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 Aug 6, 2026
First filing on the tape Apr 6, 2026 · 2 filings
SEC status approved since Apr 8, 2026
RAUM
$442M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$442M
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
2 filings and snapshots on the tape
RAUM$442M as of Aug 6, 2026
Apr 6, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 6, 2026
Apr 6, 20260 then
Employees (5.A)2 as of Aug 6, 2026
Apr 6, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 6, 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
- $442MderivedRAUM 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
- $221MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$442M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| N•••••• G••••••• E••••••••Chartered Financial Analyst | Bogotá | Aug 21, 2026 | 12 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•••••••• S••••••• · Managing Member And Chief Executive Officercontrolsince 12/2025 · owns less than 5%
- S••••• C•••••• N•••••• · Managing Member And Chief Operating Officercontrolsince 12/2025 · owns less than 5%
- R•• D• S•• C••••••• · Chief Compliance Officersince 12/2025 · owns less than 5%
Entity owners
- N•• P••••••• S••• · Ownerdirect · 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
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Aug 6, 2026discretionary share of RAUM of 0% against a peer median of 100% (212 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $100M to $500M (212) · 0.0% percentile
- business activity changedChange between filings · filing Aug 6, 2026selection of other advisers (Item 5.G.7): no on the filing of 2026-04-06, yes on the filing of 2026-08-06peers: other advisers, $100M to $500M (212)
What changed
consecutive filings, newest first
- Accounts · 0 to 2Apr 6, 2026 to Aug 6, 2026
- Advisory employees · 1 to 2Apr 6, 2026 to Aug 6, 2026
- Advisory activities · 1 to 2Apr 6, 2026 to Aug 6, 2026
- Employees · 1 to 2Apr 6, 2026 to Aug 6, 2026
- Non-discretionary RAUM · $0 to $442MApr 6, 2026 to Aug 6, 2026
- RAUM · $0 to $442MApr 6, 2026 to Aug 6, 2026
Signals
No event on the tape.
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
- 786 702 0078reportedpublic record, Form ADV, Aug 6, 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
- $442Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026