DFX Intelligence
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T•• S•••• S• J•••• C••••••
Independent wealth manager, based in Falls Church, Virginia, reporting $139M of regulatory assets across 3 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $139M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +11%
- Private clients
- 100% of RAUM, $139M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 3
Every filed figure, and the identifiersCRD 105861 · SEC 801-123515 · 14 filingsShowHide
CRD 105861SEC 801-123515Legal name J•••• S•••• S• C•First filing on the tape Nov 10, 2011, latest Mar 30, 2026SEC status approved since Mar 25, 2022IAPD
RAUM
$139M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$139M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$46.5M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$139M as of Mar 30, 2026
Mar 27, 2012$77.2M then
HNW client RAUM$123M as of Mar 30, 2026
Mar 27, 2023$63.2M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Mar 27, 20120 then
Employees (5.A)3 as of Mar 30, 2026
Mar 27, 20233 then
Private funds: no history
RAUM +11% over the last fiscal year+18% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $46.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $522,031derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $30.2M, 11 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
- is a broker-dealer (6.A.1)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$123M88%
- Individuals$16.2M12%
- Individual clients
- 54reported
- HNW clients
- 85reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 267reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.2M for 11 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• L••• S••••••Certified Financial Planner | Falls Church, Va | Apr 11, 1996 | 33 y | 0 |
| S•••• S••••• J••••Certified Financial Planner | Falls Church, Va | Apr 16, 1996 | 39 y | 0 |
| T•••• S•• J•••• | Falls Church, Va | May 16, 2025 | 12 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• S••••• S••••• · President, Chief Compliance Officercontrolsince 03/1993 · owns 75% or more
Related persons
Schedule D 7.A
- S•••• J•••• G••••• I•••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Falls Church, Va · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 287 to 267Mar 26, 2025 to Mar 30, 2026
- BD registered reps · 3 to 2Mar 26, 2025 to Mar 30, 2026
- Individual clients · 50 to 54Mar 26, 2025 to Mar 30, 2026
- Assets in custody · $26.0M to $30.2MMar 26, 2025 to Mar 30, 2026
- State-registered IARs · 2 to 3Mar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $114M to $132MMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $115M to $123MMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $10.5M to $16.2MMar 26, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $11.7M to $7.5MMar 26, 2025 to Mar 30, 2026
- RAUM · $125M to $139MMar 26, 2025 to Mar 30, 2026
- Accounts · 248 to 287Mar 22, 2024 to Mar 26, 2025
- HNW clients · 64 to 85Mar 22, 2024 to Mar 26, 2025
- Individual clients · 52 to 50Mar 22, 2024 to Mar 26, 2025
- Assets in custody · $6.1M to $26.0MMar 22, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Mar 22, 2024 to Mar 26, 2025
- Discretionary RAUM · $79.8M to $114MMar 22, 2024 to Mar 26, 2025
- HNW RAUM · $79.2M to $115MMar 22, 2024 to Mar 26, 2025
- Individual RAUM · $12.3M to $10.5MMar 22, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $11.7M to $11.7MMar 22, 2024 to Mar 26, 2025
- RAUM · $91.6M to $125MMar 22, 2024 to Mar 26, 2025
- Accounts · 260 to 248Mar 28, 2023 to Mar 22, 2024
- Individual clients · 54 to 52Mar 28, 2023 to Mar 22, 2024
- Assets in custody · $6.1M to $6.1MMar 28, 2023 to Mar 22, 2024
- Financial planning clients · 26-50 to 1-10Mar 28, 2023 to Mar 22, 2024
- Discretionary RAUM · $75.1M to $79.8MMar 28, 2023 to Mar 22, 2024
- HNW RAUM · $63.2M to $79.2MMar 28, 2023 to Mar 22, 2024
- Individual RAUM · $22.5M to $12.3MMar 28, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $10.6M to $11.7MMar 28, 2023 to Mar 22, 2024
- RAUM · $85.7M to $91.6MMar 28, 2023 to Mar 22, 2024
- Accounts · 268 to 260Feb 22, 2022 to Mar 27, 2023
- Individual clients · 47 to 54Feb 22, 2022 to Mar 27, 2023
- Assets in custody · $6.2M to $66.1MFeb 22, 2022 to Mar 27, 2023
- Discretionary RAUM · $94.9M to $75.1MFeb 22, 2022 to Mar 27, 2023
- HNW RAUM · $84.7M to $63.2MFeb 22, 2022 to Mar 27, 2023
- Individual RAUM · $23.2M to $22.5MFeb 22, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $13.0M to $10.6MFeb 22, 2022 to Mar 27, 2023
- RAUM · $108M to $85.7MFeb 22, 2022 to Mar 27, 2023
- Assets in custody · $66.1M to $6.1MMar 27, 2023 to Mar 27, 2023
- Accounts · 538 to 268Sep 4, 2012 to Feb 22, 2022
- Advisory employees · unset to 2.0Sep 4, 2012 to Feb 22, 2022
Signals
1 dated events
- ••• LockedFeb 22, 2022 · 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 phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 30, 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
- $46.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026