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•••••• A•••••••

Former SEC-registered adviserLeawood, KansasCRD 111953SEC 801-60459IAPD
Legal name S•••••• A•••••••• I•••
Latest filing Mar 17, 2020
First filing on the tape Feb 2, 2012 · 27 filings
RAUM
$707M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$610M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$707M as of Mar 17, 2020
Feb 2, 2012$229M then
HNW client RAUM$480M as of Mar 17, 2020
Mar 30, 2018$353M then
State-registered IARs (5.B.3)5 as of Mar 17, 2020
Feb 5, 20133 then
Employees (5.A)6 as of Mar 17, 2020
Feb 5, 20135 then
Private funds: no history
RAUM +14% over the last fiscal year+12% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 17, 2020; every figure names its basis
RAUM per advisor
$141MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
114derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 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$480M68%
  • Individuals$130M18%
  • Charitable organizations$50.8M7.2%
  • Pension and profit-sharing plans$39.0M5.5%
  • Corporations and businesses$7.3M1.0%
Individual clients
351reported
HNW clients
219reported
Pension plan clients
12reported
Charitable clients
3reported
Accounts
589reported
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
    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
      • S••••• D••••• P••• · Chairman / Chief Investment Officer / Assistant Compliance Officercontrol
        since 11/1993 · owns 50% to 75%
      • S••••• S•••••• R••••• · Presidentcontrol
        since 02/2008 · owns 25% to 50%
      • P••••••••• J••••• D• · Director Of Operations
        since 05/2017 · owns less than 5%
      • W••••• D••••• T••••• · Chief Compliance Officer
        since 05/2014 · owns 5% to 10%
      • W••••• S••••• S•••• · Advisor On Sabbatical
        since 05/2011 · owns 5% to 10%
      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
      • Accounts · 582 to 589
        Aug 13, 2019 to Mar 17, 2020
      • HNW clients · 215 to 219
        Aug 13, 2019 to Mar 17, 2020
      • Individual clients · 348 to 351
        Aug 13, 2019 to Mar 17, 2020
      • Discretionary RAUM · $661M to $707M
        Aug 13, 2019 to Mar 17, 2020
      • HNW RAUM · $448M to $480M
        Aug 13, 2019 to Mar 17, 2020
      • Individual RAUM · $121M to $130M
        Aug 13, 2019 to Mar 17, 2020
      • Pension RAUM · $38.1M to $39.0M
        Aug 13, 2019 to Mar 17, 2020
      • RAUM · $661M to $707M
        Aug 13, 2019 to Mar 17, 2020
      • Accounts · 570 to 582
        Mar 18, 2019 to Aug 13, 2019
      • Corporate clients · 3 to 4
        Mar 18, 2019 to Aug 13, 2019
      • HNW clients · 210 to 215
        Mar 18, 2019 to Aug 13, 2019
      • Individual clients · 341 to 348
        Mar 18, 2019 to Aug 13, 2019
      • Discretionary RAUM · $607M to $661M
        Mar 18, 2019 to Aug 13, 2019
      • HNW RAUM · $405M to $448M
        Mar 18, 2019 to Aug 13, 2019
      • Individual RAUM · $114M to $121M
        Mar 18, 2019 to Aug 13, 2019
      • Non-discretionary RAUM · $13.7M to $0
        Mar 18, 2019 to Aug 13, 2019
      • Pension RAUM · $36.8M to $38.1M
        Mar 18, 2019 to Aug 13, 2019
      • RAUM · $621M to $661M
        Mar 18, 2019 to Aug 13, 2019
      • Accounts · 549 to 570
        Aug 29, 2018 to Mar 18, 2019
      • Corporate clients · 2 to 3
        Aug 29, 2018 to Mar 18, 2019
      • HNW clients · 191 to 210
        Aug 29, 2018 to Mar 18, 2019
      • Individual clients · 337 to 341
        Aug 29, 2018 to Mar 18, 2019
      • Pension plan clients · 15 to 12
        Aug 29, 2018 to Mar 18, 2019
      • Discretionary RAUM · $590M to $607M
        Aug 29, 2018 to Mar 18, 2019
      • HNW RAUM · $377M to $405M
        Aug 29, 2018 to Mar 18, 2019
      • Individual RAUM · $119M to $114M
        Aug 29, 2018 to Mar 18, 2019
      • Non-discretionary RAUM · $14.1M to $13.7M
        Aug 29, 2018 to Mar 18, 2019
      • Pension RAUM · $42.3M to $36.8M
        Aug 29, 2018 to Mar 18, 2019
      • RAUM · $604M to $621M
        Aug 29, 2018 to Mar 18, 2019
      • Accounts · 520 to 549
        Mar 30, 2018 to Aug 29, 2018
      • HNW clients · 179 to 191
        Mar 30, 2018 to Aug 29, 2018
      • Individual clients · 320 to 337
        Mar 30, 2018 to Aug 29, 2018
      • Discretionary RAUM · $561M to $590M
        Mar 30, 2018 to Aug 29, 2018
      • HNW RAUM · $353M to $377M
        Mar 30, 2018 to Aug 29, 2018
      • Individual RAUM · $112M to $119M
        Mar 30, 2018 to Aug 29, 2018
      • Non-discretionary RAUM · $14.2M to $14.1M
        Mar 30, 2018 to Aug 29, 2018
      • Pension RAUM · $45.2M to $42.3M
        Mar 30, 2018 to Aug 29, 2018
      • RAUM · $575M to $604M
        Mar 30, 2018 to Aug 29, 2018
      • Accounts · 432 to 520
        Jul 3, 2017 to Mar 30, 2018
      • Charity clients · unset to 3.0
        Jul 3, 2017 to Mar 30, 2018
      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