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•• W••••• A•••••••• I•••

Former SEC-registered adviserState College, PennsylvaniaCRD 109129SEC 801-79960IAPD
Legal name S•• A•••• M••••••••• I••
Latest filing Mar 28, 2016
First filing on the tape Mar 22, 2012 · 5 filings
RAUM
$114M
reported, Item 5.F
Discretionary
88%
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
16
4 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$114M as of Mar 28, 2016
Mar 22, 2012$79.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 28, 2016
Mar 22, 20120 then
Employees (5.A)16 as of Mar 28, 2016
Mar 12, 201516 then
Private funds: no history
RAUM -5.5% over the last fiscal yearIARs 16 to 4
Practice profile
derived from the filing of Mar 28, 2016; every figure names its basis
RAUM per advisor
$28.5MderivedRAUM 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
$248,167derivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-5.5%derivedbetween the last two annual amendments
Advisor growth, one year
-75%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
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
460reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• J••••• D•••• · Vice Presidentcontrol
        since 01/2006 · owns less than 5%
      • C•••••••• J•••• J••••• · Director / Chairmancontrol
        since 01/1995 · owns less than 5%
      • K•••••••• J••••• J••••• · President, Director, Secretary & Chief Compliance Officercontrol
        since 08/1993 · owns less than 5%
      Entity owners
      • S•••••••• F••••••• • C••••••• · Sole Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • S•••••••• F•••••••• A•• C••••••• P•••
        insurancey
      Offices
      Schedule D 1.F, the 25 largest
      • Wormleysburg, PA
      • York, PA
      What changed
      consecutive filings, newest first
      • Accounts · 406 to 460
        Mar 12, 2015 to Mar 28, 2016
      • Advisory employees · 16 to 4
        Mar 12, 2015 to Mar 28, 2016
      • Business name · S•• A•••• M••••••••• I•• to S•• W••••• A•••••••• I•••
        Mar 12, 2015 to Mar 28, 2016
      • State-registered IARs · 16 to 4
        Mar 12, 2015 to Mar 28, 2016
      • Discretionary RAUM · $108M to $100M
        Mar 12, 2015 to Mar 28, 2016
      • Non-discretionary RAUM · $13.2M to $13.8M
        Mar 12, 2015 to Mar 28, 2016
      • RAUM · $121M to $114M
        Mar 12, 2015 to Mar 28, 2016
      • Accounts · 384 to 406
        Jun 17, 2014 to Mar 12, 2015
      • Advisory employees · 15 to 16
        Jun 17, 2014 to Mar 12, 2015
      • State-registered IARs · 15 to 16
        Jun 17, 2014 to Mar 12, 2015
      • Discretionary RAUM · $92.8M to $108M
        Jun 17, 2014 to Mar 12, 2015
      • Non-discretionary RAUM · $13.6M to $13.2M
        Jun 17, 2014 to Mar 12, 2015
      • RAUM · $106M to $121M
        Jun 17, 2014 to Mar 12, 2015
      • Accounts · 296 to 384
        May 1, 2012 to Jun 17, 2014
      • Advisory employees · unset to 15.0
        May 1, 2012 to Jun 17, 2014
      • Employees · unset to 16.0
        May 1, 2012 to Jun 17, 2014
      • Financial planning clients · 1-10 to 0
        May 1, 2012 to Jun 17, 2014
      • State-registered IARs · 0 to 15
        May 1, 2012 to Jun 17, 2014
      • Discretionary RAUM · $58.0M to $92.8M
        May 1, 2012 to Jun 17, 2014
      • Non-discretionary RAUM · $21.7M to $13.6M
        May 1, 2012 to Jun 17, 2014
      • RAUM · $79.7M to $106M
        May 1, 2012 to Jun 17, 2014
      Signals
      1 dated events
      • S•• A•••• M••••••••• I•• filed its initial SEC registration (Form ADV)
        Jun 17, 2014 · 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.
      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