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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SEC-registered adviser
S•••••• • C••••••• L••
Legal name S•••••• • C••••••• L•••••
Latest filing Mar 16, 2026
First filing on the tape Mar 30, 2012 · 34 filings
SEC status approved since Apr 3, 2013
RAUM
$341M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$329M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$170M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$341M as of Mar 16, 2026
Mar 30, 2012$81.6M then
HNW client RAUM$280M as of Mar 16, 2026
Mar 23, 2018$133M then
State-registered IARs (5.B.3)2 as of Mar 16, 2026
Mar 14, 20143 then
Employees (5.A)7 as of Mar 16, 2026
Mar 14, 20145 then
Private funds: no history
RAUM +8.6% over the last fiscal year+7.3% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $170MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $896,083derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- 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
- High-net-worth individuals$280M82%
- Individuals$49.0M14%
- Pension and profit-sharing plans$8.4M2.5%
- Charitable organizations$3.2M0.9%
- Individual clients
- 102reported
- HNW clients
- 102reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 380reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $54.2M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• D••••• S•••••• | Stamford, Ct | Jan 22, 2009 | 46 y | 1 |
| C••• H•••• S••••••Chartered Financial Analyst | Stamford, Ct | Jun 29, 2012 | 14 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 headcount2 left over 36 months
Left, latest
- J•••••• M•••••• C•••• to L•• F•••••••• L••Mar 4, 2025 · RIA to affiliated broker-dealer or bank
- D•••• W••••• M••••• to F••••••• P••••••• A•• W•••••••• A•••••••Nov 13, 2023 · RIA to affiliated broker-dealer or bank
- J••• H••••• B•••• to B•••• C•••••• M•••••••••Jan 11, 2023 · RIA to a state-registered adviser
Joined, latest
- D•••• W••••• M••••• from I••••••• C•••••• A•••• M••••••••• L••Feb 7, 2021 · Other
- J•••••• M•••••• C•••• from M•• F•••••••• S•••••••• I•••Aug 4, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• P••••• D••••• · Presidentcontrolsince 02/1994 · owns 50% to 75%
- G•••••• P••••••• · Partnersince 03/1994 · owns 10% to 25%
- G•••••••• R••• R• · Partnersince 03/1994 · owns 10% to 25%
- S••••••• C•••• H•••• · Partnersince 01/2011 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Stamford, Ct · principal | 2 | 0 | 0 | ||
| Los Angeles, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 362 to 380Mar 6, 2025 to Mar 16, 2026
- Advisory employees · 6 to 5Mar 6, 2025 to Mar 16, 2026
- HNW clients · 107 to 102Mar 6, 2025 to Mar 16, 2026
- Individual clients · 94 to 102Mar 6, 2025 to Mar 16, 2026
- Employees · 9 to 7Mar 6, 2025 to Mar 16, 2026
- State-registered IARs · 3 to 2Mar 6, 2025 to Mar 16, 2026
- Discretionary RAUM · $314M to $341MMar 6, 2025 to Mar 16, 2026
- HNW RAUM · $260M to $280MMar 6, 2025 to Mar 16, 2026
- Individual RAUM · $43.8M to $49.0MMar 6, 2025 to Mar 16, 2026
- Pension RAUM · $7.3M to $8.4MMar 6, 2025 to Mar 16, 2026
- RAUM · $314M to $341MMar 6, 2025 to Mar 16, 2026
- Wrap assets (manager) · $50.1M to $54.2MMar 6, 2025 to Mar 16, 2026
- Financial planning clients · 1-10 to 1-10Mar 5, 2025 to Mar 6, 2025
- Accounts · 363 to 362Mar 13, 2024 to Mar 5, 2025
- Charity clients · 2 to 1Mar 13, 2024 to Mar 5, 2025
- HNW clients · 105 to 107Mar 13, 2024 to Mar 5, 2025
- Individual clients · 95 to 94Mar 13, 2024 to Mar 5, 2025
- Pension plan clients · unset to 1.0Mar 13, 2024 to Mar 5, 2025
- Discretionary RAUM · $303M to $314MMar 13, 2024 to Mar 5, 2025
- HNW RAUM · $257M to $260MMar 13, 2024 to Mar 5, 2025
- Individual RAUM · $42.4M to $43.8MMar 13, 2024 to Mar 5, 2025
- Pension RAUM · unset to 7258503.0Mar 13, 2024 to Mar 5, 2025
- RAUM · $303M to $314MMar 13, 2024 to Mar 5, 2025
- Wrap assets (manager) · $47.1M to $50.1MMar 13, 2024 to Mar 5, 2025
- Accounts · 355 to 363Mar 23, 2023 to Mar 12, 2024
- HNW clients · 82 to 105Mar 23, 2023 to Mar 12, 2024
- Individual clients · 114 to 95Mar 23, 2023 to Mar 12, 2024
- Pension plan clients · 2.0 to unsetMar 23, 2023 to Mar 12, 2024
- Employees · 10 to 9Mar 23, 2023 to Mar 12, 2024
- State-registered IARs · 4 to 3Mar 23, 2023 to Mar 12, 2024
- Other offices · 1 to 0Mar 23, 2023 to Mar 12, 2024
- Discretionary RAUM · $274M to $303MMar 23, 2023 to Mar 12, 2024
- HNW RAUM · $213M to $257MMar 23, 2023 to Mar 12, 2024
- Individual RAUM · $53.4M to $42.4MMar 23, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $1.8M to $0Mar 23, 2023 to Mar 12, 2024
- Pension RAUM · 6402338.0 to unsetMar 23, 2023 to Mar 12, 2024
- RAUM · $276M to $303MMar 23, 2023 to Mar 12, 2024
- Wrap assets (manager) · $53.8M to $47.1MMar 23, 2023 to Mar 12, 2024
- Business name · S•••••• • C• to S•••••• • C••••••• L••Mar 21, 2023 to Mar 23, 2023
- Accounts · 368 to 355Apr 1, 2022 to Mar 21, 2023
Signals
5 dated events
- J•••••• M•••••• C•••• left S•••••• • C••••••• L•• for L•• F•••••••• L•• (registered 2025-02-05)Mar 4, 2025 · Advisor changed firm · fact
- D•••• W••••• M••••• left S•••••• • C••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-12-05)Nov 13, 2023 · Advisor changed firm · fact
- S•••••• • C••••••• L•• reported RAUM $275.7M, down 33% from $412.6M (2022-04-01 to 2023-03-21)Mar 21, 2023 · RAUM change · derived
- J••• H••••• B•••• left S•••••• • C••••••• L•• for B•••• C•••••• M••••••••• (registered 2022-12-12)Jan 11, 2023 · Advisor changed firm · fact
- S•••••• • C• filed its initial SEC registration (Form ADV)Mar 25, 2013 · 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
- 203-714-9900reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S••••••ANDCO.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-714-9900reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- scholtzandco.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- scholtzandco.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $170Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026