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
L••••• G••••• A••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Apr 19, 2024 · 9 filings
SEC status approved since May 21, 2024
RAUM
$699M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.3%
$1.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$699M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$699M as of Mar 30, 2026
Mar 28, 2025$544M then
HNW client RAUM: $1.9M
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 28, 20251 then
Employees (5.A)3 as of Mar 30, 2026
Mar 28, 20252 then
Private funds: no history
RAUM +28% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 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
- $699MderivedRAUM 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
- $69.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Banks and thrifts$628M90%
- Insurance companies$69.5M9.9%
- High-net-worth individuals$1.9M0.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.1 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• P•••• N•••••• | Miami, Fl | Jun 5, 2024 | 10 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• P••••• D••••• · Chief Compliance Officercontrolsince 02/2024 · owns less than 5%
- N••••••• J•••• P•••• · Ceocontrolsince 02/2024 · owns less than 5%
- Z•••••• R•••••• J••••• · Shareholdercontrolsince 06/2024 · owns 75% or more of A••••• L••
Entity owners
- A••••• L•• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- L••••• S••••••••• C•••••••••broker-dealerinvestment advisernRAUM $736M
Advisers that list L••••• G••••• A••••••• L•• as a related person
- 115624 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 9 to 10Sep 5, 2025 to Mar 30, 2026
- BD registered reps · 2 to 1Sep 5, 2025 to Mar 30, 2026
- Employees · 2 to 3Sep 5, 2025 to Mar 30, 2026
- Discretionary RAUM · $544M to $699MSep 5, 2025 to Mar 30, 2026
- HNW RAUM · unset to 1896069.0Sep 5, 2025 to Mar 30, 2026
- RAUM · $544M to $699MSep 5, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0May 20, 2025 to Sep 5, 2025
- Assets in custody · 6365537.0 to unsetMar 28, 2025 to May 20, 2025
- Custody of client assets · true to falseMar 28, 2025 to May 20, 2025
- Accounts · 8 to 9Sep 13, 2024 to Mar 28, 2025
- Assets in custody · unset to 6365537.0Sep 13, 2024 to Mar 28, 2025
- Custody of client assets · false to trueSep 13, 2024 to Mar 28, 2025
- State-registered IARs · 2 to 1Sep 13, 2024 to Mar 28, 2025
- Discretionary RAUM · $645M to $544MSep 13, 2024 to Mar 28, 2025
- RAUM · $645M to $544MSep 13, 2024 to Mar 28, 2025
- Accounts · 0 to 8Jun 27, 2024 to Aug 1, 2024
- Discretionary RAUM · $0 to $645MJun 27, 2024 to Aug 1, 2024
- RAUM · $0 to $645MJun 27, 2024 to Aug 1, 2024
Signals
3 dated events
- L••••• G••••• A••••••• L•• reported RAUM $699.0M, up 28% from $544.5M (2025-09-05 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- J•••fina Maria Zamora (Member) no longer on Schedule A of L••••• G••••• A••••••• L•• (listed 2024-04-19, absent 2024-06-27)Jun 27, 2024 · Control person left · inference
- L••••• G••••• A••••••• L•• filed its initial SEC registration (Form ADV)Apr 19, 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
- 305-374-6001reportedpublic record, Form ADV, Mar 30, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $699Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026