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
N•••• I••••••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Feb 20, 2024 · 5 filings
SEC status approved since Mar 21, 2024
RAUM
$185M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$185M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$185M as of Mar 26, 2026
Mar 24, 2025$119M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 26, 2026
Mar 24, 20251 then
Employees (5.A)4 as of Mar 26, 2026
Mar 24, 20253 then
Private funds2 as of Mar 26, 2026
Mar 24, 20252 then
RAUM +56% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $185MderivedRAUM 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
- $46.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +56%derivedbetween 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $185M, 4 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$185M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $185M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• T• N•••• | Plantation, Fl | Apr 30, 2024 | 23 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
- D••••• T• N•••• from N•••••••• B••••• B• L••Apr 30, 2024 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• M••••• F••• L••• | Hedge Fund | $87.5M | 39 | Mar 28, 2012 |
| S••••• F••• I•• L••• | Hedge Fund | $14.0M | 31 | Jun 17, 2020 |
Owners and control persons
Schedule A and B, latest filing
- N••••• D•••••• T• · Managing Member | Chief Compliance Officercontrolsince 11/2023 · owns 50% to 75%
- N••••• J•••••••• E•••••••• · Membercontrolsince 11/2023 · owns 25% to 50%
Related persons
Schedule D 7.A
- S• G• I• L••investment adviserbankpooled vehicle sponsorn
- S• G• I•• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $118,848,208 to $185,484,106 (+56.0%) between the annual amendments of 2025-03-24 and 2026-03-26; the peer median change was +4.0% (1147 comparable advisers, 92.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 92% percentile
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2Mar 24, 2025 to Mar 26, 2026
- Assets in custody · $119M to $185MMar 24, 2025 to Mar 26, 2026
- Employees · 3 to 4Mar 24, 2025 to Mar 26, 2026
- Discretionary RAUM · $119M to $185MMar 24, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $119M to $185MMar 24, 2025 to Mar 26, 2026
- RAUM · $119M to $185MMar 24, 2025 to Mar 26, 2026
- Assets in custody · $114M to $119MJul 9, 2024 to Mar 24, 2025
- Financial planning clients · unset to Jul 9, 2024 to Mar 24, 2025
- Discretionary RAUM · $114M to $119MJul 9, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $114M to $119MJul 9, 2024 to Mar 24, 2025
- RAUM · $114M to $119MJul 9, 2024 to Mar 24, 2025
- Assets in custody · $71.6M to $114MApr 26, 2024 to Jul 9, 2024
- Discretionary RAUM · $71.6M to $114MApr 26, 2024 to Jul 9, 2024
- Pooled vehicle RAUM · $71.6M to $114MApr 26, 2024 to Jul 9, 2024
- RAUM · $71.6M to $114MApr 26, 2024 to Jul 9, 2024
- Accounts · unset to 4.0Feb 20, 2024 to Apr 26, 2024
- Pooled vehicle clients · unset to 4.0Feb 20, 2024 to Apr 26, 2024
- Assets in custody · $0 to $71.6MFeb 20, 2024 to Apr 26, 2024
- State-registered IARs · 0 to 1Feb 20, 2024 to Apr 26, 2024
- Private funds · unset to 2Feb 20, 2024 to Apr 26, 2024
- Discretionary RAUM · unset to 71607067.0Feb 20, 2024 to Apr 26, 2024
- Non-discretionary RAUM · unset to 0.0Feb 20, 2024 to Apr 26, 2024
- Pooled vehicle RAUM · unset to 71607067.0Feb 20, 2024 to Apr 26, 2024
- RAUM · unset to 71607067.0Feb 20, 2024 to Apr 26, 2024
- Related bank · false to trueFeb 20, 2024 to Apr 26, 2024
Signals
1 dated events
- N•••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 20, 2024 · 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
- n•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (305) 813-0484reportedpublic record, Form ADV, Mar 26, 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
- $185Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026