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
M•••••• C•••••• L••
Latest filing Jun 1, 2026
First filing on the tape Jan 24, 2025 · 6 filings
SEC status approved since Feb 24, 2025
RAUM
$297M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$297M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$148M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$297M as of Jun 1, 2026
Jan 24, 2025$0 then
HNW client RAUM$297M as of Jun 1, 2026
Jun 24, 2025$174M then
State-registered IARs (5.B.3)2 as of Jun 1, 2026
Jan 24, 20252 then
Employees (5.A)3 as of Jun 1, 2026
Jan 24, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jun 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $148MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $29.7MderivedHNW RAUM over HNW clients
- Average account
- $4.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $400,000, 2 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$297M100%
- Individual clients
- n/areported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 60reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $400,000 for 2 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• A• P•••• | Coral Gables, Fl | Mar 5, 2025 | 11 y | 2 |
| A•••••••• A••••• | Coral Gables, Fl | Mar 5, 2025 | 18 y | 2 |
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
- R•••••• A• P•••• from C••••••• G••••• L••Mar 5, 2025 · Other
- A•••••••• A••••• from S•• W•••••Mar 5, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• A•••••••• · Executive Chairmancontrolsince 01/2025 · owns less than 5%
- P••••• R••••••• A• · Chief Investment Officer And Chief Compliance Officercontrolsince 01/2025 · owns less than 5%
Entity owners
- M•••••• C•••••• H••••••• L•• · Holding Companydirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Coral Gables, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Jun 1, 2026RAUM per account of $4,946,449 against a peer median of $439,994 (5431 comparable advisers, 99.0th percentile, 3.0 robust deviations)peers: independent wealth managers, $100M to $500M (5,431) · 99% percentile
- business activity changedChange between filings · filing Jun 1, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2026-03-19, yes on the filing of 2026-06-01peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory activities · 3 to 4Mar 19, 2026 to Jun 1, 2026
- HQ city · MIAMI to CORAL GABLESMar 19, 2026 to Jun 1, 2026
- Accounts · 44 to 60Jul 15, 2025 to Mar 19, 2026
- HNW clients · 6 to 10Jul 15, 2025 to Mar 19, 2026
- Assets in custody · unset to 400000.0Jul 15, 2025 to Mar 19, 2026
- Custody of client assets · false to trueJul 15, 2025 to Mar 19, 2026
- Employees · 2 to 3Jul 15, 2025 to Mar 19, 2026
- Discretionary RAUM · $92.1M to $297MJul 15, 2025 to Mar 19, 2026
- HNW RAUM · $174M to $297MJul 15, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $82.2M to $0Jul 15, 2025 to Mar 19, 2026
- RAUM · $174M to $297MJul 15, 2025 to Mar 19, 2026
- Financial planning clients · 0 to 0Jun 24, 2025 to Jul 15, 2025
- Related adviser · true to falseJun 24, 2025 to Jul 15, 2025
- Accounts · 0 to 44Apr 25, 2025 to Jun 24, 2025
- HNW clients · unset to 6.0Apr 25, 2025 to Jun 24, 2025
- Discretionary RAUM · $0 to $92.1MApr 25, 2025 to Jun 24, 2025
- HNW RAUM · unset to 174299000.0Apr 25, 2025 to Jun 24, 2025
- Non-discretionary RAUM · $0 to $82.2MApr 25, 2025 to Jun 24, 2025
- RAUM · $0 to $174MApr 25, 2025 to Jun 24, 2025
- Related adviser · false to trueJan 24, 2025 to Apr 25, 2025
Signals
1 dated events
- M•••••• C•••••• L•• reported RAUM $296.8M, up 70% from $174.3M (2025-07-15 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- M•••••• C•••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 305-528-3701reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- matters.capitalreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (305) 528-3701reportedpublic record, Form ADV, Jun 1, 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
- $148Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026