNW RAUM · unset to 1000.0
Jun 26, 2024 to Dec 20, 2024
RAUM · $0 to $1,000
Jun 26, 2024 to Dec 20, 2024
Accounts · 1 to 2
Dec 20, 2024 to Dec 20, 2024
Advisory employees · 2 to 1
Nov 13, 2023 to Jun 21, 2024
Employees · 4 to 3
Nov 13, 2023 to Jun 21, 2024
Insurance-licensed employees · 2 to 1
Nov 13, 2023 to Jun 21, 2024
HQ city · JERSEY CITY to CORAL GABLES
Nov 13, 2023 to Jun 21, 2024
HQ state · NJ to FL
Nov 13, 2023 to Jun 21, 2024
State-registered IARs · 2 to 1
Nov 13, 2023 to Jun 21, 2024
Related adviser · false to true
Nov 13, 2023 to Jun 21, 2024

Signals

3 dated events

••• Locked
Apr 28, 2026 · ria hq relocated · fact
••• Locked
Jun 21, 2024 · Control person joined · fact
••• Locked
Nov 13, 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: ••• Lockedreportedpublic record, Form ADV, Apr 28, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Apr 28, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.