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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

S•••• R••••••• I•••

Former SEC-registered adviserFlorissant, MissouriCRD 117909SEC 801-125723IAPD
Latest filing Feb 9, 2024
First filing on the tape Mar 6, 2012 · 9 filings
RAUM
$90.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$90.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$90.2M as of Feb 9, 2024
Mar 6, 2012$24.5M then
HNW client RAUM$39.5M as of Feb 9, 2024
Feb 28, 2023$37.3M then
State-registered IARs (5.B.3)1 as of Feb 9, 2024
Feb 28, 20231 then
Employees (5.A)4 as of Feb 9, 2024
Feb 28, 20236 then
Private funds: no history
RAUM -0.6% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 9, 2024; every figure names its basis
RAUM per advisor
$90.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
301derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$897,894derivedHNW RAUM over HNW clients
Average account
$185,889derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-0.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.1%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, 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
  • 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$50.6M56%
  • High-net-worth individuals$39.5M44%
Individual clients
257reported
HNW clients
44reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
485reported
Financial planning clients
251-500reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R••••••• S••••••• D•••••• · Presidentcontrol
      since 02/2000 · owns 75% or more
    • G•••••• S•••••• R•••••• · Chief Compliance Officer
      since 10/2021 · owns less than 5%
    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 · 512 to 485
      Oct 6, 2023 to Feb 9, 2024
    • HNW clients · 27 to 44
      Oct 6, 2023 to Feb 9, 2024
    • Individual clients · 287 to 257
      Oct 6, 2023 to Feb 9, 2024
    • Employees · 6 to 4
      Oct 6, 2023 to Feb 9, 2024
    • Financial planning clients · 101-250 to 251-500
      Oct 6, 2023 to Feb 9, 2024
    • Discretionary RAUM · $90.7M to $90.2M
      Oct 6, 2023 to Feb 9, 2024
    • HNW RAUM · $37.3M to $39.5M
      Oct 6, 2023 to Feb 9, 2024
    • Individual RAUM · $53.4M to $50.6M
      Oct 6, 2023 to Feb 9, 2024
    • RAUM · $90.7M to $90.2M
      Oct 6, 2023 to Feb 9, 2024
    • Accounts · 547 to 512
      Apr 22, 2022 to Feb 28, 2023
    • Individual clients · 218 to 287
      Apr 22, 2022 to Feb 28, 2023
    • Discretionary RAUM · $112M to $90.7M
      Apr 22, 2022 to Feb 28, 2023
    • HNW RAUM · $50.8M to $37.3M
      Apr 22, 2022 to Feb 28, 2023
    • Individual RAUM · $61.3M to $53.4M
      Apr 22, 2022 to Feb 28, 2023
    • RAUM · $112M to $90.7M
      Apr 22, 2022 to Feb 28, 2023
    • Accounts · 461 to 547
      Jun 28, 2012 to Apr 22, 2022
    • Advisory employees · unset to 1.0
      Jun 28, 2012 to Apr 22, 2022
    • Advisory activities · 3 to 2
      Jun 28, 2012 to Apr 22, 2022
    • HNW clients · unset to 27.0
      Jun 28, 2012 to Apr 22, 2022
    • Individual clients · unset to 218.0
      Jun 28, 2012 to Apr 22, 2022
    • Employees · unset to 6.0
      Jun 28, 2012 to Apr 22, 2022
    • Financial planning clients · 1-10 to 101-250
      Jun 28, 2012 to Apr 22, 2022
    • State-registered IARs · unset to 1.0
      Jun 28, 2012 to Apr 22, 2022
    • Other offices · unset to 0.0
      Jun 28, 2012 to Apr 22, 2022
    • Discretionary RAUM · $22.9M to $112M
      Jun 28, 2012 to Apr 22, 2022
    • HNW RAUM · unset to 50756799.0
      Jun 28, 2012 to Apr 22, 2022
    • Individual RAUM · unset to 61294431.0
      Jun 28, 2012 to Apr 22, 2022
    • Non-discretionary RAUM · $1.5M to $0
      Jun 28, 2012 to Apr 22, 2022
    • RAUM · $24.5M to $112M
      Jun 28, 2012 to Apr 22, 2022
    Signals
    2 dated events
    • M••••••• L••• A•••••••• (Chief Compliance Officer) no longer on Schedule A of S•••• R••••••• I••• (listed 2012-06-28, absent 2022-04-22)
      Apr 22, 2022 · Control person left · inference
    • S•••• R••••••• I••• filed its initial SEC registration (Form ADV)
      Apr 22, 2022 · 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