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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

S•• F•••• I••••• M••••••••• L••

Former SEC-registered adviserCarpinteria, CaliforniaCRD 107729SEC 801-48761IAPD
Latest filing Sep 23, 2013
First filing on the tape Mar 28, 2012 · 10 filings
RAUM
$12B
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
37
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$12B as of Mar 6, 2013
Mar 28, 2012$11B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 6, 2013
Mar 28, 20120 then
Employees (5.A): 37
Private funds: no history
RAUM +2.1% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Sep 23, 2013; every figure names its basis
RAUM per advisor
$12BderivedRAUM 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
$77.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
37.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
  • 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
150reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • C•••••••• P•••• J•••• · Directorcontrol
        since 04/2013 · owns less than 5%
      • C••••••••• E•••• K•••• · Chief Compliance Officer, General Counselcontrol
        since 04/2013 · owns less than 5%
      • D•••••• K•••• F••••••• · President, Chief Executive Officer, Chaircontrol
        since 04/2013 · owns less than 5%
      • H•••••••• M•••• A•••••• · Directorcontrol
        since 04/2013 · owns less than 5%
      • M•••••••• M••••••••• D•••• · Chief Operating Officer, Directorcontrol
        since 04/2013 · owns less than 5%
      • P••••••• S••••• · Directorcontrol
        since 04/2013 · owns less than 5%
      • W•••••••• W••••••• H••••• · Chief Investment Strategist - F•••• I••••• Value Strategiescontrol
        since 04/2013 · owns less than 5%
      Entity owners
      • S••••••• U• H••••••• I••• · Shareholder
        direct · owns 75% or more
      • S••••••• A••••••••• L•••••• · Shareholder
        indirect · owns 75% or more of S••••••• International Holdings Ltd.
      • S••••••• I••••••••• H••••••• L•••••• · Shareholder
        indirect · owns 75% or more of S••••••• U• H••••••• I•••
      • S•••••••• P•• · Shareholder
        indirect · owns 75% or more of S••••••• A••••••••• L••••••
      Related persons
      Schedule D 7.A
      Advisers that list S•• F•••• I••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Related bank · false to true
        Mar 6, 2013 to Apr 12, 2013
      • Related broker-dealer · false to true
        Mar 6, 2013 to Apr 12, 2013
      • Accounts · 160 to 150
        Dec 19, 2012 to Mar 6, 2013
      • Employees · 43 to 37
        Dec 19, 2012 to Mar 6, 2013
      • Discretionary RAUM · $11B to $12B
        Dec 19, 2012 to Mar 6, 2013
      • RAUM · $11B to $12B
        Dec 19, 2012 to Mar 6, 2013
      • Advisory employees · unset to 7.0
        Apr 3, 2012 to Dec 12, 2012
      • Employees · unset to 43.0
        Apr 3, 2012 to Dec 12, 2012
      • State-registered IARs · 0 to 1
        Apr 3, 2012 to Dec 12, 2012
      • Related adviser · false to true
        Apr 3, 2012 to Dec 12, 2012
      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