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••••• X•••• S•••••••• S••••• W••••• M•••••••••

Former SEC-registered adviserCoral Gables, FloridaCRD 106445SEC 801-38344IAPD
Legal name S••••• • X•••• I••
Latest filing Mar 18, 2019
First filing on the tape Mar 26, 2012 · 17 filings
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$1.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.4B as of Mar 18, 2019
Mar 26, 2012$919M then
HNW client RAUM$1.2B as of Mar 18, 2019
Mar 26, 2018$1.2B then
State-registered IARs (5.B.3)0 as of Mar 18, 2019
Mar 26, 20130 then
Employees (5.A)16 as of Mar 18, 2019
Mar 26, 201317 then
Private funds: no history
RAUM +0.9% over the last fiscal year+7.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$639,700derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+3.1%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$1.3B, 814 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.2B87%
  • Individuals$125M9.1%
  • Pension and profit-sharing plans$28.3M2.1%
  • Charitable organizations$25.9M1.9%
Individual clients
70reported
HNW clients
697reported
Pension plan clients
33reported
Charitable clients
14reported
Accounts
2,144reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$1.3B for 814 clientsreported
Compensation
% of AUM, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S••••••••• J•••• E•• · Shareholdercontrol
      since 01/2010 · owns 5% to 10%
    • S•••••• M•••• H••••• · President And Chief Compliance Officercontrol
      since 01/1991 · owns 5% to 10%
    • X••••• F••••• R••• · Directorcontrol
      since 01/1991 · owns 25% to 50%
    • S•••••• N•••• R••••• · Shareholder
      since 03/2013 · owns less than 5%
    Entity owners
    • S••••• F••••• T•••••• · Shareholder
      direct · owns 25% to 50%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 2,496 to 2,144
      Mar 26, 2018 to Mar 18, 2019
    • Charity clients · 10 to 14
      Mar 26, 2018 to Mar 18, 2019
    • HNW clients · 670 to 697
      Mar 26, 2018 to Mar 18, 2019
    • Individual clients · 74 to 70
      Mar 26, 2018 to Mar 18, 2019
    • Pension plan clients · 56 to 33
      Mar 26, 2018 to Mar 18, 2019
    • Assets in custody · $1.4B to $1.3B
      Mar 26, 2018 to Mar 18, 2019
    • Discretionary RAUM · $1.4B to $1.4B
      Mar 26, 2018 to Mar 18, 2019
    • HNW RAUM · $1.2B to $1.2B
      Mar 26, 2018 to Mar 18, 2019
    • Individual RAUM · $128M to $125M
      Mar 26, 2018 to Mar 18, 2019
    • Non-discretionary RAUM · $2.6M to $1.3M
      Mar 26, 2018 to Mar 18, 2019
    • Pension RAUM · $47.3M to $28.3M
      Mar 26, 2018 to Mar 18, 2019
    • RAUM · $1.4B to $1.4B
      Mar 26, 2018 to Mar 18, 2019
    • Accounts · 2,483 to 2,496
      Apr 12, 2017 to Mar 26, 2018
    • Business name · S••••• X•••• W••••• M••••••••• to S••••• X•••• S•••••••• S••••• W••••• M•••••••••
      Apr 12, 2017 to Mar 26, 2018
    • Charity clients · unset to 10.0
      Apr 12, 2017 to Mar 26, 2018
    • HNW clients · unset to 670.0
      Apr 12, 2017 to Mar 26, 2018
    • Individual clients · unset to 74.0
      Apr 12, 2017 to Mar 26, 2018
    • Pension plan clients · unset to 56.0
      Apr 12, 2017 to Mar 26, 2018
    • Assets in custody · unset to 1357000000.0
      Apr 12, 2017 to Mar 26, 2018
    • Custody of client assets · false to true
      Apr 12, 2017 to Mar 26, 2018
    • Other offices · unset to 0.0
      Apr 12, 2017 to Mar 26, 2018
    • Discretionary RAUM · $1.2B to $1.4B
      Apr 12, 2017 to Mar 26, 2018
    • HNW RAUM · unset to 1153152000.0
      Apr 12, 2017 to Mar 26, 2018
    • Individual RAUM · unset to 127840000.0
      Apr 12, 2017 to Mar 26, 2018
    • Non-discretionary RAUM · $4.3M to $2.6M
      Apr 12, 2017 to Mar 26, 2018
    • Pension RAUM · unset to 47300000.0
      Apr 12, 2017 to Mar 26, 2018
    • RAUM · $1.2B to $1.4B
      Apr 12, 2017 to Mar 26, 2018
    • Accounts · 2,481 to 2,483
      May 24, 2016 to Mar 14, 2017
    • Advisory employees · 10 to 8
      May 24, 2016 to Mar 14, 2017
    • Employees · 18 to 16
      May 24, 2016 to Mar 14, 2017
    • Discretionary RAUM · $1.1B to $1.2B
      May 24, 2016 to Mar 14, 2017
    • Non-discretionary RAUM · $3.7M to $4.3M
      May 24, 2016 to Mar 14, 2017
    • RAUM · $1.1B to $1.2B
      May 24, 2016 to Mar 14, 2017
    • Accounts · 2,590 to 2,481
      May 6, 2015 to Mar 8, 2016
    • Discretionary RAUM · $1.1B to $1.1B
      May 6, 2015 to Mar 8, 2016
    • Non-discretionary RAUM · $4.1M to $3.7M
      May 6, 2015 to Mar 8, 2016
    • RAUM · $1.1B to $1.1B
      May 6, 2015 to Mar 8, 2016
    • Accounts · 2,496 to 2,590
      Jun 19, 2014 to Mar 16, 2015
    • Advisory employees · 9 to 10
      Jun 19, 2014 to Mar 16, 2015
    • Employees · 17 to 18
      Jun 19, 2014 to Mar 16, 2015
    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