DFX Intelligence
RIA Intelligence
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SEC-registered adviser
M••••• C••••• W••••••• • S•••• L••
Latest filing Mar 2, 2026
First filing on the tape Mar 28, 2024 · 10 filings
SEC status approved since Apr 25, 2024
RAUM
$181M
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
$181M
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
10 filings and snapshots on the tape
RAUM$181M as of Mar 2, 2026
Mar 31, 2025$159M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 2, 2026
Mar 31, 20252 then
Employees (5.A)2 as of Mar 2, 2026
Mar 31, 20252 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 2, 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
- $181MderivedRAUM 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
- $181MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$181M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• J••• A•••• | Miami Beach, Fl | Mar 6, 2026 | 10 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- C••••• J••• A•••• from B•• F••••• U••Mar 6, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• R•••••• M••••• · Managing Member, Chief Compliance Officer, Chief Operations Officercontrolsince 02/2024 · owns less than 5%
- C•••••• L••••• · Chairman & Ownercontrolsince 02/2024 · owns 75% or more
Related persons
Schedule D 7.A
- B•• F••••• U••investment advisernRAUM $261M
- I••• S••••••••• L••broker-dealery
- M••••• C••••• F•••••••• L•••broker-dealercustodiann
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · CORAL GABLES to MIAMI BEACHMar 31, 2025 to Mar 2, 2026
- Discretionary RAUM · $159M to $181MMar 31, 2025 to Mar 2, 2026
- RAUM · $159M to $181MMar 31, 2025 to Mar 2, 2026
- Financial planning clients · 0 to 0Aug 21, 2024 to Mar 31, 2025
- Discretionary RAUM · $131M to $159MAug 21, 2024 to Mar 31, 2025
- RAUM · $131M to $159MAug 21, 2024 to Mar 31, 2025
- Accounts · 0 to 1Apr 8, 2024 to Aug 20, 2024
- HQ city · MIAMI BEACH to CORAL GABLESApr 8, 2024 to Aug 20, 2024
- Discretionary RAUM · $0 to $131MApr 8, 2024 to Aug 20, 2024
- RAUM · $0 to $131MApr 8, 2024 to Aug 20, 2024
- Organization form · Limited Liability Partnership to Limited Liability CompanyMar 28, 2024 to Apr 2, 2024
- Related adviser · false to trueMar 28, 2024 to Apr 2, 2024
Signals
1 dated events
- M••••• C••••• W••••••• • S•••• L•• filed its initial SEC registration (Form ADV)Mar 28, 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•••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (305) 954-1521reportedpublic record, Form ADV, Mar 2, 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
- $181Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026