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.
SEC-registered adviser
S••• T••••• • A••••••••• C••• L••
Latest filing Mar 19, 2026
First filing on the tape Apr 2, 2012 · 3 filings
SEC status approved since Apr 17, 2026
RAUM
$105M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$105M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$105M as of Mar 19, 2026
Apr 2, 2012$40.2M then
HNW client RAUM: $75.7M
State-registered IARs (5.B.3)1 as of Mar 19, 2026
Apr 2, 20120 then
Employees (5.A): 2
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 19, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 108derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $394,538derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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
- 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$75.7M72%
- Individuals$28.8M28%
- Individual clients
- 79reported
- HNW clients
- 29reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 265reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• C•••••••• T•••••Personal Financial Specialist | Medina, Oh | Sep 22, 2017 | 38 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
- B•••• M•••••• T••••• to F•••••• F•••••••• D•••••• L••Jul 15, 2019 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••• S•••••• C•••••••• · Chief Compliance Officercontrolsince 01/1989 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 19, 2026hourly charges (Item 5.E.2): no on the filing of 2012-06-14, yes on the filing of 2026-03-19peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 227 to 265Jun 14, 2012 to Mar 19, 2026
- Advisory employees · unset to 1.0Jun 14, 2012 to Mar 19, 2026
- Business name · S••• T••••• • A••••••••• C•• to S••• T••••• • A••••••••• C••• L••Jun 14, 2012 to Mar 19, 2026
- Charity clients · unset to 0.0Jun 14, 2012 to Mar 19, 2026
- Corporate clients · unset to 0.0Jun 14, 2012 to Mar 19, 2026
- HNW clients · unset to 29.0Jun 14, 2012 to Mar 19, 2026
- Individual clients · unset to 79.0Jun 14, 2012 to Mar 19, 2026
- Pension plan clients · unset to 0.0Jun 14, 2012 to Mar 19, 2026
- Pooled vehicle clients · unset to 0.0Jun 14, 2012 to Mar 19, 2026
- Employees · unset to 2.0Jun 14, 2012 to Mar 19, 2026
- Financial planning clients · 51-100 to 1-10Jun 14, 2012 to Mar 19, 2026
- State-registered IARs · 0 to 1Jun 14, 2012 to Mar 19, 2026
- Legal name · T•••••, S••••• C•••••••• to S••• T••••• • A••••••••• C••• L••Jun 14, 2012 to Mar 19, 2026
- Other offices · unset to 0.0Jun 14, 2012 to Mar 19, 2026
- Organization form · Sole Proprietorship to Limited Liability CompanyJun 14, 2012 to Mar 19, 2026
- Discretionary RAUM · $39.2M to $104MJun 14, 2012 to Mar 19, 2026
- HNW RAUM · unset to 75746535.0Jun 14, 2012 to Mar 19, 2026
- Individual RAUM · unset to 28806139.0Jun 14, 2012 to Mar 19, 2026
- Non-discretionary RAUM · $987,037 to $85,408Jun 14, 2012 to Mar 19, 2026
- Pension RAUM · unset to 0.0Jun 14, 2012 to Mar 19, 2026
- Pooled vehicle RAUM · unset to 0.0Jun 14, 2012 to Mar 19, 2026
- RAUM · $40.2M to $105MJun 14, 2012 to Mar 19, 2026
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
- k••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- k•••••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 330-723-4798reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 330-725-3162reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 330-225-3162reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 330-725-3162reportedpublic record, Form ADV, Mar 19, 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026