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
1• M••• C•••••• M••••••••• L••
Latest filing Sep 18, 2026
First filing on the tape May 1, 2026 · 2 filings
SEC status approved since Jun 1, 2026
RAUM
$119M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$119M as of Sep 18, 2026
May 1, 2026$80.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 18, 2026
May 1, 20260 then
Employees (5.A)2 as of Sep 18, 2026
May 1, 20262 then
Private funds: 2
Practice profile
derived from the filing of Sep 18, 2026; every figure names its basis
- 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
- $29.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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
- Custody
- $82.7M, 2 clientsreportedItem 9.A
- 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)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$98.6M83%
- Charitable organizations$20.1M17%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $82.7M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.83 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 1• M••• C•••••• P•••••••• L••• | Hedge Fund | $25.8M | 59 | Nov 8, 2023 |
| 2••• P••••••• L••• | Hedge Fund | $6.7M | 2 | Nov 8, 2023 |
Owners and control persons
Schedule A and B, latest filing
- N••••••• Y••••• N• · Managing Member, Ccocontrolsince 01/2018 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Sep 18, 2026institutional share of RAUM of 17% against a peer median of 0% (1568 comparable advisers, 98.0th percentile, 5.7 robust deviations)peers: asset managers, $100M to $500M (1,568) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 4May 1, 2026 to Sep 18, 2026
- Assets in custody · $80.5M to $82.7MMay 1, 2026 to Sep 18, 2026
- Financial planning clients · to unsetMay 1, 2026 to Sep 18, 2026
- HQ city · WESTPORT to AVENTURAMay 1, 2026 to Sep 18, 2026
- HQ state · CT to FLMay 1, 2026 to Sep 18, 2026
- Private funds · 2 to unsetMay 1, 2026 to Sep 18, 2026
- Discretionary RAUM · $80.5M to $119MMay 1, 2026 to Sep 18, 2026
- Pooled vehicle RAUM · $80.5M to $98.6MMay 1, 2026 to Sep 18, 2026
- RAUM · $80.5M to $119MMay 1, 2026 to Sep 18, 2026
- Succession · false to unsetMay 1, 2026 to Sep 18, 2026
Signals
No event on the tape.
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
- 1maincapital.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 305-710-8509reportedpublic record, Form ADV, Sep 18, 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
- Asset manager (funds and pooled vehicles)deriveda 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