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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SEC-registered adviser
S••••••••• A•••• M•••••••••
Legal name S••••••••• A••••••••• L••
Latest filing Feb 16, 2026
First filing on the tape May 10, 2019 · 13 filings
SEC status approved since Jun 10, 2019
RAUM
$193M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$193M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$193M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$193M as of Feb 16, 2026
Mar 7, 2020$110M then
HNW client RAUM$42.8M as of Feb 16, 2026
Mar 7, 2020$20.0M then
State-registered IARs (5.B.3)1 as of Feb 16, 2026
Mar 7, 20201 then
Employees (5.A)2 as of Feb 16, 2026
Mar 7, 20202 then
Private funds: no history
RAUM +13% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $193MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 250derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $856,000derivedHNW RAUM over HNW clients
- Average account
- $549,288derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- Individuals$150M78%
- High-net-worth individuals$42.8M22%
- Individual clients
- 200reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 351reported
- Financial planning clients
- 0reported
- 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••••• T•••• S••••••••• | Bradenton, Fl | Jan 25, 2017 | 34 y | 5 |
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
- S••••• T•••• S••••••••• to F•••• A••••• S••••••••• I•••Dec 31, 2016 · Other
Joined, latest
- S••••• T•••• S••••••••• from F•••• A••••• A••••••• S•••••••• I•••Jan 25, 2017 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• S•••••• T•••• · Owner/Chief Compliance Officercontrolsince 01/1998 · owns 50% to 75%
- J•••••• C•••• · Membersince 08/2006 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Feb 16, 2026accounts (Item 5.F.2.f) moved from 225.0 to 351.0 (+56.0%) between the annual amendments of 2025-02-24 and 2026-02-16; the peer median change was +5.0% (3687 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 225 to 351Feb 24, 2025 to Feb 16, 2026
- HNW clients · unset to 50.0Feb 24, 2025 to Feb 16, 2026
- Individual clients · 225 to 200Feb 24, 2025 to Feb 16, 2026
- Discretionary RAUM · $163M to $183MFeb 24, 2025 to Feb 16, 2026
- HNW RAUM · unset to 42800000.0Feb 24, 2025 to Feb 16, 2026
- Individual RAUM · $171M to $150MFeb 24, 2025 to Feb 16, 2026
- Non-discretionary RAUM · $8.0M to $10.3MFeb 24, 2025 to Feb 16, 2026
- RAUM · $171M to $193MFeb 24, 2025 to Feb 16, 2026
- Accounts · 250 to 225Mar 10, 2024 to Feb 24, 2025
- HNW clients · 50.0 to unsetMar 10, 2024 to Feb 24, 2025
- Individual clients · 200 to 225Mar 10, 2024 to Feb 24, 2025
- Financial planning clients · 0 to 0Mar 10, 2024 to Feb 24, 2025
- Other offices · 0 to 1Mar 10, 2024 to Feb 24, 2025
- Discretionary RAUM · $135M to $163MMar 10, 2024 to Feb 24, 2025
- HNW RAUM · 70000000.0 to unsetMar 10, 2024 to Feb 24, 2025
- Individual RAUM · $67.0M to $171MMar 10, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $5.0M to $8.0MMar 10, 2024 to Feb 24, 2025
- RAUM · $140M to $171MMar 10, 2024 to Feb 24, 2025
- Accounts · 202 to 250Mar 15, 2023 to Mar 10, 2024
- Financial planning clients · 1-10 to 0Mar 15, 2023 to Mar 10, 2024
- Discretionary RAUM · $119M to $135MMar 15, 2023 to Mar 10, 2024
- HNW RAUM · $41.5M to $70.0MMar 15, 2023 to Mar 10, 2024
- Individual RAUM · $85.0M to $67.0MMar 15, 2023 to Mar 10, 2024
- Non-discretionary RAUM · $8.0M to $5.0MMar 15, 2023 to Mar 10, 2024
- RAUM · $127M to $140MMar 15, 2023 to Mar 10, 2024
- Accounts · 250 to 202Feb 3, 2022 to Mar 15, 2023
- Financial planning clients · unset to 1-10Feb 3, 2022 to Mar 15, 2023
- Discretionary RAUM · $150M to $119MFeb 3, 2022 to Mar 15, 2023
- HNW RAUM · $27.0M to $41.5MFeb 3, 2022 to Mar 15, 2023
- Individual RAUM · $130M to $85.0MFeb 3, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $7.0M to $8.0MFeb 3, 2022 to Mar 15, 2023
- RAUM · $157M to $127MFeb 3, 2022 to Mar 15, 2023
- HNW clients · 25 to 50Feb 17, 2021 to Feb 3, 2022
- Individual clients · 225 to 200Feb 17, 2021 to Feb 3, 2022
- Discretionary RAUM · $118M to $150MFeb 17, 2021 to Feb 3, 2022
- HNW RAUM · $23.0M to $27.0MFeb 17, 2021 to Feb 3, 2022
- Individual RAUM · $100M to $130MFeb 17, 2021 to Feb 3, 2022
- Non-discretionary RAUM · $5.0M to $7.0MFeb 17, 2021 to Feb 3, 2022
- RAUM · $123M to $157MFeb 17, 2021 to Feb 3, 2022
- HQ city · CENTENNIAL to BRADENTONJun 29, 2020 to Feb 17, 2021
Signals
1 dated events
- S••••••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)May 10, 2019 · ria f•••• adv filing · 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
- 303-619-9750reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-627-1099reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-252-2925reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/setchfieldassetmanagementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••••••ASSOCIATES.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-627-1099reportedpublic record, Form ADV, Feb 16, 2026
- Contact form
- setchfieldassetmanagement.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- setchfieldassetmanagement.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $193Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026