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SEC-registered adviser

P••••••••• P•••••• I••••• F••• A••••••• L••

Asset manager (funds and pooled vehicles)Miami Beach, FloridaCRD 337750SEC 801-134327IAPD
Latest filing Mar 31, 2026
First filing on the tape Aug 21, 2025 · 2 filings
SEC status approved since Sep 15, 2025
RAUM
$139M
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
91
30 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$139M as of Mar 31, 2026
Aug 21, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Aug 21, 20250 then
Employees (5.A)91 as of Mar 31, 2026
Aug 21, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 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
$139MderivedRAUM 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-basedreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• R••••••• T••••• · Chief Financial Officercontrol
        since 06/2025 · owns less than 5%
      • K•••• A•••• R••• · Managing Director And General Counselcontrol
        since 09/2024 · owns less than 5%
      • P•••• A•••••• H••••• · Chief Executive Officercontrol
        since 06/2025 · owns less than 5%
      • C••••••• G•••••• R•••••• · Chief Compliance Officer
        since 07/2025 · 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 31, 2026
        portfolio management for pooled vehicles (Item 5.G.4): yes on the filing of 2025-08-21, no on the filing of 2026-03-31
        peers: asset managers, $100M to $500M (1,568)
      • custody status changedChange between filings · filing Mar 31, 2026
        custody of client assets (Item 9.A): yes on the filing of 2025-08-21, no on the filing of 2026-03-31
        peers: asset managers, $100M to $500M (1,568)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 1
        Aug 21, 2025 to Mar 31, 2026
      • Advisory employees · 1 to 30
        Aug 21, 2025 to Mar 31, 2026
      • Pooled vehicle clients · 0.0 to unset
        Aug 21, 2025 to Mar 31, 2026
      • Assets in custody · 0.0 to unset
        Aug 21, 2025 to Mar 31, 2026
      • Custody of client assets · true to false
        Aug 21, 2025 to Mar 31, 2026
      • Employees · 2 to 91
        Aug 21, 2025 to Mar 31, 2026
      • Discretionary RAUM · $0 to $139M
        Aug 21, 2025 to Mar 31, 2026
      • Pooled vehicle RAUM · 0.0 to unset
        Aug 21, 2025 to Mar 31, 2026
      • RAUM · $0 to $139M
        Aug 21, 2025 to Mar 31, 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
      212-905-1000reportedpublic record, Form ADV, Mar 31, 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