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.

SEC-registered adviser

H•••••• S•••••••• A••••••• I••

Asset manager (funds and pooled vehicles)Ellicott City, MarylandCRD 109400SEC 801-57572websiteIAPD
Latest filing Jan 22, 2026
First filing on the tape Mar 9, 2012 · 17 filings
SEC status approved since May 19, 2000
RAUM
$617M
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
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$617M as of Jan 22, 2026
Mar 9, 2012$8.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 22, 2026
Mar 9, 20120 then
Employees (5.A)5 as of Jan 22, 2026
Jan 18, 20137 then
Private funds: no history
RAUM +24% over the last fiscal year-8.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 22, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$206MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+24%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 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
  • 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
  • Investment companies$617M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
      • H••••••• J•••• P•••• · Presidentcontrol
        since 08/1999 · owns 75% or more
      • S••••••• B•••••• S•••••• · Chief Compliance Officercontrol
        since 04/2022 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 6 to 5
        Jan 27, 2025 to Jan 22, 2026
      • Discretionary RAUM · $497M to $617M
        Jan 27, 2025 to Jan 22, 2026
      • RAUM · $497M to $617M
        Jan 27, 2025 to Jan 22, 2026
      • Financial planning clients · 0 to 0
        Jan 22, 2024 to Jan 27, 2025
      • Discretionary RAUM · $607M to $497M
        Jan 22, 2024 to Jan 27, 2025
      • RAUM · $607M to $497M
        Jan 22, 2024 to Jan 27, 2025
      • Accounts · 4 to 3
        Feb 3, 2023 to Jan 22, 2024
      • Discretionary RAUM · $808M to $607M
        Feb 3, 2023 to Jan 22, 2024
      • RAUM · $808M to $607M
        Feb 3, 2023 to Jan 22, 2024
      • Discretionary RAUM · $767M to $808M
        May 5, 2022 to Feb 3, 2023
      • RAUM · $767M to $808M
        May 5, 2022 to Feb 3, 2023
      • Discretionary RAUM · $663M to $767M
        Feb 10, 2022 to May 5, 2022
      • RAUM · $663M to $767M
        Feb 10, 2022 to May 5, 2022
      • Discretionary RAUM · $663M to $663M
        Jan 12, 2021 to Feb 10, 2022
      • RAUM · $663M to $663M
        Jan 12, 2021 to Feb 10, 2022
      • Discretionary RAUM · $492M to $663M
        Jan 9, 2020 to Jan 12, 2021
      • RAUM · $492M to $663M
        Jan 9, 2020 to Jan 12, 2021
      • Employees · 8 to 6
        Jan 15, 2019 to Jan 9, 2020
      • Discretionary RAUM · $606M to $492M
        Jan 15, 2019 to Jan 9, 2020
      • RAUM · $606M to $492M
        Jan 15, 2019 to Jan 9, 2020
      • Discretionary RAUM · $670M to $606M
        Jan 30, 2018 to Jan 15, 2019
      • RAUM · $670M to $606M
        Jan 30, 2018 to Jan 15, 2019
      • Charity clients · unset to 0.0
        Jan 30, 2017 to Jan 30, 2018
      • Corporate clients · unset to 0.0
        Jan 30, 2017 to Jan 30, 2018
      • HNW clients · unset to 0.0
        Jan 30, 2017 to Jan 30, 2018
      • Individual clients · unset to 0.0
        Jan 30, 2017 to Jan 30, 2018
      • Pension plan clients · unset to 0.0
        Jan 30, 2017 to Jan 30, 2018
      • Pooled vehicle clients · unset to 0.0
        Jan 30, 2017 to Jan 30, 2018
      • Financial planning clients · unset to 0
        Jan 30, 2017 to Jan 30, 2018
      • Other offices · unset to 0.0
        Jan 30, 2017 to Jan 30, 2018
      • Discretionary RAUM · $894M to $670M
        Jan 30, 2017 to Jan 30, 2018
      • RAUM · $894M to $670M
        Jan 30, 2017 to Jan 30, 2018
      • Discretionary RAUM · $1.0B to $894M
        Feb 23, 2016 to Jan 30, 2017
      • RAUM · $1.0B to $894M
        Feb 23, 2016 to Jan 30, 2017
      • Discretionary RAUM · $1.5B to $1.0B
        Feb 23, 2015 to Feb 23, 2016
      • RAUM · $1.5B to $1.0B
        Feb 23, 2015 to Feb 23, 2016
      • Advisory employees · 3 to 2
        Jan 29, 2014 to Feb 23, 2015
      • Employees · 7 to 8
        Jan 29, 2014 to Feb 23, 2015
      • Discretionary RAUM · $2.1B to $1.5B
        Jan 29, 2014 to Feb 23, 2015
      • RAUM · $2.1B to $1.5B
        Jan 29, 2014 to Feb 23, 2015
      Signals
      5 dated events
      • Suzanne Brooke Steinau (Chief Compliance Officer) appeared on Schedule A of H•••••• S•••••••• A••••••• I••
        May 5, 2022 · Control person joined · fact
      • J•••• K•••• P••••• (Chief Compliance Officer) no longer on Schedule A of H•••••• S•••••••• A••••••• I•• (listed 2022-02-10, absent 2022-05-05)
        May 5, 2022 · Control person left · inference
      • J•••• K•••• P••••• (Chief Compliance Officer) appeared on Schedule A of H•••••• S•••••••• A••••••• I••
        Feb 10, 2022 · Control person joined · fact
      • H•••••• S•••••••• A••••••• I•• reported RAUM $662.7M, up 35% from $492.5M (2020-01-09 to 2021-01-12)
        Jan 12, 2021 · RAUM change · derived
      • H•••••• S•••••••• A••••••• I•• reported RAUM $669.9M, down 25% from $894.3M (2017-01-30 to 2018-01-30)
        Jan 30, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Website
      H••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      410-715-1130reportedpublic record, Form ADV, Jan 22, 2026
      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
      Asset manager (funds and pooled vehicles)deriveda 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