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• 1• G••••• W••••• L••

Independent wealth managerCoconut Grove, FloridaCRD 337213SEC 801-134149IAPD
Latest filing Mar 19, 2026
First filing on the tape Aug 18, 2025 · 3 filings
SEC status approved since Aug 13, 2025
RAUM
$2.8B
reported, Item 5.F
Discretionary
11%
of RAUM
Private clients
100%
$2.8B individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$1.4B
derived; firm RAUM over IAPD count
Employees
4
3 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$2.8B as of Mar 19, 2026
Aug 18, 2025$0 then
HNW client RAUM$2.8B as of Mar 19, 2026
Dec 11, 2025$2.8B then
State-registered IARs (5.B.3)4 as of Mar 19, 2026
Aug 18, 20254 then
Employees (5.A)4 as of Mar 19, 2026
Aug 18, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 19, 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
$1.4BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$165MderivedHNW RAUM over HNW clients
Average account
$20.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
11%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
2.0derived1 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 assetsreportedItem 5.E
Advisory activities
financial planning, 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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$2.8B100%
Individual clients
n/areported
HNW clients
17reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
139reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M••••• C•••••Coconut Grove, FlFeb 23, 202612 y1
J•••• F••••••••Coconut Grove, FlMar 20, 202615 y0
Advisor movement
0 left, 1 joined in 12 months
net +1 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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••••• I••••••• E•••••• · Chief Operating Officer And Chief Compliance Officercontrol
      since 08/2025 · owns less than 5%
    Entity owners
    • L• D• L•• · Chief Investment Officer
      direct · owns 25% to 50%
    • L• I• L•• · Owner
      direct · owns 25% to 50%
    • L• J• L•• · Chief Strategy Officer
      direct · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Coconut Grove, Fl · principal220
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 139
      Aug 18, 2025 to Dec 11, 2025
    • HNW clients · unset to 17.0
      Aug 18, 2025 to Dec 11, 2025
    • Discretionary RAUM · $0 to $301M
      Aug 18, 2025 to Dec 11, 2025
    • HNW RAUM · unset to 2810167033.0
      Aug 18, 2025 to Dec 11, 2025
    • Non-discretionary RAUM · $0 to $2.5B
      Aug 18, 2025 to Dec 11, 2025
    • RAUM · $0 to $2.8B
      Aug 18, 2025 to Dec 11, 2025
    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
    305-848-3411reportedpublic record, Form ADV, Mar 19, 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
    $1.4Bderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026