DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
S•• I••••••••• M••••••••• L••
Latest filing Mar 28, 2026
First filing on the tape Mar 29, 2012 · 27 filings
SEC status approved since Jan 31, 1975
RAUM
$2.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
20%
$516M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$2.6B as of Mar 28, 2026
Mar 29, 2012$1.9B then
HNW client RAUM$35.2M as of Mar 28, 2026
Mar 26, 2018$15.7M then
State-registered IARs (5.B.3)2 as of Mar 28, 2026
Mar 26, 20130 then
Employees (5.A)25 as of Mar 28, 2026
Mar 26, 201338 then
Private funds1 as of May 16, 2025
Mar 29, 20125 then
RAUM +18% over the last fiscal year+6.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $1.3BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.0MderivedHNW RAUM over HNW clients
- Average account
- $32.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 12.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.5%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$778M30%
- State and municipal entities$566M22%
- Individuals$481M19%
- Pension and profit-sharing plans$341M13%
- Insurance companies$278M11%
- Charitable organizations$76.1M3.0%
- High-net-worth individuals$35.2M1.4%
- Corporations and businesses$56,0000.0%
- Individual clients
- 24reported
- HNW clients
- 5reported
- Pension plan clients
- 24reported
- Charitable clients
- 7reported
- Accounts
- 79reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.2 fund_share=0.3 institutional_share=0.49 related_bd=true related_bank=true bd_reps=2.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• C••••••••• I••••• F•••• L•••no longer reported | Hedge Fund | $241M | 26 | Mar 29, 2012 |
| S•• T••••••• A•••• H••••• L•••no longer reported | Hedge Fund | $40.3M | 8 | Mar 29, 2012 |
| S•• C••••••••• I••••• F••• I•• L•••• C•••• B•no longer reported | Hedge Fund | $17.3M | 3 | Mar 22, 2013 |
| S•• H••••• C••••••••• O••••••••• F•••• L•••no longer reported | Hedge Fund | $11.3M | 7 | Mar 29, 2012 |
| S•• M••••• N••••••• L•••no longer reported | Hedge Fund | $8.3M | 10 | Mar 29, 2012 |
| S•• C••••••••• O••••••••• F•••• L•••• C•••• A•no longer reported | Hedge Fund | $5.8M | 7 | Mar 29, 2012 |
| S•• C••••••••• O••••••••• F•••• L•••• C•••• B•no longer reported | Hedge Fund | $2.4M | 1 | Mar 22, 2013 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• G•••••• M•••••• · Chief Investment Officer, Managing Principal, Directorcontrolsince 05/2019 · owns less than 5%
- H•••••• R••••••• L••• · Directorcontrolsince 04/2022 · owns less than 5%
- M••••• R••• · Portfolio Manager, Principal, Directorcontrolsince 05/2019 · owns less than 5%
- M••••• S•••• F•••• · President, Chief Compliance Officer, Directorcontrolsince 05/2019 · owns less than 5%
- S••••• G••••••• J••• · Directorcontrolsince 06/2024 · owns less than 5%
Entity owners
- R••••••• I••••••••• M•••••••• · Memberdirect · owns 50% to 75%
- R••••••• I••••••••• M•••••••• I••• · Memberdirect · owns 50% to 75%
- T••• S•• L•• · Memberdirect · owns 25% to 50%
- R••••••• A••••••••• I••• · Shareholderindirect · owns 75% or more of R••••••• I••••••••• M•••••••• I•••
- R••••••• T••••• I••• · Shareholderindirect · owns 75% or more of R••••••• A••••••••• I•••
Related persons
Schedule D 7.A
- A••••••• B••••• A•••••••• I•••investment adviserbanknRAUM $60B
- A••••••• P•••••• E••••• M••••••••• L••pooled vehicle sponsorn
- N••••••• I••••••••• S••••••• O• A••••••• L••investment adviserbankpooled vehicle sponsornRAUM $16B
- R••••••• I••••••••• D••••••••• I•••broker-dealern
- R•• I•••••••••investment advisernRAUM $2.3B
- S•••••• C•••••• M••••••••• L••investment advisernRAUM $2.0B
Advisers that list S•• I••••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 28, 2026RAUM per account of $32,340,810 against a peer median of $813,262 (1333 comparable advisers, 99.0th percentile, 21.3 robust deviations)peers: independent wealth managers, $1B to $5B (1,333) · 99% percentile
- business activity changedChange between filings · filing Mar 28, 2026portfolio management for pooled vehicles (Item 5.G.4): yes on the filing of 2025-05-16, no on the filing of 2026-03-28peers: independent wealth managers, $1B to $5B (1,362)
- business activity changedChange between filings · filing Mar 28, 2026advises private funds (Item 7.B): yes on the filing of 2025-05-16, no on the filing of 2026-03-28peers: independent wealth managers, $1B to $5B (1,362)
- custody status changedChange between filings · filing Mar 28, 2026custody of client assets (Item 9.A): yes on the filing of 2025-05-16, no on the filing of 2026-03-28peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 87 to 79May 16, 2025 to Mar 28, 2026
- Advisory activities · 4 to 3May 16, 2025 to Mar 28, 2026
- Corporate clients · 2 to 1May 16, 2025 to Mar 28, 2026
- Individual clients · 26 to 24May 16, 2025 to Mar 28, 2026
- Pension plan clients · 25 to 24May 16, 2025 to Mar 28, 2026
- Pooled vehicle clients · 1.0 to unsetMay 16, 2025 to Mar 28, 2026
- Assets in custody · 10819000.0 to unsetMay 16, 2025 to Mar 28, 2026
- Custody of client assets · true to falseMay 16, 2025 to Mar 28, 2026
- Employees · 26 to 25May 16, 2025 to Mar 28, 2026
- Private funds · 1 to unsetMay 16, 2025 to Mar 28, 2026
- Discretionary RAUM · $2.2B to $2.6BMay 16, 2025 to Mar 28, 2026
- HNW RAUM · $31.6M to $35.2MMay 16, 2025 to Mar 28, 2026
- Individual RAUM · $472M to $481MMay 16, 2025 to Mar 28, 2026
- Non-discretionary RAUM · $203,000 to $191,000May 16, 2025 to Mar 28, 2026
- Pension RAUM · $337M to $341MMay 16, 2025 to Mar 28, 2026
- Pooled vehicle RAUM · 10819000.0 to unsetMay 16, 2025 to Mar 28, 2026
- RAUM · $2.2B to $2.6BMay 16, 2025 to Mar 28, 2026
- Financial planning clients · unset to Mar 30, 2025 to May 16, 2025
- Accounts · 88 to 87Jul 22, 2024 to Mar 30, 2025
- BD registered reps · 1 to 2Jul 22, 2024 to Mar 30, 2025
- Charity clients · 8 to 7Jul 22, 2024 to Mar 30, 2025
- Corporate clients · 1 to 2Jul 22, 2024 to Mar 30, 2025
- Individual clients · 24 to 26Jul 22, 2024 to Mar 30, 2025
- Pension plan clients · 24 to 25Jul 22, 2024 to Mar 30, 2025
- Assets in custody · $11.3M to $10.8MJul 22, 2024 to Mar 30, 2025
- Employees · 27 to 26Jul 22, 2024 to Mar 30, 2025
- State-registered IARs · 0 to 2Jul 22, 2024 to Mar 30, 2025
- Discretionary RAUM · $2.0B to $2.2BJul 22, 2024 to Mar 30, 2025
- HNW RAUM · $26.1M to $31.6MJul 22, 2024 to Mar 30, 2025
- Individual RAUM · $422M to $472MJul 22, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $191,000 to $203,000Jul 22, 2024 to Mar 30, 2025
- Pension RAUM · $304M to $337MJul 22, 2024 to Mar 30, 2025
- Pooled vehicle RAUM · $11.3M to $10.8MJul 22, 2024 to Mar 30, 2025
- RAUM · $2.0B to $2.2BJul 22, 2024 to Mar 30, 2025
- Accounts · 100 to 88Mar 29, 2023 to Mar 27, 2024
- BD registered reps · 2 to 1Mar 29, 2023 to Mar 27, 2024
- Charity clients · 9 to 8Mar 29, 2023 to Mar 27, 2024
- HNW clients · 6 to 5Mar 29, 2023 to Mar 27, 2024
- Individual clients · 25 to 24Mar 29, 2023 to Mar 27, 2024
- Pension plan clients · 30 to 24Mar 29, 2023 to Mar 27, 2024
Signals
9 dated events
- John Gregory Stumm (Director) appeared on Schedule A of S•• I••••••••• M••••••••• L••Jul 22, 2024 · Control person joined · fact
- Karl Jeffrey Ringdahl (Director) no longer on Schedule A of S•• I••••••••• M••••••••• L•• (listed 2024-03-27, absent 2024-07-22)Jul 22, 2024 · Control person left · inference
- L••• R•••••• H••••• (Director) appeared on Schedule A of S•• I••••••••• M••••••••• L••May 9, 2022 · Control person joined · fact
- Louis Gene Needles (Director) no longer on Schedule A of S•• I••••••••• M••••••••• L•• (listed 2022-03-28, absent 2022-05-09)May 9, 2022 · Control person left · inference
- David John Gottfurcht (President) no longer on Schedule A of S•• I••••••••• M••••••••• L•• (listed 2019-05-29, absent 2019-06-27)Jun 27, 2019 · Control person left · inference
- Amy Jo Gottfurcht (Shareholder) no longer on Schedule A of S•• I••••••••• M••••••••• L•• (listed 2019-05-29, absent 2019-06-27)Jun 27, 2019 · Control person left · inference
- Louis Gene Needles (Director) appeared on Schedule A of S•• I••••••••• M••••••••• L••Jun 27, 2019 · Control person joined · fact
- Karl Jeffrey Ringdahl (Director) appeared on Schedule A of S•• I••••••••• M••••••••• L••Jun 27, 2019 · Control person joined · fact
- S•• I••••••••• M••••••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 29, 2019 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@ssi-invest.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-595-2000reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-595-2031reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- SSI-INVEST.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-595-2000reportedpublic record, Form ADV, Mar 28, 2026
- Contact form
- ssi-invest.com/index.php/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026