DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

S••••••• A•••••

S••••••• A••••• A•••••, CRD 285819

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Search this name across graphsid dfx:ria:6646244c-85e3-ad11-37d2-a0602e02d5f4

Data as of Mar 31, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 1
On other graphs: 0
Observed: Nov 1, 2016 to Mar 31, 2017
3 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: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
SEC number: 801-108619
CRD: 285819
Filings on the tape: 3
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••• A•••••• A•••••	SOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER	E	yes	10/2016	Nov 1, 2016	Mar 31, 2017

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 31, 2017	n/a	n/a	1	1	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	n/a	n/a	n/a	n/a	n/a	1	n/a	n/a	n/a

Relationships

Controls (1)

← S••••••• A•••••• A•••••OwnerSOLE PROPRIETOR/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 1, 2016 to presentfactForm ADV

Dated events

Occurred
Nov 1, 2016
First Form ADV filing
S••••••• A••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6646244c-85e3-ad11-37d2-a0602e02d5f4
First observed: Nov 1, 2016
Last observed: Mar 31, 2017 115 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.