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•••• M••••• F•••••••• S•••••••• L••
Latest filing Jun 22, 2020
First filing on the tape Sep 27, 2017 · 16 filings
RAUM
$420M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
95%
$399M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
9 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$420M as of Mar 17, 2020
Jan 24, 2018$180M then
HNW client RAUM$353M as of Mar 17, 2020
Jan 24, 2018$117M then
State-registered IARs (5.B.3)11 as of Mar 17, 2020
Jan 24, 20189 then
Employees (5.A)11 as of Mar 17, 2020
Jan 24, 201810 then
Private funds: no history
RAUM +57% over the last fiscal yearIARs 11 to 11
Practice profile
derived from the filing of Jun 22, 2020; every figure names its basis
- RAUM per advisor
- $38.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $544,457derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +57%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +77%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $23.7M, 2 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$353M84%
- Individuals$46.2M11%
- Pension and profit-sharing plans$21.0M5.0%
- Individual clients
- 214reported
- HNW clients
- 289reported
- Pension plan clients
- 19reported
- Charitable clients
- n/areported
- Accounts
- 771reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.7M for 2 clientsreported
- 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
Left, latest
- S•••• C•••• B••••• to B•••• T•••• W••••• M••••••••• L••Dec 22, 2020 · RIA to RIA
- M•••••• A•••••• D•••••••• to B•••• T•••• W••••• M••••••••• L••Dec 22, 2020 · RIA to RIA
- J•••• M••••• P•••••• to S•••• I••••••••• A••••••• I•••••••••Dec 22, 2020 · RIA to a state-registered adviser
- D•••• L•••• to B•••• T•••• W••••• M••••••••• L••Dec 22, 2020 · RIA to RIA
- A••• B•••• A••••• to S•••• I••••••••• A••••••• I•••••••••Dec 22, 2020 · RIA to a state-registered adviser
- J••• T••••• H••••••••• to B•••• T•••• W••••• M••••••••• L••Dec 22, 2020 · RIA to RIA
- M•••••• T• J•••• to B•••• T•••• W••••• M••••••••• L••Dec 22, 2020 · RIA to RIA
- J•••••• H•••••• to C•••• C•••••• M••••••••• I••Mar 6, 2018 · Other
- S•••• C•••• B••••• to C••••• A•••••• N••••••• L••Nov 22, 2011 · Other
Joined, latest
- M•••••• T• J•••• from M•••••• A••••• S••••••••• L••Sep 24, 2019 · RIA to RIA
- J••• T••••• H••••••••• from P•••••• A•••• M••••••••• I••Dec 18, 2018 · RIA to RIA
- D•••• L•••• from J••• M••••• S••••••••• L••Nov 8, 2018 · Wirehouse to independent RIA
- J•••••• H•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 12, 2018 · Affiliated broker-dealer or bank to independent RIA
- M•••••• A•••••• D•••••••• from J••• M••••• S••••••••• L••Sep 29, 2017 · Other
- S•••• C•••• B••••• from C••••• A•••••• N••••••• L••Aug 16, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for S•••• I••••••••• A••••••• I•••••••••Dec 22, 2020 · Irvine, Ca
- 5 left for B•••• T•••• W••••• M••••••••• L••Dec 22, 2020 · Irvine, Ca · Firm absorbed
- 2 joined from J••• M••••• S••••••••• L••Oct 12, 2017 · Rancho Santa Fe, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• A•••• B•••• · Chief Compliance Officer & Presidentcontrolsince 03/2000 · owns less than 5%
- H••••••••• D••••••• L•• · Chief Operating Officer / Chief Marketing Officercontrolsince 11/2018 · owns less than 5%
- M•••••• S••••••• P••• · Managercontrolsince 08/1999 · owns less than 5%
Entity owners
- S•••• M••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•••• M••••• L••insurancey
Offices
Schedule D 1.F, the 25 largest
- San Diego, CA2 employees
- Encino, CA1 employees
- Los Angeles, CA1 employees
- San Francisco, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 657 to 771Mar 27, 2019 to Mar 17, 2020
- BD registered reps · 7 to 6Mar 27, 2019 to Mar 17, 2020
- HNW clients · 139 to 289Mar 27, 2019 to Mar 17, 2020
- Individual clients · 145 to 214Mar 27, 2019 to Mar 17, 2020
- Pension plan clients · 14 to 19Mar 27, 2019 to Mar 17, 2020
- Assets in custody · $28.5M to $23.7MMar 27, 2019 to Mar 17, 2020
- Discretionary RAUM · $241M to $393MMar 27, 2019 to Mar 17, 2020
- HNW RAUM · $216M to $353MMar 27, 2019 to Mar 17, 2020
- Individual RAUM · $37.1M to $46.2MMar 27, 2019 to Mar 17, 2020
- Non-discretionary RAUM · $25.4M to $27.1MMar 27, 2019 to Mar 17, 2020
- Pension RAUM · $13.8M to $21.0MMar 27, 2019 to Mar 17, 2020
- RAUM · $267M to $420MMar 27, 2019 to Mar 17, 2020
- Accounts · 628 to 657Feb 5, 2019 to Mar 27, 2019
- BD registered reps · 6 to 7Feb 5, 2019 to Mar 27, 2019
- HNW clients · 119 to 139Feb 5, 2019 to Mar 27, 2019
- Individual clients · 139 to 145Feb 5, 2019 to Mar 27, 2019
- Pension plan clients · unset to 14.0Feb 5, 2019 to Mar 27, 2019
- Assets in custody · unset to 28509728.0Feb 5, 2019 to Mar 27, 2019
- Custody of client assets · false to trueFeb 5, 2019 to Mar 27, 2019
- Employees · 10 to 11Feb 5, 2019 to Mar 27, 2019
- Financial planning clients · 0 to 51-100Feb 5, 2019 to Mar 27, 2019
- State-registered IARs · 9 to 11Feb 5, 2019 to Mar 27, 2019
- Discretionary RAUM · $222M to $241MFeb 5, 2019 to Mar 27, 2019
- HNW RAUM · $215M to $216MFeb 5, 2019 to Mar 27, 2019
- Individual RAUM · $33.4M to $37.1MFeb 5, 2019 to Mar 27, 2019
- Non-discretionary RAUM · $26.4M to $25.4MFeb 5, 2019 to Mar 27, 2019
- Pension RAUM · unset to 13846505.0Feb 5, 2019 to Mar 27, 2019
- RAUM · $248M to $267MFeb 5, 2019 to Mar 27, 2019
- Accounts · 533 to 628May 24, 2018 to Feb 5, 2019
- HNW clients · 82 to 119May 24, 2018 to Feb 5, 2019
- Individual clients · 137 to 139May 24, 2018 to Feb 5, 2019
- Assets in custody · 44316900.0 to unsetMay 24, 2018 to Feb 5, 2019
- Custody of client assets · true to falseMay 24, 2018 to Feb 5, 2019
- HQ city · NEWPORT BEACH to IRVINEMay 24, 2018 to Feb 5, 2019
- Discretionary RAUM · $210M to $222MMay 24, 2018 to Feb 5, 2019
- HNW RAUM · $141M to $215MMay 24, 2018 to Feb 5, 2019
- Individual RAUM · $33.3M to $33.4MMay 24, 2018 to Feb 5, 2019
- Non-discretionary RAUM · $22.9M to $26.4MMay 24, 2018 to Feb 5, 2019
- Pension RAUM · 2006737.0 to unsetMay 24, 2018 to Feb 5, 2019
- RAUM · $232M to $248MMay 24, 2018 to Feb 5, 2019
Signals
3 dated events
- S•••• M••••• F•••••••• S•••••••• L•• reported RAUM $419.8M, up 57% from $266.7M (2019-03-27 to 2020-03-17)Mar 17, 2020 · RAUM change · derived
- Lee Deborah Harrington (Chief Operating Officer / Chief Marketing Officer) appeared on Schedule A of S•••• M••••• F•••••••• S•••••••• L••Feb 5, 2019 · Control person joined · fact
- S•••• M••••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Sep 27, 2017 · 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