DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

S••••••••• • A••••••••• A•••• M••••••••• L••

Independent wealth managerCRD 112547SEC 801-63384website IAPD

Legal name S•••••• C•••• S•••••••••

Latest filing Jan 22, 2026

First filing on the tape Dec 9, 2011 · 30 filings

SEC status approved since Jul 29, 2004

RAUM

$129M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$129M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$129M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

30 filings and snapshots on the tape

RAUM$129M as of Jan 22, 2026

Dec 9, 2011$95.0M then

HNW client RAUM$94.3M as of Jan 22, 2026

Jan 5, 2018$130M then

State-registered IARs (5.B.3)1 as of Jan 22, 2026

Dec 9, 20110 then

Employees (5.A)2 as of Jan 22, 2026

Jan 4, 20132 then

Private funds: no history

RAUM +8.9% over the last fiscal year+3.8% a year over threeIARs 0 to 1offices 1 to 2

Practice profile

derived from the filing of Jan 22, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $129MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 392derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $645,739derivedHNW RAUM over HNW clients
Average account: $327,837derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 0.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year: +8.9%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +35%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$94.3M73%
Individuals$34.2M27%

Individual clients: 246reported
HNW clients: 146reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 392reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
S•••••• C•••• S•••••••••Certified Financial Planner	Longboat Key, Fl	Apr 22, 2025	42 y	1

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••••••• S••••••• C•••• · Owner/Chief Compliance Officer/Managing Membercontrol
since 05/1970 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Longboat Key, FL2 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

HNW share shiftChange between filings · filing Jan 22, 2026
HNW share of RAUM moved from 58.0% to 73.0% between the annual amendments of 2025-04-30 and 2026-01-22
peers: independent wealth managers, $100M to $500M (5,679)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 208 to 392
Nov 4, 2025 to Jan 22, 2026
HNW clients · 208 to 146
Nov 4, 2025 to Jan 22, 2026
Individual clients · unset to 246.0
Nov 4, 2025 to Jan 22, 2026
Discretionary RAUM · $125M to $129M
Nov 4, 2025 to Jan 22, 2026
HNW RAUM · $125M to $94.3M
Nov 4, 2025 to Jan 22, 2026
Individual RAUM · unset to 34234253.0
Nov 4, 2025 to Jan 22, 2026
RAUM · $125M to $129M
Nov 4, 2025 to Jan 22, 2026
Accounts · 290 to 208
Jul 25, 2025 to Nov 4, 2025
Advisory activities · 3 to 2
Jul 25, 2025 to Nov 4, 2025
HNW clients · 145 to 208
Jul 25, 2025 to Nov 4, 2025
Individual clients · 145.0 to unset
Jul 25, 2025 to Nov 4, 2025
Financial planning clients · 251-500 to
Jul 25, 2025 to Nov 4, 2025
State-registered IARs · 0 to 1
Jul 25, 2025 to Nov 4, 2025
Discretionary RAUM · $118M to $125M
Jul 25, 2025 to Nov 4, 2025
HNW RAUM · $68.0M to $125M
Jul 25, 2025 to Nov 4, 2025
Individual RAUM · 50000000.0 to unset
Jul 25, 2025 to Nov 4, 2025
RAUM · $118M to $125M
Jul 25, 2025 to Nov 4, 2025
Related adviser · true to false
Jul 25, 2025 to Nov 4, 2025
Financial planning clients · 251-500 to 251-500
Apr 30, 2025 to Jul 25, 2025
Other offices · 1 to 2
Apr 30, 2025 to Jul 25, 2025
Accounts · 304 to 290
Jan 23, 2024 to Jan 14, 2025
HNW clients · 152 to 145
Jan 23, 2024 to Jan 14, 2025
Individual clients · 152 to 145
Jan 23, 2024 to Jan 14, 2025
HQ city · unset to
Jan 23, 2024 to Jan 14, 2025
HQ state · unset to
Jan 23, 2024 to Jan 14, 2025
Discretionary RAUM · $113M to $118M
Jan 23, 2024 to Jan 14, 2025
HNW RAUM · $73.0M to $68.0M
Jan 23, 2024 to Jan 14, 2025
Individual RAUM · $40.0M to $50.0M
Jan 23, 2024 to Jan 14, 2025
RAUM · $113M to $118M
Jan 23, 2024 to Jan 14, 2025
Accounts · 315 to 304
Jan 13, 2023 to Jan 23, 2024
HNW clients · 157 to 152
Jan 13, 2023 to Jan 23, 2024
Individual clients · 157 to 152
Jan 13, 2023 to Jan 23, 2024
Other offices · 2 to 1
Jan 13, 2023 to Jan 23, 2024
Discretionary RAUM · $115M to $113M
Jan 13, 2023 to Jan 23, 2024
HNW RAUM · $75.0M to $73.0M
Jan 13, 2023 to Jan 23, 2024
RAUM · $115M to $113M
Jan 13, 2023 to Jan 23, 2024
Accounts · 330 to 315
Jan 5, 2022 to Jan 13, 2023
HNW clients · 165 to 157
Jan 5, 2022 to Jan 13, 2023
Individual clients · 165 to 157
Jan 5, 2022 to Jan 13, 2023
Discretionary RAUM · $146M to $115M
Jan 5, 2022 to Jan 13, 2023

Signals

1 dated events

S••••••••• • A••••••••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Feb 6, 2020 · Succession (Item 4) · fact

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

Business phone: 503-672-7750reportedpublished by the firm, firm site, Sep 16, 2026
Website: S•••••••••ANDASSOC.COMreportedpublic record, Form ADV, Jan 22, 2026
Principal office phone: 503-672-7750reportedpublic 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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $129Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026