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•••• S••• ••••••••• A•••••••• L••
Latest filing Jan 29, 2022
First filing on the tape Mar 7, 2012 · 28 filings
RAUM
$621M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$613M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$621M as of Jan 20, 2022
Mar 7, 2012$240M then
HNW client RAUM$602M as of Jan 20, 2022
Feb 7, 2018$405M then
State-registered IARs (5.B.3)1 as of Jan 20, 2022
Mar 7, 20120 then
Employees (5.A)3 as of Jan 20, 2022
Feb 19, 20132 then
Private funds: no history
RAUM +9.8% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 29, 2022; every figure names its basis
- RAUM per advisor
- $621MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.5MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $1.8M, 6 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
- 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
- High-net-worth individuals$602M97%
- Individuals$11.0M1.8%
- Charitable organizations$8.2M1.3%
- Individual clients
- 18reported
- HNW clients
- 71reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 553reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.8M for 6 clientsreported
- Compensation
- % of AUM, fixed, 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
Left, latest
- S•••• P• S••• to C••••••••• C••••••••• A••••••• S••••••••Dec 31, 2022 · RIA to RIA
- S•••• S• H•••• to S••••• • A•••••••••Apr 28, 2014 · Other
- D•••• R• A•••• to S•••••••• W••••• P•••••••• L•••May 9, 2012 · Other
Joined, latest
- S•••• S• H•••• from P•• W••••• M•••••••••Feb 22, 2013 · Other
- S•••• P• S••• from E•••• • Y•••• I••••••••• A••••••• L••May 17, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••• S••••• P• · Managing Directorcontrolsince 04/2005 · 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 · 561 to 553Mar 20, 2021 to Jan 20, 2022
- Advisory employees · 2 to 3Mar 20, 2021 to Jan 20, 2022
- HNW clients · 67 to 71Mar 20, 2021 to Jan 20, 2022
- Individual clients · 19 to 18Mar 20, 2021 to Jan 20, 2022
- Assets in custody · $1.5M to $1.8MMar 20, 2021 to Jan 20, 2022
- Employees · 2 to 3Mar 20, 2021 to Jan 20, 2022
- HNW RAUM · $546M to $602MMar 20, 2021 to Jan 20, 2022
- Individual RAUM · $11.3M to $11.0MMar 20, 2021 to Jan 20, 2022
- Non-discretionary RAUM · $565M to $621MMar 20, 2021 to Jan 20, 2022
- RAUM · $565M to $621MMar 20, 2021 to Jan 20, 2022
- Accounts · 496 to 561Jun 23, 2020 to Mar 1, 2021
- Advisory employees · 3 to 2Jun 23, 2020 to Mar 1, 2021
- Individual clients · 20 to 19Jun 23, 2020 to Mar 1, 2021
- Assets in custody · $1.1M to $1.5MJun 23, 2020 to Mar 1, 2021
- Employees · 3 to 2Jun 23, 2020 to Mar 1, 2021
- HNW RAUM · $474M to $546MJun 23, 2020 to Mar 1, 2021
- Individual RAUM · $11.8M to $11.3MJun 23, 2020 to Mar 1, 2021
- Non-discretionary RAUM · $493M to $565MJun 23, 2020 to Mar 1, 2021
- RAUM · $493M to $565MJun 23, 2020 to Mar 1, 2021
- Accounts · 460 to 496Mar 4, 2019 to Feb 5, 2020
- Advisory employees · 2 to 3Mar 4, 2019 to Feb 5, 2020
- HNW clients · 66 to 67Mar 4, 2019 to Feb 5, 2020
- Individual clients · 19 to 20Mar 4, 2019 to Feb 5, 2020
- Assets in custody · $1.3M to $1.1MMar 4, 2019 to Feb 5, 2020
- Employees · 2 to 3Mar 4, 2019 to Feb 5, 2020
- HNW RAUM · $409M to $474MMar 4, 2019 to Feb 5, 2020
- Individual RAUM · $10.1M to $11.8MMar 4, 2019 to Feb 5, 2020
- Non-discretionary RAUM · $427M to $493MMar 4, 2019 to Feb 5, 2020
- RAUM · $427M to $493MMar 4, 2019 to Feb 5, 2020
- Accounts · 427 to 460Feb 7, 2018 to Mar 4, 2019
- Advisory employees · 3 to 2Feb 7, 2018 to Mar 4, 2019
- Individual clients · 14 to 19Feb 7, 2018 to Mar 4, 2019
- Assets in custody · $1.4M to $1.3MFeb 7, 2018 to Mar 4, 2019
- Employees · 3 to 2Feb 7, 2018 to Mar 4, 2019
- HNW RAUM · $405M to $409MFeb 7, 2018 to Mar 4, 2019
- Individual RAUM · $8.5M to $10.1MFeb 7, 2018 to Mar 4, 2019
- Non-discretionary RAUM · $422M to $427MFeb 7, 2018 to Mar 4, 2019
- RAUM · $422M to $427MFeb 7, 2018 to Mar 4, 2019
- Accounts · 406 to 427Feb 3, 2017 to Feb 7, 2018
- Charity clients · unset to 1.0Feb 3, 2017 to Feb 7, 2018
Signals
1 dated events
- S•••• P• S••• left S•••• S••• ••••••••• A•••••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2023-01-22)Dec 31, 2022 · Advisor changed firm · 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