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••••••••
Legal name S••••• F•••••••• A•••••••• L••
Latest filing Mar 6, 2025
First filing on the tape Jan 27, 2012 · 35 filings
SEC status approved since Dec 1, 2000
RAUM
$519M
reported, Item 5.F
Discretionary
68%
of RAUM
Private clients
100%
$519M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$519M as of Mar 6, 2025
Jan 27, 2012$190M then
HNW client RAUM$463M as of Mar 6, 2025
Mar 29, 2018$141M then
State-registered IARs (5.B.3)3 as of Mar 6, 2025
Jan 27, 20120 then
Employees (5.A)4 as of Mar 6, 2025
Mar 4, 20132 then
Private funds: no history
RAUM +21% over the last fiscal year+17% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 6, 2025; every figure names its basis
- RAUM per advisor
- $173MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $542,935derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 68%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- High-net-worth individuals$463M89%
- Individuals$55.9M11%
- Individual clients
- 130reported
- HNW clients
- 121reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 956reported
- Financial planning clients
- 51-100reported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- R••••• O•••••• V•••• to M••••• S•••••• C•••••••••Oct 10, 2025 · Other
- C••••••• P••••••• A••••••• to M•• C•••••• M••••••••• L••Oct 10, 2025 · RIA to RIA
- W•••••• L•••• F••••• to K•• F•••••••• S•••••••• I••Apr 15, 2013 · Other
- M•••••• W•••••• R••••••••• to K•• F•••••••• S•••••••• I••Dec 31, 2012 · Other
Joined, latest
- M•••••• W•••••• R••••••••• from N•• E•••••• S••••••••• C•••••••••Jul 20, 2007 · Other
- W•••••• L•••• F••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 5, 2007 · Other
- R••••• O•••••• V•••• from R•••••• J•••• F•••••••• S•••••••• I•••May 6, 1999 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• M••••••• J• · Chief Executive Officercontrolsince 07/2024 · owns 5% to 10%
- V••••• R•••••• O•••••• · Managing Membercontrolsince 07/1998 · owns 75% or more
- A•••••••• C•••••••• P••••••• · Ccosince 07/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| San Mateo, Ca · principal | 0 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 916 to 956Nov 1, 2024 to Mar 6, 2025
- HNW clients · 113 to 121Nov 1, 2024 to Mar 6, 2025
- Individual clients · 137 to 130Nov 1, 2024 to Mar 6, 2025
- Employees · 3 to 4Nov 1, 2024 to Mar 6, 2025
- Financial planning clients · 51-100 to 51-100Nov 1, 2024 to Mar 6, 2025
- Discretionary RAUM · $314M to $351MNov 1, 2024 to Mar 6, 2025
- HNW RAUM · $440M to $463MNov 1, 2024 to Mar 6, 2025
- Individual RAUM · $59.2M to $55.9MNov 1, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $185M to $168MNov 1, 2024 to Mar 6, 2025
- RAUM · $499M to $519MNov 1, 2024 to Mar 6, 2025
- Accounts · 969 to 916Jan 19, 2024 to Oct 30, 2024
- HNW clients · 95 to 113Jan 19, 2024 to Oct 30, 2024
- Individual clients · 162 to 137Jan 19, 2024 to Oct 30, 2024
- Employees · 2 to 3Jan 19, 2024 to Oct 30, 2024
- State-registered IARs · 2 to 3Jan 19, 2024 to Oct 30, 2024
- Discretionary RAUM · $54.3M to $314MJan 19, 2024 to Oct 30, 2024
- HNW RAUM · $354M to $440MJan 19, 2024 to Oct 30, 2024
- Individual RAUM · $74.5M to $59.2MJan 19, 2024 to Oct 30, 2024
- Non-discretionary RAUM · $374M to $185MJan 19, 2024 to Oct 30, 2024
- RAUM · $429M to $499MJan 19, 2024 to Oct 30, 2024
- Accounts · 937 to 969Nov 30, 2023 to Jan 19, 2024
- Business name · S••••••••• to S••••• F•••••••• A•••••••• L••Nov 30, 2023 to Jan 19, 2024
- HNW clients · 98 to 95Nov 30, 2023 to Jan 19, 2024
- Individual clients · 159 to 162Nov 30, 2023 to Jan 19, 2024
- Discretionary RAUM · $49.4M to $54.3MNov 30, 2023 to Jan 19, 2024
- HNW RAUM · $333M to $354MNov 30, 2023 to Jan 19, 2024
- Individual RAUM · $65.4M to $74.5MNov 30, 2023 to Jan 19, 2024
- Non-discretionary RAUM · $349M to $374MNov 30, 2023 to Jan 19, 2024
- RAUM · $398M to $429MNov 30, 2023 to Jan 19, 2024
- Business name · S••••• F•••••••• A•••••••• L•• to S••••• F••••••••Jan 19, 2024 to Jan 19, 2024
- Business name · S••••• F•••••••• A•••••••• L•• to S•••••••••Nov 29, 2023 to Nov 30, 2023
- Accounts · 850 to 937Nov 9, 2023 to Nov 29, 2023
- Advisory activities · 4 to 3Nov 9, 2023 to Nov 29, 2023
- HNW clients · 87 to 98Nov 9, 2023 to Nov 29, 2023
- Individual clients · 164 to 159Nov 9, 2023 to Nov 29, 2023
- Discretionary RAUM · $39.7M to $49.4MNov 9, 2023 to Nov 29, 2023
- HNW RAUM · $279M to $333MNov 9, 2023 to Nov 29, 2023
- Individual RAUM · $74.3M to $65.4MNov 9, 2023 to Nov 29, 2023
- Non-discretionary RAUM · $313M to $349MNov 9, 2023 to Nov 29, 2023
- RAUM · $353M to $398MNov 9, 2023 to Nov 29, 2023
Signals
5 dated events
- S••••• F•••••••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $519.0M)Dec 20, 2025 · Left the SEC roster · derived
- C••••••• P••••••• A••••••• left S••••• F•••••••• for M•• C•••••• M••••••••• L•• (registered 2025-09-19)Oct 10, 2025 · Advisor changed firm · fact
- R••••• O•••••• V•••• left S••••• F•••••••• for M••••• S•••••• C••••••••• (registered 2005-04-06)Oct 10, 2025 · Advisor changed firm · fact
- J M•••••• G•••••• (Chief Executive Officer) appeared on Schedule A of S••••• F••••••••Oct 30, 2024 · Control person joined · fact
- Bryan Mark Pietrofesa (Member) no longer on Schedule A of S••••• F•••••••• (listed 2022-03-30, absent 2022-12-08)Dec 8, 2022 · Control person left · inference
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