DFX Intelligence

S••• R••••••••• S•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

S••• R••••••••• S•••••••••

S••• INVESTMENT S•••••••••, LLC, CRD 332099

SARASOTA, FL

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Search this name across graphsid dfx:ria:244c6233-54c0-bea1-5a96-d88297ae2987

Data as of Feb 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Feb 16, 2026 to Feb 16, 2026
1 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $48.0M••• Locked
Discretionary RAUM: $47.5M
Private client RAUM: $45.2Mderived••• Locked
Private client share: 94%derivedprivate client RAUM over total RAUM
Employees: 2
Advisory employees: 1

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• L•••• W•••••	n/a	SARASOTA, FL	2	10	1	no

Relationships

Registered with (2)

← M•••••• L•••• W•••••Advisorregistration: current employment
Jul 18, 2024 to presentfactForm ADV
← M•••••• F•••••• T•••••Advisorregistration: previous registration
Sep 5, 2024 to Jan 24, 2025factForm ADV

Dated events

Occurred
Jan 24, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:244c6233-54c0-bea1-5a96-d88297ae2987
First observed: Feb 16, 2026
Last observed: Feb 16, 2026 7 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.