DFX Intelligence
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P•• C•••••• L•
Asset manager (funds and pooled vehicles)SEC-registered· Sunny Isles Beach, Florida
Asset manager (funds and pooled vehicles), based in Sunny Isles Beach, Florida, reporting $301M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $301M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- Not established
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 1
Every filed figure, and the identifiersCRD 331201 · SEC 801-130423 · 3 filingsShowHide
CRD 331201SEC 801-130423First filing on the tape May 6, 2024, latest Feb 28, 2025SEC status approved since Jun 5, 2024IAPD
RAUM
$301M
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
Not computed
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$301M as of Feb 28, 2025
May 6, 2024$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 28, 2025
May 6, 20240 then
Employees (5.A)2 as of Feb 28, 2025
May 6, 20241 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 28, 2025; 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
- $301MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$301M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• M••••••• P••••• · Outsourced Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- P•••••• N••••• · Limited Partnercontrolsince 03/2024 · owns 75% or more
- P•••••• N••••• · Managing Membercontrolsince 03/2024 · owns 75% or more of P•• G• L••
Entity owners
- P•• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- P•• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · unset to Aug 26, 2024 to Feb 28, 2025
- Other offices · 1 to 0Aug 26, 2024 to Feb 28, 2025
- Accounts · 0 to 1May 6, 2024 to Aug 26, 2024
- Pooled vehicle clients · unset to 1.0May 6, 2024 to Aug 26, 2024
- Employees · 1 to 2May 6, 2024 to Aug 26, 2024
- Other offices · 0 to 1May 6, 2024 to Aug 26, 2024
- Discretionary RAUM · $0 to $301MMay 6, 2024 to Aug 26, 2024
- Pooled vehicle RAUM · unset to 300677000.0May 6, 2024 to Aug 26, 2024
- RAUM · $0 to $301MMay 6, 2024 to Aug 26, 2024
Signals
4 dated events
- ••• LockedFeb 28, 2025 · ria principal change · derived
- ••• LockedFeb 28, 2025 · Control person left · inference
- ••• LockedAug 26, 2024 · Control person joined · fact
- ••• LockedMay 6, 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
- ••• Lockedreportedpublic record, Form ADV, Feb 28, 2025
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
- Not computedderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026