DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

F••••••••• I••••••••• S•••••••• L••

Independent wealth managerCRD 330232SEC 801-129948website IAPD

Latest filing Aug 31, 2026

First filing on the tape Mar 20, 2024 · 14 filings

SEC status approved since Apr 26, 2024

RAUM

$12.2M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$12.2M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$6.1M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM$12.2M as of Aug 31, 2026

Jan 14, 2025$33.8M then

HNW client RAUM$12.2M as of Aug 31, 2026

Mar 26, 2026$12.2M then

State-registered IARs (5.B.3)0 as of Aug 31, 2026

Jan 14, 20250 then

Employees (5.A)2 as of Aug 31, 2026

Jan 14, 20253 then

Private funds2 as of Feb 5, 2025

Jan 14, 20252 then

RAUM -68% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Aug 31, 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
UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M

RAUM per advisor: $6.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $12.2MderivedHNW RAUM over HNW clients
Average account: $12.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: -68%derivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, otherreportedItem 5.G
Custody: $12.2M, 1 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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$12.2M100%

Individual clients: n/areported
HNW clients: 1reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $12.2M for 1 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J••• A• S•••••••••	New York, Ny	Jun 12, 2024	19 y	2
G•••••• A• C•••Chartered Financial Analyst	Miami, Fl	Jun 12, 2024	15 y	2

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

J••• A• S••••••••• from Z••• W••••• S•••••••• L••
Jun 12, 2024 · Other
G•••••• A• C••• from P•• M•••••• A•••••• S••••••••• I•••
Jun 12, 2024 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
H•••• R••••••••• F•••••• F••• S•	Securitized Asset Fund	$18.3M	15	Aug 23, 2024
H•••• L•••••••• R••••••••• F•••••• F••• S•	Securitized Asset Fund	$15.5M	15	Aug 23, 2024

Owners and control persons

Schedule A and B, latest filing

C•••• G••••••• A• · Chief Executive Officercontrol
since 03/2024 · owns 75% or more
C•••• G••••••• A• · Membercontrol
since 05/2019 · owns 75% or more of P••••••• F•• L••
G•••••••• C•••••• J••••• · Chief Compliance Officer
since 03/2024 · owns less than 5%
S••••••••• J•••• A• · Chief Investment Officer
since 01/2024 · owns less than 5%

Entity owners

P••••••• F•• L•• · Owner
direct · owns 75% or more

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
Key Biscayne, Fl	2	0	0

Offices

Schedule D 1.F, the 25 largest

Miami, FL1 employees

What changed

consecutive filings, newest first

Assets in custody · unset to 12230738.0
Apr 8, 2026 to Jun 23, 2026
Custody of client assets · false to true
Apr 8, 2026 to Jun 23, 2026
Accounts · 2 to 1
Feb 5, 2025 to Mar 26, 2026
Advisory employees · 1 to 2
Feb 5, 2025 to Mar 26, 2026
HNW clients · unset to 1.0
Feb 5, 2025 to Mar 26, 2026
Pooled vehicle clients · 2.0 to unset
Feb 5, 2025 to Mar 26, 2026
Employees · 3 to 2
Feb 5, 2025 to Mar 26, 2026
Private funds · 2 to unset
Feb 5, 2025 to Mar 26, 2026
Discretionary RAUM · $38.4M to $12.2M
Feb 5, 2025 to Mar 26, 2026
HNW RAUM · unset to 12230738.0
Feb 5, 2025 to Mar 26, 2026
Pooled vehicle RAUM · 38368062.0 to unset
Feb 5, 2025 to Mar 26, 2026
RAUM · $38.4M to $12.2M
Feb 5, 2025 to Mar 26, 2026
Financial planning clients · unset to
Jan 14, 2025 to Feb 5, 2025
Discretionary RAUM · $33.8M to $38.4M
Jan 14, 2025 to Feb 5, 2025
Pooled vehicle RAUM · $33.8M to $38.4M
Jan 14, 2025 to Feb 5, 2025
RAUM · $33.8M to $38.4M
Jan 14, 2025 to Feb 5, 2025
HQ city · unset to
Nov 25, 2024 to Jan 14, 2025
HQ state · unset to
Nov 25, 2024 to Jan 14, 2025
Accounts · unset to 2.0
Jun 12, 2024 to Aug 23, 2024
BD registered reps · 1 to 2
Jun 12, 2024 to Aug 23, 2024
Pooled vehicle clients · unset to 2.0
Jun 12, 2024 to Aug 23, 2024
Private funds · unset to 2
Jun 12, 2024 to Aug 23, 2024
Discretionary RAUM · unset to 33790758.0
Jun 12, 2024 to Aug 23, 2024
Non-discretionary RAUM · unset to 0.0
Jun 12, 2024 to Aug 23, 2024
Pooled vehicle RAUM · unset to 33790758.0
Jun 12, 2024 to Aug 23, 2024
RAUM · unset to 33790758.0
Jun 12, 2024 to Aug 23, 2024
Other offices · 0 to 1
Apr 26, 2024 to Jun 12, 2024
HQ city · NEW YORK to unset
Mar 28, 2024 to Apr 5, 2024
HQ state · NY to unset
Mar 28, 2024 to Apr 5, 2024

Signals

1 dated events

F••••••••• I••••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
Mar 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: m•••••••••.netreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 1-917-495-9582reportedpublic record, Form ADV, Aug 31, 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: $6.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026