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••••••• F•••••••• M•••••••••

Former SEC-registered adviserSan Antonio, TexasCRD 114928SEC 801-62979IAPD
Latest filing Mar 29, 2019
First filing on the tape Mar 22, 2012 · 11 filings
RAUM
$129M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$129M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$129M as of Mar 29, 2019
Mar 22, 2012$93.1M then
HNW client RAUM$53.7M as of Mar 29, 2019
Mar 16, 2018$53.7M then
State-registered IARs (5.B.3)2 as of Mar 29, 2019
Mar 22, 20120 then
Employees (5.A)3 as of Mar 29, 2019
Mar 13, 20134 then
Private funds: no history
RAUM +3.7% over the last fiscal year-4.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
RAUM per advisor
$64.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
118derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$549,662derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+18%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consultingreportedItem 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$75.5M58%
  • High-net-worth individuals$53.7M42%
Individual clients
204reported
HNW clients
31reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
235reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S•••••••• R••••• S•••• · Owner/Chief Compliance Officercontrol
    since 07/1996 · owns 75% or more
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 · 687 to 235
    Mar 16, 2018 to Mar 29, 2019
  • HNW clients · 51 to 31
    Mar 16, 2018 to Mar 29, 2019
  • Individual clients · 148 to 204
    Mar 16, 2018 to Mar 29, 2019
  • Discretionary RAUM · $125M to $129M
    Mar 16, 2018 to Mar 29, 2019
  • Individual RAUM · $70.9M to $75.5M
    Mar 16, 2018 to Mar 29, 2019
  • RAUM · $125M to $129M
    Mar 16, 2018 to Mar 29, 2019
  • Accounts · 698 to 687
    Mar 23, 2017 to Mar 16, 2018
  • Advisory employees · 1 to 2
    Mar 23, 2017 to Mar 16, 2018
  • HNW clients · unset to 51.0
    Mar 23, 2017 to Mar 16, 2018
  • Individual clients · unset to 148.0
    Mar 23, 2017 to Mar 16, 2018
  • Employees · 5 to 3
    Mar 23, 2017 to Mar 16, 2018
  • Financial planning clients · 0 to 11-25
    Mar 23, 2017 to Mar 16, 2018
  • State-registered IARs · 1 to 2
    Mar 23, 2017 to Mar 16, 2018
  • Other offices · unset to 0.0
    Mar 23, 2017 to Mar 16, 2018
  • Discretionary RAUM · $119M to $125M
    Mar 23, 2017 to Mar 16, 2018
  • HNW RAUM · unset to 53690120.0
    Mar 23, 2017 to Mar 16, 2018
  • Individual RAUM · unset to 70877942.0
    Mar 23, 2017 to Mar 16, 2018
  • RAUM · $119M to $125M
    Mar 23, 2017 to Mar 16, 2018
  • Accounts · 598 to 698
    Feb 22, 2017 to Mar 23, 2017
  • Business name · S••••••• F•••••••• M••••••••• L•• to S••••••• F•••••••• M•••••••••
    Feb 22, 2017 to Mar 23, 2017
  • Legal name · S••••••• F•••••••• M••••••••• L•• to S••••••• F•••••••• M•••••••••
    Feb 22, 2017 to Mar 23, 2017
  • Discretionary RAUM · $123M to $119M
    Feb 22, 2017 to Mar 23, 2017
  • RAUM · $123M to $119M
    Feb 22, 2017 to Mar 23, 2017
  • Accounts · 803 to 598
    Mar 14, 2016 to Feb 22, 2017
  • Employees · 6 to 5
    Mar 14, 2016 to Feb 22, 2017
  • Organization form · Limited Liability Company to Sole Proprietorship
    Mar 14, 2016 to Feb 22, 2017
  • Discretionary RAUM · $148M to $123M
    Mar 14, 2016 to Feb 22, 2017
  • RAUM · $148M to $123M
    Mar 14, 2016 to Feb 22, 2017
  • Accounts · 861 to 803
    Apr 2, 2015 to Mar 14, 2016
  • Advisory employees · 2 to 1
    Apr 2, 2015 to Mar 14, 2016
  • Discretionary RAUM · $164M to $148M
    Apr 2, 2015 to Mar 14, 2016
  • RAUM · $164M to $148M
    Apr 2, 2015 to Mar 14, 2016
  • Accounts · 810 to 861
    Feb 9, 2015 to Apr 2, 2015
  • Employees · 4 to 6
    Feb 9, 2015 to Apr 2, 2015
  • Discretionary RAUM · $158M to $164M
    Feb 9, 2015 to Apr 2, 2015
  • RAUM · $158M to $164M
    Feb 9, 2015 to Apr 2, 2015
  • Accounts · 834 to 810
    Sep 26, 2014 to Feb 9, 2015
  • Employees · 5 to 4
    Sep 26, 2014 to Feb 9, 2015
  • Discretionary RAUM · $151M to $158M
    Sep 26, 2014 to Feb 9, 2015
  • RAUM · $151M to $158M
    Sep 26, 2014 to Feb 9, 2015
Signals
1 dated events
  • S••••••• F•••••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Mar 13, 2013 · 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.
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