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••• F•••••••• A•••••••• L••

Former SEC-registered adviserReno, NevadaCRD 107607SEC 801-51183IAPD
Latest filing Apr 24, 2023
First filing on the tape Mar 7, 2012 · 22 filings
RAUM
$220M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
96%
$210M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
22 filings and snapshots on the tape
RAUM$220M as of Mar 31, 2023
Mar 7, 2012$90.2M then
HNW client RAUM$190M as of Mar 31, 2023
Feb 12, 2018$96.5M then
State-registered IARs (5.B.3)2 as of Mar 31, 2023
Feb 26, 20132 then
Employees (5.A)3 as of Mar 31, 2023
Feb 26, 20133 then
Private funds: no history
RAUM -4.6% over the last fiscal year+9.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 24, 2023; every figure names its basis
RAUM per advisor
$110MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
113derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$366,456derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.7%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$190M86%
  • Individuals$19.9M9.0%
  • Charitable organizations$5.2M2.4%
  • Corporations and businesses$3.3M1.5%
  • Pension and profit-sharing plans$1.4M0.6%
Individual clients
105reported
HNW clients
120reported
Pension plan clients
3reported
Charitable clients
6reported
Accounts
601reported
Financial planning clients
101-250reported
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
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
    • D•• P•••••• M••••••• J• · Chief Compliance Officercontrol
      since 01/2023 · owns less than 5%
    • F•••••••• G••••••• H••• · Chief Strategy Officercontrol
      since 01/2023 · owns less than 5%
    • L•••••• M••••••• A•••••• · Chief Executive Officercontrol
      since 01/2023 · owns less than 5%
    • L•••••• L•••• M•••••• · Vice Presidentcontrol
      since 01/2023 · owns less than 5%
    • L••• B••••• M•••••• · Senior Vice Presidentcontrol
      since 01/1996 · owns less than 5%
    • M••• V•••••••• E• C••• · Directorcontrol
      since 01/2023 · owns less than 5%
    • M•••••••• M••••••• J••••• · Chief Investment Officercontrol
      since 01/2023 · owns less than 5%
    • O•••••••• E•••••• G••••• · Directorcontrol
      since 01/2023 · owns less than 5%
    • P•••••• B••••• D•••• · Chief Financial Officercontrol
      since 01/2023 · owns less than 5%
    • S••••••••• B••••• R••••• · Directorcontrol
      since 01/2023 · owns less than 5%
    • S•••••• E•••• M•••••• · President & Chief Operations Officercontrol
      since 01/2023 · owns less than 5%
    • S•••••••• H•••• R••••• · Chief Legal Officercontrol
      since 01/2023 · owns less than 5%
    Entity owners
    • W••••••••• A••••••• · Owner
      direct · owns 75% or more
    • M•••••• D••••••• P••••••• · General Partner
      indirect · owns F of P•••••• S•• G•• L•••
    • N•• C•••• · Owner
      indirect · owns 75% or more of W••••••••• H•••••••• L••
    • N•• H•••••••• L•• · Owner
      indirect · owns 75% or more of N•• P••••• C•• L••
    • N•• I••••••••• H••••••• A• C•••• · Owner
      indirect · owns 75% or more of N•• I••••••••• H••••••• B• C••••
    • N•• I••••••••• H••••••• B• C•••• · Owner
      indirect · owns 75% or more of N•• C••••
    • N•• P••••• C•• L•• · Owner
      indirect · owns 75% or more of N•• I••••••••• H••••••• A• C••••
    • N•• U••••••• H•••••••• L•• · Owner
      indirect · owns 75% or more of N•• H•••••••• L••
    • P•••••• S•• G•• L••• · General Partner
      indirect · owns F of P•••••• S••• L•••
    • P•••••• S••• L••• · Owner
      indirect · owns 75% or more of N•• U••••••• H•••••••• L••
    • W••••••••• H•••••••• L•• · Member
      indirect · owns 75% or more of W••••••••• A•••••••
    Related persons
    Schedule D 7.A
    Advisers that list S••• F•••••••• A•••••••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 576 to 601
      Feb 9, 2023 to Mar 31, 2023
    • Business name · S••• F•••••••• A••••••• I•• to S••• F•••••••• A•••••••• L••
      Feb 9, 2023 to Mar 31, 2023
    • Corporate clients · 1 to 7
      Feb 9, 2023 to Mar 31, 2023
    • HNW clients · 100 to 120
      Feb 9, 2023 to Mar 31, 2023
    • Individual clients · 115 to 105
      Feb 9, 2023 to Mar 31, 2023
    • Pension plan clients · 4 to 3
      Feb 9, 2023 to Mar 31, 2023
    • Legal name · S••• F•••••••• A••••••• I•• to S••• F•••••••• A•••••••• L••
      Feb 9, 2023 to Mar 31, 2023
    • Discretionary RAUM · $228M to $216M
      Feb 9, 2023 to Mar 31, 2023
    • HNW RAUM · $170M to $190M
      Feb 9, 2023 to Mar 31, 2023
    • Individual RAUM · $49.2M to $19.9M
      Feb 9, 2023 to Mar 31, 2023
    • Non-discretionary RAUM · $2.9M to $3.9M
      Feb 9, 2023 to Mar 31, 2023
    • Pension RAUM · $6.4M to $1.4M
      Feb 9, 2023 to Mar 31, 2023
    • RAUM · $231M to $220M
      Feb 9, 2023 to Mar 31, 2023
    • Succession · true to false
      Feb 9, 2023 to Mar 31, 2023
    • Organization form · Corporation to Limited Liability Company
      Mar 1, 2022 to Feb 9, 2023
    • Related adviser · false to true
      Mar 1, 2022 to Feb 9, 2023
    • Succession · false to true
      Mar 1, 2022 to Feb 9, 2023
    • Accounts · 527 to 576
      Feb 26, 2021 to Mar 1, 2022
    • Charity clients · 5 to 6
      Feb 26, 2021 to Mar 1, 2022
    • Corporate clients · 5 to 1
      Feb 26, 2021 to Mar 1, 2022
    • HNW clients · 69 to 100
      Feb 26, 2021 to Mar 1, 2022
    • Individual clients · 138 to 115
      Feb 26, 2021 to Mar 1, 2022
    • Pension plan clients · 7 to 4
      Feb 26, 2021 to Mar 1, 2022
    • Discretionary RAUM · $204M to $228M
      Feb 26, 2021 to Mar 1, 2022
    • HNW RAUM · $150M to $170M
      Feb 26, 2021 to Mar 1, 2022
    • Individual RAUM · $42.5M to $49.2M
      Feb 26, 2021 to Mar 1, 2022
    • Non-discretionary RAUM · $3.0M to $2.9M
      Feb 26, 2021 to Mar 1, 2022
    • Pension RAUM · $8.6M to $6.4M
      Feb 26, 2021 to Mar 1, 2022
    • RAUM · $207M to $231M
      Feb 26, 2021 to Mar 1, 2022
    • Accounts · 531 to 527
      Jun 25, 2020 to Feb 26, 2021
    • Corporate clients · unset to 5.0
      Jun 25, 2020 to Feb 26, 2021
    • HNW clients · 50 to 69
      Jun 25, 2020 to Feb 26, 2021
    • Individual clients · 148 to 138
      Jun 25, 2020 to Feb 26, 2021
    • Pension plan clients · 10 to 7
      Jun 25, 2020 to Feb 26, 2021
    • Discretionary RAUM · $168M to $204M
      Jun 25, 2020 to Feb 26, 2021
    • HNW RAUM · $111M to $150M
      Jun 25, 2020 to Feb 26, 2021
    • Individual RAUM · $45.0M to $42.5M
      Jun 25, 2020 to Feb 26, 2021
    • Non-discretionary RAUM · $1.0M to $3.0M
      Jun 25, 2020 to Feb 26, 2021
    • Pension RAUM · $9.5M to $8.6M
      Jun 25, 2020 to Feb 26, 2021
    • RAUM · $169M to $207M
      Jun 25, 2020 to Feb 26, 2021
    Signals
    14 dated events
    • K•••••• L••• G•••••• left S••• F•••••••• A•••••••• L•• for W••••••••• A••••••• (registered 2023-09-28)
      Sep 1, 2023 · Advisor changed firm · fact
    • S••• F•••••••• A••••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Feb 9, 2023 · Succession (Item 4) · fact
    • Lynn Kirstin Griffin (Shareholder/Chief Compliance Officer) no longer on Schedule A of S••• F•••••••• A•••••••• L•• (listed 2022-03-01, absent 2023-02-09)
      Feb 9, 2023 · Control person left · inference
    • Hugh Gregory Friedman (Chief Strategy Officer) appeared on Schedule A of S••• F•••••••• A•••••••• L••
      Feb 9, 2023 · Control person joined · fact
    • Ronald Brett Schneider (Director) appeared on Schedule A of S••• F•••••••• A•••••••• L••
      Feb 9, 2023 · Control person joined · fact
    • Michell Lori Lieser (Vice President) appeared on Schedule A of S••• F•••••••• A•••••••• L••
      Feb 9, 2023 · Control person joined · fact
    • Matthew Eric Sontag (President & Chief Operations Officer) appeared on Schedule A of S••• F•••••••• A•••••••• L••
      Feb 9, 2023 · Control person joined · fact
    • George Edward O'Malley (Director) appeared on Schedule A of S••• F•••••••• A•••••••• L••
      Feb 9, 2023 · Control person joined · fact
    • Ei Chun Veronica Moo (Director) appeared on Schedule A of S••• F•••••••• A•••••••• L••
      Feb 9, 2023 · Control person joined · fact
    • Ronald Hoyt Stastney (Chief Legal Officer) appeared on Schedule A of S••• F•••••••• A•••••••• L••
      Feb 9, 2023 · Control person joined · fact
    • Anthony Michael Lamena (Chief Executive Officer) appeared on Schedule A of S••• F•••••••• A•••••••• L••
      Feb 9, 2023 · Control person joined · fact
    • J Michael Del Priore (Chief Compliance Officer) appeared on Schedule A of S••• F•••••••• A•••••••• L••
      Feb 9, 2023 · Control person joined · fact
    • David Brian Powers (Chief Financial Officer) appeared on Schedule A of S••• F•••••••• A•••••••• L••
      Feb 9, 2023 · Control person joined · fact
    • Joseph Michael Moriarty (Chief Investment Officer) appeared on Schedule A of S••• F•••••••• A•••••••• L••
      Feb 9, 2023 · Control person joined · fact
    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