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•••••••• G••••• A•••• M••••••••• L••
Latest filing Mar 12, 2019
First filing on the tape Mar 29, 2012 · 19 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
91%
$949M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.0B as of Mar 12, 2019
Mar 29, 2012$475M then
HNW client RAUM$853M as of Mar 12, 2019
Mar 20, 2018$829M then
State-registered IARs (5.B.3)13 as of Mar 12, 2019
Mar 27, 20136 then
Employees (5.A)18 as of Mar 12, 2019
Mar 27, 201310 then
Private funds: no history
RAUM +4.3% over the last fiscal year+12% a year over threeIARs 13 to 13
Practice profile
derived from the filing of Mar 12, 2019; every figure names its basis
- RAUM per advisor
- $80.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $709,513derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $312M, 196 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$853M82%
- Individuals$96.1M9.2%
- Corporations and businesses$81.8M7.8%
- Pension and profit-sharing plans$8.5M0.8%
- Charitable organizations$5.3M0.5%
- Individual clients
- 235reported
- HNW clients
- 239reported
- Pension plan clients
- 14reported
- Charitable clients
- 4reported
- Accounts
- 1,472reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $312M for 196 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- S••••• J•• R••••••••• to S• S•••••May 31, 2019 · Other
- J••• W•••••• S••••• to F•••• P••••••• W•••••• L••May 31, 2019 · RIA to RIA
- S••• C••••••••• E••••••• to S• S•••••May 31, 2019 · Other
- M•••••• S••• E••••• to F•••• P••••••• W•••••• L••May 31, 2019 · RIA to RIA
- J•••••• R••• E•••••• to S• S•••••May 31, 2019 · Other
- N•••• E••••• T•••••• to F•••• P••••••• W•••••• L••May 31, 2019 · RIA to RIA
- M••• S•••• V•• B••••• to S• S•••••May 31, 2019 · Other
- K•••••• A••• P••••••• to S• S•••••May 31, 2019 · Other
- R•••••• D•••• S•••••••• to S• S•••••May 31, 2019 · Other
- T••• L•••• E•••••• to S• S•••••May 31, 2019 · Other
- L••• J••• F••••••••• to C•••••••• G••••• M•••••• I•••Jan 5, 2004 · Other
Joined, latest
- N•••• E••••• T•••••• from L••••• C•••••• M••••••••• L••Jun 10, 2016 · Other
- S••••• J•• R••••••••• from C••• D••••• I•••Jun 9, 2015 · Other
- M••• S•••• V•• B••••• from L••••• C•••••• M••••••••• L••Sep 23, 2014 · Other
- J•••••• R••• E•••••• from E••• M• F••••• A•••••••••Jun 11, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••• J••••••• R••• · Director Of Research/Portfolio Manager/Principalcontrolsince 01/2008 · owns less than 5%
- E••••••• T•••• L•••• · Chief Administrative Officer/Managing Principalcontrolsince 06/2008 · owns less than 5%
- E•••••••• S•••• C••••••••• · Relationship Manager/Principalcontrolsince 01/2014 · owns less than 5%
- K•••••••• A••••• · Chief Compliance Officer And Financial Planning Specialistcontrolsince 03/2018 · owns less than 5%
- N•••••••• H•••••• •••• · Principalcontrolsince 04/1998 · owns 10% to 25%
- P•••••••• K••••••• A••• · Senior Relationship Manager/Managing Principalcontrolsince 03/2003 · owns 10% to 25%
- S•••••• J•••• W•••••• · Portfolio Manager/Principalcontrolsince 10/1994 · owns 5% to 10%
- S••••••••• N•••••• •••• · Portfolio Manager/Principalcontrolsince 01/1993 · owns 5% to 10%
- S••••••••• R••••••• D•••• · President/Chief Investment Officer/Senior Managing Principalcontrolsince 01/1993 · owns 50% to 75%
- M••••• C••••••••• L••••• · Operations Managersince 01/2018 · owns less than 5%
- R••••••••• S•••••• J•• · Portfolio Managersince 02/2018 · owns less than 5%
- V•• B•••••• M••• S•••• · Relationship Manager/Director Of Marketingsince 01/2017 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list S•••••••• G••••• A•••• M••••••••• L•• as a related person
- 165199 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Charity clients · 2 to 4Jun 8, 2018 to Mar 12, 2019
- Accounts · 1,338 to 1,472Jun 8, 2018 to Mar 12, 2019
- Advisory employees · 10 to 11Jun 8, 2018 to Mar 12, 2019
- Corporate clients · 9 to 25Jun 8, 2018 to Mar 12, 2019
- HNW clients · 243 to 239Jun 8, 2018 to Mar 12, 2019
- Individual clients · 240 to 235Jun 8, 2018 to Mar 12, 2019
- Pension plan clients · 3 to 14Jun 8, 2018 to Mar 12, 2019
- Assets in custody · $7.9M to $312MJun 8, 2018 to Mar 12, 2019
- Financial planning clients · 11-25 to 51-100Jun 8, 2018 to Mar 12, 2019
- Discretionary RAUM · $943M to $919MJun 8, 2018 to Mar 12, 2019
- HNW RAUM · $829M to $853MJun 8, 2018 to Mar 12, 2019
- Individual RAUM · $84.4M to $96.1MJun 8, 2018 to Mar 12, 2019
- Non-discretionary RAUM · $58.4M to $125MJun 8, 2018 to Mar 12, 2019
- Pension RAUM · $3.7M to $8.5MJun 8, 2018 to Mar 12, 2019
- RAUM · $1.0B to $1.0BJun 8, 2018 to Mar 12, 2019
- Accounts · 1,253 to 1,338Mar 13, 2017 to Mar 20, 2018
- Advisory employees · 8 to 10Mar 13, 2017 to Mar 20, 2018
- Charity clients · unset to 2.0Mar 13, 2017 to Mar 20, 2018
- Corporate clients · unset to 9.0Mar 13, 2017 to Mar 20, 2018
- HNW clients · unset to 243.0Mar 13, 2017 to Mar 20, 2018
- Individual clients · unset to 240.0Mar 13, 2017 to Mar 20, 2018
- Pension plan clients · unset to 3.0Mar 13, 2017 to Mar 20, 2018
- Pooled vehicle clients · unset to 0.0Mar 13, 2017 to Mar 20, 2018
- Assets in custody · $5.0M to $7.9MMar 13, 2017 to Mar 20, 2018
- Employees · 15 to 18Mar 13, 2017 to Mar 20, 2018
- Financial planning clients · 1-10 to 11-25Mar 13, 2017 to Mar 20, 2018
- State-registered IARs · 10 to 13Mar 13, 2017 to Mar 20, 2018
- Other offices · unset to 0.0Mar 13, 2017 to Mar 20, 2018
- Discretionary RAUM · $802M to $943MMar 13, 2017 to Mar 20, 2018
- HNW RAUM · unset to 829048000.0Mar 13, 2017 to Mar 20, 2018
- Individual RAUM · unset to 84355000.0Mar 13, 2017 to Mar 20, 2018
- Non-discretionary RAUM · $63.4M to $58.4MMar 13, 2017 to Mar 20, 2018
- Pension RAUM · unset to 3667000.0Mar 13, 2017 to Mar 20, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 13, 2017 to Mar 20, 2018
- RAUM · $865M to $1.0BMar 13, 2017 to Mar 20, 2018
- Accounts · 1,165 to 1,253Dec 20, 2016 to Mar 13, 2017
- Assets in custody · $4.3M to $5.0MDec 20, 2016 to Mar 13, 2017
- Employees · 14 to 15Dec 20, 2016 to Mar 13, 2017
- Discretionary RAUM · $704M to $802MDec 20, 2016 to Mar 13, 2017
- Non-discretionary RAUM · $49.5M to $63.4MDec 20, 2016 to Mar 13, 2017
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