DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

W••••• A•••• F•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered5 private funds· Coconut Creek, Florida

Asset manager (funds and pooled vehicles), based in Coconut Creek, Florida, reporting $349M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$349M
Form ADV
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
Not established
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 337254 · SEC 801-134555 · 2 filingsShow
CRD 337254SEC 801-134555First filing on the tape Dec 3, 2025, latest Mar 30, 2026SEC status approved since Dec 17, 2025IAPD
RAUM
$349M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$349M as of Mar 30, 2026
Dec 3, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Dec 3, 20250 then
Employees (5.A)17 as of Mar 30, 2026
Dec 3, 20255 then
Private funds: 5
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$69.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$349M, 5 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
  • 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)
  • has custody of client securities (9.A.1.b)
  • 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
  • Pooled investment vehicles$349M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$349M for 5 clientsreported
Compensation
% of AUM, 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W••••• A•••• L•••••• F••• I• L•Private Equity Fund$179M3Mar 30, 2026
      W••••• A•••• F•••••• F••• I• L•Private Equity Fund$100M5Mar 30, 2026
      W••••• A•••• L•••••• O••••••• F••• I• L•Private Equity Fund$70.0M2Mar 30, 2026
      W••••• A•••• U• M••••• F••• I• L•Private Equity Fund$02Mar 30, 2026
      W••••• A•••• I••••••••• M••••• F••• I• L•Private Equity Fund$02Mar 30, 2026
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• J•••••• L••••••• · Chief Compliance Officercontrol
        since 11/2025 · owns less than 5%
      • F•••••••• S••••• B•••• · Chief Financial Officercontrol
        since 11/2025 · owns less than 5%
      • W•••••• A•••••• C••••••• · Chief Executive Officercontrol
        since 11/2025 · owns less than 5%
      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
      • business activity changedChange between filings · filing Mar 30, 2026
        advises private funds (Item 7.B): no on the filing of 2025-12-03, yes on the filing of 2026-03-30
        peers: asset managers, $100M to $500M (1,568)
      • custody status changedChange between filings · filing Mar 30, 2026
        custody of client assets (Item 9.A): no on the filing of 2025-12-03, yes on the filing of 2026-03-30
        peers: asset managers, $100M to $500M (1,568)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 5
        Dec 3, 2025 to Mar 30, 2026
      • Advisory employees · 5 to 15
        Dec 3, 2025 to Mar 30, 2026
      • Pooled vehicle clients · unset to 5.0
        Dec 3, 2025 to Mar 30, 2026
      • Assets in custody · unset to 349020000.0
        Dec 3, 2025 to Mar 30, 2026
      • Custody of client assets · false to true
        Dec 3, 2025 to Mar 30, 2026
      • Employees · 5 to 17
        Dec 3, 2025 to Mar 30, 2026
      • Private funds · unset to 5
        Dec 3, 2025 to Mar 30, 2026
      • Discretionary RAUM · $0 to $349M
        Dec 3, 2025 to Mar 30, 2026
      • Pooled vehicle RAUM · unset to 349020000.0
        Dec 3, 2025 to Mar 30, 2026
      • RAUM · $0 to $349M
        Dec 3, 2025 to Mar 30, 2026
      Signals
      5 dated events
      • ••• Locked
        Mar 30, 2026 · private fund first reported · fact
      • ••• Locked
        Mar 30, 2026 · private fund first reported · fact
      • ••• Locked
        Mar 30, 2026 · private fund first reported · fact
      • ••• Locked
        Mar 30, 2026 · private fund first reported · fact
      • ••• Locked
        Mar 30, 2026 · private fund first reported · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Principal office phone
      ••• Lockedreportedpublic 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
      Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026