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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••••••• C•••••• S••••••• I••
Legal name S••••••• C•••••• S•••••••• I•••
Latest filing Mar 23, 2026
First filing on the tape Mar 21, 2012 · 39 filings
SEC status approved since Sep 15, 2017
RAUM
$192M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
93%
$178M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$32.1M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$192M as of Mar 23, 2026
Mar 21, 2012$71.0M then
HNW client RAUM$107M as of Mar 23, 2026
Mar 28, 2018$38.4M then
State-registered IARs (5.B.3)6 as of Mar 23, 2026
Mar 21, 20120 then
Employees (5.A)9 as of Mar 23, 2026
Mar 28, 20187 then
Private funds: no history
RAUM +11% over the last fiscal year+8.2% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- hnw wealth man•••• · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $32.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $274,972derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 7.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -46%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$107M56%
- Individuals$70.7M37%
- Pension and profit-sharing plans$14.1M7.3%
- Charitable organizations$246,6870.1%
- Individual clients
- 331reported
- HNW clients
- 42reported
- Pension plan clients
- 20reported
- Charitable clients
- 1reported
- Accounts
- 700reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• E••••• N••••Certified Financial Planner, Chartered Financial Consultant | Daphne, Al | May 8, 1991 | 44 y | 0 |
| D•••• E••• L••••••Certified Financial Planner | Daphne, Al | May 8, 1991 | 40 y | 0 |
| W•••• L••••• N••••• B•••••Certified Financial Planner | Daphne, Al | Nov 7, 2011 | 34 y | 3 |
| E••• M••••••• N•••• | Deerfield, Nh | Jan 28, 2013 | 26 y | 0 |
| M••••••• H•••Certified Financial Planner | Fayetteville, Tn | Mar 20, 2018 | 19 y | 0 |
| L•••• E••••• D•••• | Daphne, Al | Jun 6, 2022 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- W•••• L••••• N••••• B••••• from U•••• F•••••••• S••••••• G••••• I•••Nov 7, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• D••••• E••• · Treasurercontrolsince 12/1998 · owns 10% to 25%
- N••••• T••••• E••••• · Presidentcontrolsince 08/1982 · owns 50% to 75%
- N••••• B•••••• W••••• L••••• · Chief Compliance Officer; Vice-Presidentcontrolsince 11/2011 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Daphne, Al · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 23, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $174,107,059 to $192,480,551, advisors 6 to 6, private clients 687 to 373, offices 3 to 3 (2025-03-13 to 2026-03-23)peers: independent wealth managers, $100M to $500M (5,678)
- client count collapseChange between filings · filing Mar 23, 2026individual and HNW clients (Item 5.D) moved from 687.0 to 373.0 (-46.0%) between the annual amendments of 2025-03-13 and 2026-03-23; the peer median change was +3.0% (3309 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 2.1% percentile
What changed
consecutive filings, newest first
- Accounts · 711 to 700Mar 13, 2025 to Mar 23, 2026
- HNW clients · 38 to 42Mar 13, 2025 to Mar 23, 2026
- Individual clients · 649 to 331Mar 13, 2025 to Mar 23, 2026
- Pension plan clients · 18 to 20Mar 13, 2025 to Mar 23, 2026
- Discretionary RAUM · $173M to $191MMar 13, 2025 to Mar 23, 2026
- HNW RAUM · $88.4M to $107MMar 13, 2025 to Mar 23, 2026
- Individual RAUM · $71.9M to $70.7MMar 13, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $1.2M to $980,727Mar 13, 2025 to Mar 23, 2026
- Pension RAUM · $13.7M to $14.1MMar 13, 2025 to Mar 23, 2026
- RAUM · $174M to $192MMar 13, 2025 to Mar 23, 2026
- Accounts · 709 to 711Oct 4, 2024 to Mar 13, 2025
- Advisory employees · 7 to 6Oct 4, 2024 to Mar 13, 2025
- HNW clients · 32 to 38Oct 4, 2024 to Mar 13, 2025
- Individual clients · 337 to 649Oct 4, 2024 to Mar 13, 2025
- Pension plan clients · 15 to 18Oct 4, 2024 to Mar 13, 2025
- Employees · 11 to 9Oct 4, 2024 to Mar 13, 2025
- Financial planning clients · unset to Oct 4, 2024 to Mar 13, 2025
- State-registered IARs · 7 to 6Oct 4, 2024 to Mar 13, 2025
- Other offices · 2 to 3Oct 4, 2024 to Mar 13, 2025
- Discretionary RAUM · $156M to $173MOct 4, 2024 to Mar 13, 2025
- HNW RAUM · $73.8M to $88.4MOct 4, 2024 to Mar 13, 2025
- Individual RAUM · $69.9M to $71.9MOct 4, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $1.1M to $1.2MOct 4, 2024 to Mar 13, 2025
- Pension RAUM · $13.7M to $13.7MOct 4, 2024 to Mar 13, 2025
- RAUM · $158M to $174MOct 4, 2024 to Mar 13, 2025
- Advisory employees · 6 to 7Apr 18, 2024 to Oct 4, 2024
- Employees · 10 to 11Apr 18, 2024 to Oct 4, 2024
- State-registered IARs · 6 to 7Apr 18, 2024 to Oct 4, 2024
- Accounts · 725 to 709Nov 16, 2023 to Mar 29, 2024
- HNW clients · 23 to 32Nov 16, 2023 to Mar 29, 2024
- Individual clients · 336 to 337Nov 16, 2023 to Mar 29, 2024
- Pension plan clients · 17 to 15Nov 16, 2023 to Mar 29, 2024
- Discretionary RAUM · $151M to $156MNov 16, 2023 to Mar 29, 2024
- HNW RAUM · $53.8M to $73.8MNov 16, 2023 to Mar 29, 2024
- Individual RAUM · $80.9M to $69.9MNov 16, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $1.0M to $1.1MNov 16, 2023 to Mar 29, 2024
- Pension RAUM · $17.0M to $13.7MNov 16, 2023 to Mar 29, 2024
- RAUM · $152M to $158MNov 16, 2023 to Mar 29, 2024
- Accounts · 706 to 725Aug 11, 2022 to Mar 14, 2023
- HNW clients · 32 to 23Aug 11, 2022 to Mar 14, 2023
Signals
1 dated events
- S••••••• C•••••• S••••••• I•• filed its initial SEC registration (Form ADV)Aug 15, 2017 · First SEC registration · 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
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- c••••••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- a•••••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- k•••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- m•••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- t••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 251-626-3257reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 251-626-1140reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 850-858-3000reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/S•••••••-CAPITAL-SERVICESreportedpublic record, Form ADV, Sep 19, 2026
- Website
- S•••••••CAPITALSERVICES.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 251-626-1140reportedpublic record, Form ADV, Mar 23, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $32.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026