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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Latest filing Jan 28, 2026
First filing on the tape Apr 8, 2024 · 12 filings
SEC status approved since May 16, 2024
RAUM
$229M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
51%
$116M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$229M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$229M as of Jan 28, 2026
Jan 31, 2025$213M then
HNW client RAUM$116M as of Jan 28, 2026
Jan 31, 2025$94.2M then
State-registered IARs (5.B.3)1 as of Jan 28, 2026
Jan 31, 20251 then
Employees (5.A)1 as of Jan 28, 2026
Jan 31, 20251 then
Private funds: no history
RAUM +7.7% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $229MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.7%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$116M51%
- Pension and profit-sharing plans$113M49%
- Individual clients
- n/areported
- HNW clients
- 44reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 104reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.51 fund_share=0.0 institutional_share=0.49 related_bd=false 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 |
|---|---|---|---|---|
| M•••••• H•••••• R•••••••• | Boca Raton, Fl | May 24, 2024 | 10 y | 4 |
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
- M•••••• H•••••• R•••••••• from O••••••• B•• W••••• P•••••••May 24, 2024 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••••• M••••••• H•••••• · Owner And Chief Compliance Officercontrolsince 04/2024 · 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 Jan 28, 2026institutional share of RAUM of 49% against a peer median of 0% (5678 comparable advisers, 99.0th percentile, 16.6 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 83 to 104Mar 31, 2025 to Jan 28, 2026
- HNW clients · 37 to 44Mar 31, 2025 to Jan 28, 2026
- Pension plan clients · 5 to 3Mar 31, 2025 to Jan 28, 2026
- Discretionary RAUM · $213M to $229MMar 31, 2025 to Jan 28, 2026
- HNW RAUM · $94.2M to $116MMar 31, 2025 to Jan 28, 2026
- Pension RAUM · $119M to $113MMar 31, 2025 to Jan 28, 2026
- RAUM · $213M to $229MMar 31, 2025 to Jan 28, 2026
- Financial planning clients · unset to Jan 31, 2025 to Mar 31, 2025
- Accounts · 82 to 83Dec 16, 2024 to Jan 31, 2025
- HQ city · unset to Dec 16, 2024 to Jan 31, 2025
- HQ state · unset to Dec 16, 2024 to Jan 31, 2025
- Discretionary RAUM · $91.9M to $213MDec 16, 2024 to Jan 31, 2025
- HNW RAUM · $91.9M to $94.2MDec 16, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $120M to $0Dec 16, 2024 to Jan 31, 2025
- Pension RAUM · $120M to $119MDec 16, 2024 to Jan 31, 2025
- RAUM · $212M to $213MDec 16, 2024 to Jan 31, 2025
- Accounts · 0 to 82Jul 10, 2024 to Oct 3, 2024
- HNW clients · unset to 37.0Jul 10, 2024 to Oct 3, 2024
- Pension plan clients · unset to 5.0Jul 10, 2024 to Oct 3, 2024
- Discretionary RAUM · $0 to $91.9MJul 10, 2024 to Oct 3, 2024
- HNW RAUM · unset to 91917754.0Jul 10, 2024 to Oct 3, 2024
- Non-discretionary RAUM · $0 to $120MJul 10, 2024 to Oct 3, 2024
- Pension RAUM · unset to 119877568.0Jul 10, 2024 to Oct 3, 2024
- RAUM · $0 to $212MJul 10, 2024 to Oct 3, 2024
- Business name · F•••••••• F•••••••• to F•••••••• F•••••••• L••May 23, 2024 to May 30, 2024
- Legal name · F•••••••• F•••••••• to F•••••••• F•••••••• L••May 23, 2024 to May 30, 2024
- HQ city · BOCA RATON to unsetApr 8, 2024 to Apr 15, 2024
- HQ state · FL to unsetApr 8, 2024 to Apr 15, 2024
Signals
1 dated events
- F•••••••• F•••••••• filed its initial SEC registration (Form ADV)Apr 8, 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
- Principal office phone
- 5612690330reportedpublic record, Form ADV, Jan 28, 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
- $229Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026