DFX Intelligence
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L•• C•••••• L••
Asset manager (funds and pooled vehicles), based in Miami, Florida, reporting $370M of regulatory assets across 3 registered advisors.
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
- $370M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +68%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $220MRAUM now $370M
- advises private funds (Item 7.B) 1
- Contact points 2
Every filed figure, and the identifiersCRD 333746 · SEC 801-131732 · 9 filingsShowHide
CRD 333746SEC 801-131732First filing on the tape Nov 27, 2024, latest Apr 10, 2026SEC status approved since Jan 3, 2025IAPD
RAUM
$370M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$123M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$370M as of Apr 10, 2026
Feb 1, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 10, 2026
Feb 1, 20250 then
Employees (5.A)3 as of Apr 10, 2026
Feb 1, 20254 then
Private funds: 2
RAUM +68% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 10, 2026; every figure names its basis
- RAUM per advisor
- $123MderivedRAUM 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
- $185MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +68%derivedbetween 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 fees, performance-basedreportedItem 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
- 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)
- 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$370M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A••••• J•••• A•••Chartered Financial Analyst | New York City, Ny | Feb 5, 2025 | 10 y | 0 |
| L••••••• Z••••• V••••••Chartered Financial Analyst | Miami, Fl | Feb 7, 2025 | 10 y | 0 |
| D•••• J••• G•••• N••••••••• | Miami, Fl | Apr 21, 2025 | 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• L•• G••••• S••••••• | Hedge Fund | $254M | 7 | Apr 10, 2026 |
| C••••••• L•• M••••••• S••••••• | Hedge Fund | $116M | 7 | Apr 10, 2026 |
Owners and control persons
Schedule A and B, latest filing
- G••••• D••••• J••• · Chief Executive Officercontrolsince 11/2024 · owns less than 5%
- J••••• D••••• A••••• · Chief Operating Officercontrolsince 11/2024 · owns less than 5%
- Z••••• V••••••• L••••••• · Chief Investment Officercontrolsince 11/2024 · owns less than 5%
- Z••••••• M•••••• · Chief Compliance Officercontrolsince 11/2024 · owns less than 5%
- S••• U••••••••• A•••••• S•••••••• · L•••••• Partnersince 04/2022 · owns 25% to 50% of M•••• I••••••••• L•
Entity owners
- F••••••• C•••• · Memberdirect · owns 75% or more
- M•••• I••••••••• L• · Memberindirect · owns 25% to 50% of P••••••• C•••••• L••••••
- P••••••• C•••••• L•••••• · Shareholderindirect · owns 75% or more of F••••••• C••••
- S••••• I••••••••• L• · Memberindirect · owns 50% to 75% of P••••••• C•••••• L••••••
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 10, 2026discretionary share of RAUM moved from 0.0% to 100.0% between the annual amendments of 2025-04-14 and 2026-04-10peers: asset managers, $100M to $500M (1,568)
- business activity changedChange between filings · filing Apr 10, 2026advises private funds (Item 7.B): no on the filing of 2026-03-05, yes on the filing of 2026-04-10peers: asset managers, $100M to $500M (1,568)
- RAUM up 50 %Change between filings · filing Apr 10, 2026RAUM (Item 5.F) moved from $220,000,000 to $370,000,000 (+68.0%) between the annual amendments of 2025-04-14 and 2026-04-10; the peer median change was +4.0% (1141 comparable advisers, 94.0th percentile of changes)peers: asset managers, $100M to $500M (1,141) · 94% percentile
What changed
consecutive filings, newest first
- Private funds · unset to 2Mar 5, 2026 to Apr 10, 2026
- Discretionary RAUM · $380M to $370MMar 5, 2026 to Apr 10, 2026
- Pooled vehicle RAUM · $380M to $370MMar 5, 2026 to Apr 10, 2026
- RAUM · $380M to $370MMar 5, 2026 to Apr 10, 2026
- Related adviser · false to trueMar 5, 2026 to Apr 10, 2026
- Discretionary RAUM · $373M to $380MOct 31, 2025 to Mar 5, 2026
- Pooled vehicle RAUM · $373M to $380MOct 31, 2025 to Mar 5, 2026
- RAUM · $373M to $380MOct 31, 2025 to Mar 5, 2026
- Accounts · 1 to 2Aug 22, 2025 to Oct 31, 2025
- Pooled vehicle clients · 1 to 2Aug 22, 2025 to Oct 31, 2025
- Insurance-licensed employees · 0 to 3Aug 22, 2025 to Oct 31, 2025
- Financial planning clients · 0 to 0Aug 22, 2025 to Oct 31, 2025
- Discretionary RAUM · $0 to $373MAug 22, 2025 to Oct 31, 2025
- Non-discretionary RAUM · $220M to $0Aug 22, 2025 to Oct 31, 2025
- Pooled vehicle RAUM · $220M to $373MAug 22, 2025 to Oct 31, 2025
- RAUM · $220M to $373MAug 22, 2025 to Oct 31, 2025
- Employees · 4 to 3Apr 14, 2025 to Aug 22, 2025
- Accounts · 0 to 1Feb 5, 2025 to Apr 14, 2025
- Pooled vehicle clients · unset to 1.0Feb 5, 2025 to Apr 14, 2025
- Non-discretionary RAUM · $0 to $220MFeb 5, 2025 to Apr 14, 2025
- Pooled vehicle RAUM · unset to 220000000.0Feb 5, 2025 to Apr 14, 2025
- RAUM · $0 to $220MFeb 5, 2025 to Apr 14, 2025
Signals
11 dated events
- ••• LockedApr 10, 2026 · private fund first reported · fact
- ••• LockedApr 10, 2026 · private fund first reported · fact
- ••• LockedApr 10, 2026 · ria indirect owner change · derived
- ••• LockedApr 10, 2026 · ria indirect owner change · fact
- ••• LockedApr 10, 2026 · ria indirect owner change · derived
- ••• LockedApr 10, 2026 · ria indirect owner change · fact
- ••• LockedApr 10, 2026 · ria indirect owner change · derived
- ••• LockedApr 10, 2026 · ria indirect owner change · derived
- ••• LockedApr 10, 2026 · ria indirect owner change · fact
- ••• LockedOct 31, 2025 · RAUM change · derived
- ••• LockedNov 27, 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
- ••• Lockedreportedpublic record, Form ADV, Apr 10, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Apr 10, 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
- $123Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026