DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

S••••• C••••••• • A••••••••• I•••

CRD 112105

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Search this name across graphsid dfx:ria:c48c22ad-f2e6-7158-3abf-a9050fb060cd

Data as of Apr 9, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 6
On other graphs: 0
Observed: Feb 16, 2012 to Apr 9, 2025
21 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
Regulatory AUM: $408M••• Locked
Discretionary RAUM: $404M
Private client RAUM: $408Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• S•••••• D••••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	12/1996	Feb 16, 2012	May 5, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	2	-2	n/a	0	0	0	0	2

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$408M	$364M	12.2%	$293M	11.7%	2	1	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•••	2	Apr 1, 2026	Dec 23, 2025	PALOS VERDES ESTATES, CA	Team lift out	RIA to RIA	100.0%

Relationships

Registered with (2)

← S••••• D•••• C•••••••Advisorregistration: previous registration
Jun 19, 2012 to Apr 1, 2026factForm ADV
← H•••• R••••• C•••••••Advisorregistration: previous registration
Apr 2, 2025 to Apr 1, 2026factForm ADV

Moved with (1)

→ L•••Registered adviser2 advisors, team lift out, same day
Apr 1, 2026 to Dec 23, 2025factForm ADV

Controls (1)

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Apr 1, 2026
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Apr 1, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 1, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c48c22ad-f2e6-7158-3abf-a9050fb060cd
First observed: Feb 16, 2012
Last observed: Apr 9, 2025 17 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.