DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S••••• F•••••••• S•••••••
Legal name S••••• F•••••••• S•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 19 filings
SEC status approved since Jan 23, 2004
RAUM
$286M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$285M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$143M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$286M as of Mar 27, 2026
Mar 29, 2012$91.6M then
HNW client RAUM$209M as of Mar 27, 2026
Mar 30, 2018$132M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 28, 20133 then
Employees (5.A)6 as of Mar 27, 2026
Mar 28, 20136 then
Private funds: no history
RAUM +9.9% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $143MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 165derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $486,939derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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$209M73%
- Individuals$76.7M27%
- Other investment advisers$985,1520.3%
- Individual clients
- 228reported
- HNW clients
- 101reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 588reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| R••••• M• S••••• | Arlington, Va | Mar 14, 2006 | 22 y | 0 |
| D••••• R•••••• G••••• | Sewell, Nj | Oct 13, 2006 | 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••••••• K••••••• S••••• · Partnercontrolsince 09/2007 · owns 50% to 75%
- S•••••• R•••••• M• · Chief Compliance Officercontrolsince 09/2004 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Arlington, VA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 634 to 588Mar 26, 2025 to Mar 27, 2026
- HNW clients · 86 to 101Mar 26, 2025 to Mar 27, 2026
- Individual clients · 285 to 228Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $261M to $286MMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $158M to $209MMar 26, 2025 to Mar 27, 2026
- Individual RAUM · $101M to $76.7MMar 26, 2025 to Mar 27, 2026
- RAUM · $261M to $286MMar 26, 2025 to Mar 27, 2026
- Accounts · 633 to 634Jan 2, 2025 to Mar 26, 2025
- HNW clients · 80 to 86Jan 2, 2025 to Mar 26, 2025
- Individual clients · 280 to 285Jan 2, 2025 to Mar 26, 2025
- Employees · 8 to 6Jan 2, 2025 to Mar 26, 2025
- Financial planning clients · 0 to 0Jan 2, 2025 to Mar 26, 2025
- Discretionary RAUM · $228M to $261MJan 2, 2025 to Mar 26, 2025
- HNW RAUM · $136M to $158MJan 2, 2025 to Mar 26, 2025
- Individual RAUM · $90.8M to $101MJan 2, 2025 to Mar 26, 2025
- RAUM · $228M to $261MJan 2, 2025 to Mar 26, 2025
- Accounts · 632 to 633Mar 29, 2023 to Mar 27, 2024
- HNW clients · 88 to 80Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $208M to $228MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $127M to $136MMar 29, 2023 to Mar 27, 2024
- Individual RAUM · $79.1M to $90.8MMar 29, 2023 to Mar 27, 2024
- RAUM · $208M to $228MMar 29, 2023 to Mar 27, 2024
- Accounts · 614 to 632Mar 30, 2022 to Mar 29, 2023
- HNW clients · 115 to 88Mar 30, 2022 to Mar 29, 2023
- Individual clients · 244 to 280Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $266M to $208MMar 30, 2022 to Mar 29, 2023
- HNW RAUM · $188M to $127MMar 30, 2022 to Mar 29, 2023
- Individual RAUM · $76.8M to $79.1MMar 30, 2022 to Mar 29, 2023
- RAUM · $266M to $208MMar 30, 2022 to Mar 29, 2023
- Accounts · 575 to 614Mar 29, 2021 to Mar 30, 2022
- HNW clients · 94 to 115Mar 29, 2021 to Mar 30, 2022
- Individual clients · 258 to 244Mar 29, 2021 to Mar 30, 2022
- Employees · 7 to 8Mar 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $217M to $266MMar 29, 2021 to Mar 30, 2022
- HNW RAUM · $139M to $188MMar 29, 2021 to Mar 30, 2022
- Individual RAUM · $75.8M to $76.8MMar 29, 2021 to Mar 30, 2022
- RAUM · $217M to $266MMar 29, 2021 to Mar 30, 2022
- Accounts · 565 to 575Jun 29, 2020 to Mar 29, 2021
- HNW clients · 85 to 94Jun 29, 2020 to Mar 29, 2021
- Individual clients · 231 to 258Jun 29, 2020 to Mar 29, 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 email
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 703-258-0090reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 443-458-0982reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 410-224-0572reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 410-224-0572reportedpublic record, Form ADV, Mar 27, 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
- $143Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026