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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Former SEC-registered adviser
S••••••• M••••••••• C••••••
Latest filing Aug 28, 2015
First filing on the tape Mar 29, 2012 · 11 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$3.0B as of Mar 19, 2015
Mar 29, 2012$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)9 as of Mar 19, 2015
Mar 29, 20120 then
Employees (5.A)26 as of Mar 19, 2015
Mar 25, 201327 then
Private funds: no history
RAUM -56% over the last fiscal year-15% a year over threeIARs 9 to 5
Practice profile
derived from the filing of Aug 28, 2015; every figure names its basis
- RAUM per advisor
- $229MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $95.0M, 68 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 565reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $95.0M for 68 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
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
- J•••• V•• D••• Q•••••• to B••• S••••••••• L••Mar 10, 2016 · Other
- M•••••• J••••• A•••• to B••• S••••••••• L••Mar 10, 2016 · Other
- G••••• M•••••• V•• H••• to S••••••• C•••••• M••••••••• L••Aug 3, 2015 · Other
- A••••• T••••• D•••• to S••••••• C•••••• M••••••••• L••Aug 3, 2015 · Other
- S•••• M•••••• G•••••••• to S••••••• C•••••• M••••••••• L••Aug 3, 2015 · Other
- P•••••• J••••• M••••••• to N••••••• A•••••••May 19, 2015 · Other
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B••• S••••••••• L••Mar 10, 2016 · King Of Prussia, Pa
- 3 left for S••••••• C•••••• M••••••••• L••Aug 3, 2015 · King Of Prussia, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• J•••• A•••• · Chief Executive Officer, President & Directorcontrolsince 05/2012 · owns less than 5%
- C•••• B••••• S•••• · Directorcontrolsince 08/2015 · owns less than 5%
- F••••••• S•• J•••• P••••• · Directorcontrolsince 05/2008 · owns less than 5%
- F••••••• B••••••• A•••• · Chairman Of The Board Of Directorscontrolsince 05/2008 · owns less than 5%
- M••••••• D•••••• K••••••• · Directorcontrolsince 08/2015 · owns less than 5%
- Q••••••• J••••• V•• D••• · Directorcontrolsince 02/2010 · owns less than 5%
- R•••••• M•••• A•••• · Directorcontrolsince 02/2014 · owns less than 5%
- R•••• M•• Z•• · Directorcontrolsince 05/2008 · owns less than 5%
- C•••••• L••••• M••••• · Chief Compliance Officer & Chief Operating Officersince 04/2012 · owns less than 5%
- S••••••• M••••••• F•••••• · Treasurersince 05/2012 · owns less than 5%
Entity owners
- B••• C••••••••• · Ownerdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- B••• C•••••••••y
- B••• I••••••••• I••••••••• A•••••••• I•••investment adviserLP sponsornRAUM $9.0B
- B••• I••••••••• S•••••••• I•••broker-dealerinvestment advisernRAUM $1.1B
- B••• S••••••••• L••broker-dealerinvestment adviserbankreal estatenRAUM $26B
- P••• R••• V••••••• C•••••••••broker-dealern
- S••••••• C•••••• M••••••••• L••investment advisernRAUM $69B
- S••••••••• B•••n
- V••••• F•••• A•••• M••••••••• L••broker-dealerinvestment adviserLP sponsorreal estatenRAUM $2.2B
Advisers that list S••••••• M••••••••• C•••••• as a related person
- 7438 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 641 to 565Mar 19, 2015 to Aug 28, 2015
- Advisory employees · 10 to 6Mar 19, 2015 to Aug 28, 2015
- Advisory activities · 3 to 2Mar 19, 2015 to Aug 28, 2015
- Assets in custody · $290M to $95.0MMar 19, 2015 to Aug 28, 2015
- Employees · 26 to 16Mar 19, 2015 to Aug 28, 2015
- State-registered IARs · 9 to 5Mar 19, 2015 to Aug 28, 2015
- Discretionary RAUM · $2.6B to $757MMar 19, 2015 to Aug 28, 2015
- Non-discretionary RAUM · $398M to $390MMar 19, 2015 to Aug 28, 2015
- RAUM · $3.0B to $1.1BMar 19, 2015 to Aug 28, 2015
- Related bank · false to trueMar 19, 2015 to Aug 28, 2015
- Accounts · 640 to 641Nov 20, 2014 to Mar 19, 2015
- Advisory employees · 9 to 10Nov 20, 2014 to Mar 19, 2015
- Assets in custody · $227M to $290MNov 20, 2014 to Mar 19, 2015
- Employees · 27 to 26Nov 20, 2014 to Mar 19, 2015
- Discretionary RAUM · $2.3B to $2.6BNov 20, 2014 to Mar 19, 2015
- Non-discretionary RAUM · $372M to $398MNov 20, 2014 to Mar 19, 2015
- RAUM · $2.6B to $3.0BNov 20, 2014 to Mar 19, 2015
- Accounts · 687 to 640Mar 25, 2013 to Mar 21, 2014
- Assets in custody · $58.6M to $227MMar 25, 2013 to Mar 21, 2014
- Discretionary RAUM · $1.8B to $2.3BMar 25, 2013 to Mar 21, 2014
- Non-discretionary RAUM · $293M to $372MMar 25, 2013 to Mar 21, 2014
- RAUM · $2.1B to $2.6BMar 25, 2013 to Mar 21, 2014
- Accounts · 643 to 687Jun 29, 2012 to Mar 25, 2013
- Advisory employees · unset to 9.0Jun 29, 2012 to Mar 25, 2013
- BD registered reps · unset to 0.0Jun 29, 2012 to Mar 25, 2013
- Assets in custody · unset to 58581718.0Jun 29, 2012 to Mar 25, 2013
- Custody of client assets · false to trueJun 29, 2012 to Mar 25, 2013
- Employees · unset to 27.0Jun 29, 2012 to Mar 25, 2013
- State-registered IARs · 0 to 9Jun 29, 2012 to Mar 25, 2013
- Discretionary RAUM · $1.6B to $1.8BJun 29, 2012 to Mar 25, 2013
- Non-discretionary RAUM · $268M to $293MJun 29, 2012 to Mar 25, 2013
- RAUM · $1.9B to $2.1BJun 29, 2012 to Mar 25, 2013
- Legal name · S••••••• MANAGEMENT CO to S••••••• M••••••••• C••••••Mar 29, 2012 to Mar 30, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda 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