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••••••• I••••••••• M••••••••• I•••

Former SEC-registered adviserBrattleboro, VermontCRD 107186SEC 801-46193IAPD
Latest filing Mar 22, 2016
First filing on the tape Mar 28, 2012 · 5 filings
RAUM
$167M
reported, Item 5.F
Discretionary
100%
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$167M as of Mar 22, 2016
Mar 28, 2012$138M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 22, 2016
Mar 28, 20120 then
Employees (5.A)2 as of Mar 22, 2016
Mar 21, 20132 then
Private funds: no history
RAUM +2.5% over the last fiscal year+3.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 22, 2016; every figure names its basis
RAUM per advisor
$167MderivedRAUM 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
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.5%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, hourly, fixed feesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
114reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••••• P••••• A•••• · President/Chief Compliance Officercontrol
        since 03/1994 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list S••••••• I••••••••• M••••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 119 to 114
        Mar 19, 2015 to Mar 22, 2016
      • Discretionary RAUM · $163M to $167M
        Mar 19, 2015 to Mar 22, 2016
      • RAUM · $163M to $167M
        Mar 19, 2015 to Mar 22, 2016
      • Related adviser · true to false
        Mar 19, 2015 to Mar 22, 2016
      • Accounts · 121 to 119
        Mar 24, 2014 to Mar 19, 2015
      • Discretionary RAUM · $167M to $163M
        Mar 24, 2014 to Mar 19, 2015
      • RAUM · $167M to $163M
        Mar 24, 2014 to Mar 19, 2015
      • Accounts · 112 to 121
        Mar 21, 2013 to Mar 24, 2014
      • Discretionary RAUM · $151M to $167M
        Mar 21, 2013 to Mar 24, 2014
      • RAUM · $151M to $167M
        Mar 21, 2013 to Mar 24, 2014
      • Accounts · 124 to 112
        Mar 28, 2012 to Mar 21, 2013
      • Advisory employees · unset to 1.0
        Mar 28, 2012 to Mar 21, 2013
      • Employees · unset to 2.0
        Mar 28, 2012 to Mar 21, 2013
      • State-registered IARs · 0 to 1
        Mar 28, 2012 to Mar 21, 2013
      • Discretionary RAUM · $138M to $151M
        Mar 28, 2012 to Mar 21, 2013
      • RAUM · $138M to $151M
        Mar 28, 2012 to Mar 21, 2013
      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