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
F•••••• A••••••• S••••••••• C••••
Latest filing Jul 22, 2026
First filing on the tape Jul 22, 2026 · 1 filings
SEC status approved since Aug 5, 2026
RAUM
$590M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
33%
$197M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$148M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $590M
HNW client RAUM: $179M
State-registered IARs (5.B.3): 4
Employees (5.A): 4
Private funds: 1
Practice profile
derived from the filing of Jul 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $148MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.5MderivedHNW RAUM over HNW clients
- Average account
- $8.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 66%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 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, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $6.2M, 1 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
- 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$386M66%
- High-net-worth individuals$179M30%
- Individuals$18.8M3.2%
- Pooled investment vehicles$6.2M1.1%
- Individual clients
- 23reported
- HNW clients
- 21reported
- Pension plan clients
- 0reported
- Charitable clients
- 5reported
- Accounts
- 74reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.2M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.33 fund_share=0.01 institutional_share=0.66 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• T••••• B••••• | Miami, Fl | Jan 17, 2025 | 20 y | 3 |
| G•••••• A•••••• R•••••• | Miami, Fl | Feb 10, 2025 | 25 y | 2 |
| S••••• S••••• B•••••• | Miami, Fl | May 22, 2025 | 36 y | 0 |
| A••• S••••• P•••••• | Miami, Fl | Nov 11, 2025 | 40 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- L•••• R•••••• R•••• to F•••••• A•••••••• L••Apr 16, 2024 · RIA to a newly registered adviser
Joined, latest
- G•••••• A•••••• R•••••• from A•••••• I••••••••• I•••Feb 10, 2025 · Other
- W•••••• T••••• B••••• from M••••• S••••••Jan 17, 2025 · Wirehouse to independent RIA
- L•••• R•••••• R•••• from T••••• A••••••• S•••••••• I•••Jan 11, 2024 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• A••• S••••• · Director; Chairman, Trustee Of A••• S• P•••••• L••••• T••••controlsince 09/1997 · owns less than 5%
- B••••••• S••••• S••••• · Vp, Shareholdersince 09/1997 · owns 5% to 10%
- P••••••• B•••••• A•• · Trustee Of A••• S P••••••since 12/1997 · owns less than 5%
- R••••••• G•••••• A•••••• · Cco; Rop, Principal, Shareholdersince 03/2016 · owns 5% to 10%
Entity owners
- A••• S• P•••••• L••••• T•••• · Shareholderdirect · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Jul 22, 2026RAUM per account of $7,973,450 against a peer median of $610,947 (1443 comparable advisers, 98.0th percentile, 5.0 robust deviations)peers: independent wealth managers, $500M to $1B (1,443) · 98% percentile
- high institutional concentrationStatic outlier · filing Jul 22, 2026institutional share of RAUM of 66% against a peer median of 2% (1482 comparable advisers, 99.0th percentile, 21.6 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 99% percentile
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- L•••• R•••••• R•••• left F•••••• A••••••• S••••••••• C•••• for F•••••• A•••••••• L•• (registered 2024-04-24)Apr 16, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- F•••••• A••••••• S••••••••• C•••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 305-670-9250reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-808-9891reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- F••••••A•••••••.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 305-670-9250reportedpublic record, Form ADV, Jul 22, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $148Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
F•••••• A••••••• S••••••••• C•••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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