DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S•••••••• A•••• M••••••••• L••

No RAUM reportedCoral Gables, FloridaCRD 339039SEC 801-134952IAPD
Latest filing Aug 26, 2026
First filing on the tape Dec 22, 2025 · 4 filings
SEC status 120-day approval since Jan 7, 2026
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$0 as of Aug 26, 2026
Dec 22, 2025$0 then
HNW client RAUM$0 as of Aug 26, 2026
Dec 22, 2025$0 then
State-registered IARs (5.B.3)1 as of Aug 26, 2026
Dec 22, 20251 then
Employees (5.A)10 as of Aug 26, 2026
Dec 22, 202510 then
Private funds: no history
Practice profile
derived from the filing of Aug 26, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
10.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 assets, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
yesreportedItem 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)
  • has custody of client securities (9.A.1.b)
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
0reported
Financial planning clients
reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=8.0derived
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
      • D••••••• M••••• E• · Chief Executive Officercontrol
        since 10/2025 · owns less than 5%
      • R••••• I••••••• M•••••• · Sr Compliance Officercontrol
        since 10/2025 · owns less than 5%
      • S•••• R•••• · Chief Compliance Officercontrol
        since 04/2026 · owns less than 5%
      Entity owners
      • S•••••••• S••••••••• H•••••••• I••• · Member
        direct · owns 75% or more
      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 Aug 26, 2026
        portfolio management for pooled vehicles (Item 5.G.4): yes on the filing of 2026-07-10, no on the filing of 2026-08-26
        peers: other advisers, under $100M (664)
      • compensation changedChange between filings · filing Aug 26, 2026
        hourly charges (Item 5.E.2): yes on the filing of 2026-07-10, no on the filing of 2026-08-26
        peers: other advisers, under $100M (664)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 3
        Jul 10, 2026 to Aug 26, 2026
      • Assets in custody · unset to 0.0
        May 1, 2026 to Jul 10, 2026
      • Custody of client assets · false to true
        May 1, 2026 to Jul 10, 2026
      Signals
      1 dated events
      • ••• Locked
        Dec 22, 2025 · Owner of a newly registered adviser · 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
      Principal office phone
      786-292-0512reportedpublic record, Form ADV, Aug 26, 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
      No RAUM reportedderiveda 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