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•••••••••
Legal name A•••••• L••••• M•••••
Latest filing Mar 3, 2026
First filing on the tape Mar 7, 2012 · 19 filings
SEC status approved since Apr 2, 2008
RAUM
$439M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$439M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$219M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$439M as of Mar 3, 2026
Mar 7, 2012$104M then
HNW client RAUM$430M as of Mar 3, 2026
Mar 6, 2018$171M then
State-registered IARs (5.B.3)2 as of Mar 3, 2026
Mar 7, 20120 then
Employees (5.A)2 as of Mar 3, 2026
Mar 12, 20131 then
Private funds: no history
RAUM +18% over the last fiscal year+22% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $219MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.5MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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
- 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
- High-net-worth individuals$430M98%
- Individuals$9.2M2.1%
- Individual clients
- 22reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 222reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••• M••••• A••••• | Carlsbad, Ca | Apr 23, 2001 | 32 y | 0 |
| S•••• N••• J••••• | Burbank, Ca | Feb 17, 2018 | 13 y | 0 |
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•••• H••••• A••••• to T••••• P•••••••••Jun 22, 2021 · RIA to a state-registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• L•••••• M••••• · Ownercontrolsince 02/2001 · owns 75% or more
- J•••••• S••••• N••• · Chief Compliance Officersince 06/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Carlsbad, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 3, 2026HNW RAUM per HNW client of $9,549,591 against a peer median of $2,404,040 (4940 comparable advisers, 99.0th percentile, 4.8 robust deviations)peers: independent wealth managers, $100M to $500M (4,940) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 234 to 222Mar 7, 2025 to Mar 3, 2026
- HNW clients · 44 to 45Mar 7, 2025 to Mar 3, 2026
- Individual clients · 30 to 22Mar 7, 2025 to Mar 3, 2026
- Discretionary RAUM · $371M to $439MMar 7, 2025 to Mar 3, 2026
- HNW RAUM · $360M to $430MMar 7, 2025 to Mar 3, 2026
- Individual RAUM · $10.8M to $9.2MMar 7, 2025 to Mar 3, 2026
- RAUM · $371M to $439MMar 7, 2025 to Mar 3, 2026
- Accounts · 222 to 234Feb 20, 2024 to Mar 7, 2025
- Individual clients · 23 to 30Feb 20, 2024 to Mar 7, 2025
- Financial planning clients · 51-100 to 51-100Feb 20, 2024 to Mar 7, 2025
- HQ city · unset to Feb 20, 2024 to Mar 7, 2025
- HQ state · unset to Feb 20, 2024 to Mar 7, 2025
- Discretionary RAUM · $329M to $371MFeb 20, 2024 to Mar 7, 2025
- HNW RAUM · $322M to $360MFeb 20, 2024 to Mar 7, 2025
- Individual RAUM · $7.1M to $10.8MFeb 20, 2024 to Mar 7, 2025
- RAUM · $329M to $371MFeb 20, 2024 to Mar 7, 2025
- Accounts · 227 to 222Mar 4, 2023 to Feb 20, 2024
- Individual clients · 32 to 23Mar 4, 2023 to Feb 20, 2024
- Discretionary RAUM · $243M to $329MMar 4, 2023 to Feb 20, 2024
- HNW RAUM · $230M to $322MMar 4, 2023 to Feb 20, 2024
- Individual RAUM · $13.2M to $7.1MMar 4, 2023 to Feb 20, 2024
- RAUM · $243M to $329MMar 4, 2023 to Feb 20, 2024
- Accounts · 226 to 227Jan 31, 2022 to Mar 4, 2023
- Individual clients · 33 to 32Jan 31, 2022 to Mar 4, 2023
- Discretionary RAUM · $292M to $243MJan 31, 2022 to Mar 4, 2023
- HNW RAUM · $283M to $230MJan 31, 2022 to Mar 4, 2023
- Individual RAUM · $9.5M to $13.2MJan 31, 2022 to Mar 4, 2023
- RAUM · $292M to $243MJan 31, 2022 to Mar 4, 2023
- Accounts · 191 to 226Aug 20, 2021 to Jan 31, 2022
- HNW clients · 39 to 44Aug 20, 2021 to Jan 31, 2022
- Individual clients · 27 to 33Aug 20, 2021 to Jan 31, 2022
- Discretionary RAUM · $255M to $292MAug 20, 2021 to Jan 31, 2022
- HNW RAUM · $246M to $283MAug 20, 2021 to Jan 31, 2022
- Individual RAUM · $9.4M to $9.5MAug 20, 2021 to Jan 31, 2022
- RAUM · $255M to $292MAug 20, 2021 to Jan 31, 2022
- Employees · 3 to 2Feb 9, 2021 to Aug 20, 2021
- State-registered IARs · 3 to 2Feb 9, 2021 to Aug 20, 2021
- Accounts · 196 to 191May 26, 2020 to Feb 9, 2021
- HNW clients · 35 to 39May 26, 2020 to Feb 9, 2021
- Individual clients · 29 to 27May 26, 2020 to Feb 9, 2021
Signals
No event on the tape.
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
- 866-589-0430reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-808-0430reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 866-589-0430reportedpublic record, Form ADV, Mar 3, 2026
- Contact form
- s•••••••••.comreportedpublished 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
- $219Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026