DFX Intelligence
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SEC-registered adviser
S••••• C•••••• M••••••••• I•••
Latest filing Mar 9, 2026
First filing on the tape Jan 27, 2012 · 23 filings
SEC status approved since Mar 15, 2017
RAUM
$300M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$292M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$100M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$300M as of Mar 9, 2026
Jan 27, 2012$49.2M then
HNW client RAUM$139M as of Mar 9, 2026
Mar 22, 2018$60.2M then
State-registered IARs (5.B.3)3 as of Mar 9, 2026
Jan 27, 20120 then
Employees (5.A)4 as of Mar 9, 2026
Mar 22, 20184 then
Private funds: no history
RAUM +12% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $100MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 309derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $178,481derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $5.0M, 15 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$153M51%
- High-net-worth individuals$139M46%
- Charitable organizations$7.9M2.6%
- Individual clients
- 863reported
- HNW clients
- 64reported
- Pension plan clients
- n/areported
- Charitable clients
- 17reported
- Accounts
- 1,682reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.0M for 15 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• A•••• S••••• | Bucyrus, Oh | Aug 19, 1999 | 29 y | 0 |
| T••••• R••• B•••• | Bucyrus, Oh | Jan 3, 2007 | 30 y | 0 |
| A••• K• S••••••••• | Bucyrus, Oh | Apr 18, 2024 | 20 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• T•••••• R••• · Principal/Vice Presidentcontrolsince 07/2010 · owns 10% to 25%
- S•••••• J••••• A•••• · Principal/Chief Compliance Officercontrolsince 09/1999 · owns 75% or more
Related persons
Schedule D 7.A
- T••••• R• B••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bucyrus, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Mar 9, 2026private clients per advisor of 309.0 against a peer median of 57.3 (3079 comparable advisers, 99.0th percentile, 7.2 robust deviations)peers: independent wealth managers, $100M to $500M (3,079) · 99% percentile
- custody status changedChange between filings · filing Mar 9, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-24, yes on the filing of 2026-03-09peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Accounts · 1,650 to 1,682Mar 24, 2025 to Mar 9, 2026
- Charity clients · 18 to 17Mar 24, 2025 to Mar 9, 2026
- Individual clients · 855 to 863Mar 24, 2025 to Mar 9, 2026
- Assets in custody · unset to 5049883.0Mar 24, 2025 to Mar 9, 2026
- Custody of client assets · false to trueMar 24, 2025 to Mar 9, 2026
- Discretionary RAUM · $269M to $300MMar 24, 2025 to Mar 9, 2026
- HNW RAUM · $120M to $139MMar 24, 2025 to Mar 9, 2026
- Individual RAUM · $142M to $153MMar 24, 2025 to Mar 9, 2026
- RAUM · $269M to $300MMar 24, 2025 to Mar 9, 2026
- Individual RAUM · $123M to $142MAug 13, 2024 to Mar 24, 2025
- RAUM · $220M to $269MAug 13, 2024 to Mar 24, 2025
- Accounts · 1,541 to 1,650Aug 13, 2024 to Mar 24, 2025
- Advisory employees · 2 to 3Aug 13, 2024 to Mar 24, 2025
- Charity clients · 17 to 18Aug 13, 2024 to Mar 24, 2025
- HNW clients · 49 to 64Aug 13, 2024 to Mar 24, 2025
- Individual clients · 804 to 855Aug 13, 2024 to Mar 24, 2025
- Assets in custody · 7731245.0 to unsetAug 13, 2024 to Mar 24, 2025
- Custody of client assets · true to falseAug 13, 2024 to Mar 24, 2025
- Financial planning clients · 1-10 to 1-10Aug 13, 2024 to Mar 24, 2025
- State-registered IARs · 2 to 3Aug 13, 2024 to Mar 24, 2025
- Discretionary RAUM · $220M to $269MAug 13, 2024 to Mar 24, 2025
- HNW RAUM · $90.9M to $120MAug 13, 2024 to Mar 24, 2025
- Accounts · 1,514 to 1,541Mar 28, 2023 to Mar 11, 2024
- Advisory activities · 3 to 2Mar 28, 2023 to Mar 11, 2024
- Charity clients · 16 to 17Mar 28, 2023 to Mar 11, 2024
- HNW clients · 45 to 49Mar 28, 2023 to Mar 11, 2024
- Individual clients · 789 to 804Mar 28, 2023 to Mar 11, 2024
- Assets in custody · $3.5M to $7.7MMar 28, 2023 to Mar 11, 2024
- Employees · 3 to 4Mar 28, 2023 to Mar 11, 2024
- Financial planning clients · 26-50 to 1-10Mar 28, 2023 to Mar 11, 2024
- Discretionary RAUM · $202M to $220MMar 28, 2023 to Mar 11, 2024
- HNW RAUM · $85.5M to $90.9MMar 28, 2023 to Mar 11, 2024
- Individual RAUM · $111M to $123MMar 28, 2023 to Mar 11, 2024
- RAUM · $202M to $220MMar 28, 2023 to Mar 11, 2024
- Accounts · 1,531 to 1,514Mar 23, 2022 to Mar 14, 2023
- HNW clients · 54 to 45Mar 23, 2022 to Mar 14, 2023
- Individual clients · 752 to 789Mar 23, 2022 to Mar 14, 2023
- Assets in custody · $3.6M to $3.5MMar 23, 2022 to Mar 14, 2023
- Discretionary RAUM · $238M to $202MMar 23, 2022 to Mar 14, 2023
- HNW RAUM · $105M to $85.5MMar 23, 2022 to Mar 14, 2023
Signals
1 dated events
- S••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Feb 24, 2017 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 419-563-0084reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S•••••CAPITAL.COMreportedpublic record, Form ADV, Mar 9, 2026
- Principal office phone
- 419-563-0084reportedpublic record, Form ADV, Mar 9, 2026
- Team page
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $100Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026