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.

Former SEC-registered adviser

Efg Capital International Corp.

Former SEC-registered adviserMiami, FloridaCRD 40118SEC 801-120569IAPD
Latest filing Mar 11, 2021
First filing on the tape Feb 18, 2021 · 4 filings
RAUM
n/a
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
104
4 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: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 11, 2021
Feb 18, 20214 then
Employees (5.A)104 as of Mar 11, 2021
Feb 18, 2021104 then
Private funds: no history
Practice profile
derived from the filing of Mar 11, 2021; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
26.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Marcelo Alvim Coscarelli · Ceocontrol
      since 11/2016 · owns less than 5%
    • Victor Manuel Echevarria · Chairman Of The Boardcontrol
      since 03/2008 · owns less than 5%
    • Andre Santos Esteves · Shareholdercontrol
      since 06/2009 · owns 25% to 50% of Btg Pactual Holding S.A.
    • Guillermo Arturo Argumedo · Senior Vice President, Registered Options Principal
      since 12/2005 · owns less than 5%
    • Cristina Marie Leder · Principal Financial Officer
      since 10/2018 · owns less than 5%
    • Silvana Sobral Mesquita · Amlco
      since 07/2018 · owns less than 5%
    • Samantha Crystal Santiago · Chief Compliance Officer
      since 01/2020 · owns less than 5%
    • Marco A Tuesta · Principal Operations Officer
      since 10/2018 · owns less than 5%
    Entity owners
    • Efg Capital Holdings Corp. · Parent
      direct · owns 75% or more
    • Banco Btg Pactual Sa · Shareholder
      indirect · owns 75% or more of Btgp-Bsi Limited
    • Btg Pactual Holding Financeira Ltda · Shareholder
      indirect · owns 50% to 75% of Banco Btg Pactual S.A
    • Btg Pactual Holding Sa · Shareholder
      indirect · owns 75% or more of Btg Pactual Holding Financeira Ltda
    • Btgp - Bsi Limited · Shareholder
      indirect · owns 25% to 50% of Efg International Ag Zurich
    • Efg Bank European Financial Group S.A Geneva · Parent
      indirect · owns 25% to 50% of Efg International Ag Zurich
    • Efg European Financial Group Ltd (Malta) · Parent
      indirect · owns 75% or more of European Financial Group Efg (Luxembourg) Sa
    • Efg International Ag Zurich · Parent
      indirect · owns 75% or more of Efg Capital Holdings Corp.
    • European Financial Group Efg (Luxembourg) Sa · Parent
      indirect · owns 75% or more of Efg Bank European Financial Group Sa Geneva
    • Private Financial Holdings Ltd (Bermuda) · Parent
      indirect · owns 75% or more of Efg European Financial Group Ltd Malta
    Related persons
    Schedule D 7.A
    • Efg Private Wealth Management (Americas) Corp.
      investment advisernRAUM $2.3B
    • Efg Asset Management (Switzerland) Sa
      investment advisern
    • Efg Asset Management (Uk) Limited
      investment advisern
    • Efg Bank & Trust (Bahamas) Ltd.
      custodiann
    • Efg Bank Ag
      custodiann
    • Efg Bank Sa
      custodiann
    Advisers that list Efg Capital International Corp. as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    4 dated events
    • 2 advisors left Efg Private Wealth Management (Americas) Corp. (Miami, FL) for Efg Capital International Corp. on the same day
      Jul 6, 2022 · Team lift-out · derived
    • Andre Santos Esteves (Shareholder) appeared on Schedule A of Efg Capital International Corp.
      Mar 11, 2021 · Control person joined · fact
    • Roberto Balls Sallouti (Shareholder) no longer on Schedule A of Efg Capital International Corp. (listed 2021-03-03, absent 2021-03-09)
      Mar 9, 2021 · Control person left · inference
    • Efg Capital International Corp. filed its initial SEC registration (Form ADV)
      Feb 18, 2021 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda 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