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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

S••••••••• • A••••••••• A•••• M••••••••• L••

S•••••• C•••• S•••••••••, CRD 112547

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Search this name across graphsid dfx:ria:73a7c599-4cad-726e-7580-a2a59e17b8e8

Data as of Jan 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Dec 9, 2011 to Jan 22, 2026
30 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $129MItem 5.F on the latest filing (2026-01-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $129M
Private client RAUM: $129MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••••• C•••• S•••••••••	Certified Financial Planner	LONGBOAT KEY, FL \| Eagle, ID	1	42	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••••• S••••••• C••••	OWNER/CHIEF COMPLIANCE OFFICER/MANAGING MEMBER	E	yes	05/1970	Dec 9, 2011	Jan 23, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
LONGBOAT KEY	FL	United States	2	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$129M	$118M	8.9%	$115M	3.8%	2	2	2	1

Relationships

Registered with (1)

← S•••••• C•••• S•••••••••Advisorregistration: previous registration
Dec 2, 1993 to Dec 31, 2007factForm ADV

Controls (1)

← S••••••••• S••••••• C••••OwnerOWNER/CHIEF COMPLIANCE OFFICER/MANAGING MEMBER, ownership code E, individual
Dec 9, 2011 to Jan 23, 2024factForm ADV

Dated events

Occurred
Feb 6, 2020
Succession filed (Item 4)
S••••••••• • A••••••••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73a7c599-4cad-726e-7580-a2a59e17b8e8
First observed: Dec 9, 2011
Last observed: Jan 22, 2026 8 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.

2025	Jan 22, 2026	$129M	$129M	2	2	2	n/a	n/a
2024	Apr 30, 2025	$118M	$118M	2	2	1	n/a	n/a
2023	Jan 23, 2024	$113M	$113M	2	2	1	n/a	n/a
2022	Jan 13, 2023	$115M	$115M	2	2	2	n/a	n/a
2021	Jan 5, 2022	$146M	$146M	2	2	2	n/a	n/a
2020	Feb 1, 2021	$143M	$143M	2	2	2	n/a	n/a
2019	Feb 4, 2020	$140M	$140M	2	2	2	n/a	n/a
2018	Feb 4, 2019	$135M	$135M	2	2	1	n/a	n/a
2017	Jan 5, 2018	$130M	$130M	2	2	1	n/a	n/a
2016	Jan 31, 2017	$115M	$115M	2	1	n/a	n/a	n/a
2015	Feb 2, 2016	$116M	$116M	2	1	n/a	n/a	n/a
2014	May 1, 2015	$115M	$115M	2	1	n/a	n/a	n/a
2013	Jan 28, 2014	$112M	$112M	2	1	n/a	n/a	n/a
2012	Jan 4, 2013	$93.0M	$93.0M	2	1	n/a	n/a	n/a
2011	Dec 9, 2011	$95.0M	$95.0M	n/a	n/a	n/a	n/a	n/a