DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

S••••••• I••••••••• G••••• L••

CRD 148708

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ef913c68-0ed3-607d-96b9-fefe92105f59

Data as of Dec 20, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 5
On other graphs: 0
Observed: Dec 20, 2024 to Dec 20, 2024
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $127M••• Locked
Discretionary RAUM: $125M
Private client RAUM: $127Mderived••• 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
S•••••••• C••••• H•••••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	E	yes	12/2008	Dec 20, 2024	Dec 20, 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

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F••••••	2	Nov 17, 2025	Jan 12, 2026	DELRAY BEACH, FL	Team lift out	RIA to RIA	100.0%

Relationships

Controls (1)

← S•••••••• C••••• H•••••OwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Dec 20, 2024 to presentfactForm ADV

Moved with (1)

→ F••••••Registered adviser2 advisors, team lift out, same day
Nov 17, 2025 to Jan 12, 2026factForm ADV

Registered with (2)

← C•••• H••••• S•••••••Advisorregistration: previous registration
Dec 9, 2008 to Nov 17, 2025factForm ADV

Dated events

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

Occurred
Nov 17, 2025
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Nov 17, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 17, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ef913c68-0ed3-607d-96b9-fefe92105f59
First observed: Dec 20, 2024
Last observed: Dec 20, 2024 21 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.