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•••••••• F•••••••• A•••••••
Legal name S••••• B•••• D••••
Latest filing Jun 1, 2026
First filing on the tape Mar 26, 2012 · 5 filings
SEC status approved since Jun 5, 2026
RAUM
$133M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$132M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$66.5M
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
5 filings and snapshots on the tape
RAUM$133M as of Jun 1, 2026
Mar 26, 2012$37.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jun 1, 2026
Mar 26, 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 Jun 1, 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
- $66.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $202,690derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.5%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
- 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$132M99%
- Pension and profit-sharing plans$698,5860.5%
- Individual clients
- 303reported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 656reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| B•••• D•••• S•••• | Greenville, Sc | Jan 19, 1999 | 33 y | 0 |
| M••••••• R•••• E••••• | Greenville, Sc | Mar 1, 2011 | 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
- C•••••• W• C•••• to W••••• M••••••••• A•••••••• L••May 4, 2018 · Other
Joined, latest
- C•••••• W• C•••• from I• A••••••• S•••••••• I•••Jan 7, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• B••••• D•••• · Managing Member/Chief Compliance Officercontrolsince 11/1998 · owns 75% or more
Related persons
Schedule D 7.A
- S•• F••••••••• L••broker-dealery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenville, Sc · principal | 2 | 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
- affiliate changedChange between filings · filing Jun 1, 2026broker-dealer affiliate (Item 7.A.1): yes on the filing of 2012-06-21, no on the filing of 2026-06-01peers: independent wealth managers, $100M to $500M (5,676)
- compensation changedChange between filings · filing Jun 1, 2026commissions (Item 5.E.5): yes on the filing of 2012-06-21, no on the filing of 2026-06-01peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 856 to 656Jun 21, 2012 to Jun 1, 2026
- Advisory employees · unset to 2.0Jun 21, 2012 to Jun 1, 2026
- BD registered reps · unset to 0.0Jun 21, 2012 to Jun 1, 2026
- Business name · S•••••••• F•••••••• A•••••••• L•• to S•••••••• F•••••••• A•••••••Jun 21, 2012 to Jun 1, 2026
- Individual clients · unset to 303.0Jun 21, 2012 to Jun 1, 2026
- Pension plan clients · unset to 1.0Jun 21, 2012 to Jun 1, 2026
- Commission compensation · true to falseJun 21, 2012 to Jun 1, 2026
- Employees · unset to 2.0Jun 21, 2012 to Jun 1, 2026
- Financial planning clients · 251-500 to 251-500Jun 21, 2012 to Jun 1, 2026
- State-registered IARs · 0 to 2Jun 21, 2012 to Jun 1, 2026
- Legal name · S•••••••• F•••••••• A•••••••• L•• to S••••, B•••• D••••Jun 21, 2012 to Jun 1, 2026
- Other offices · unset to 0.0Jun 21, 2012 to Jun 1, 2026
- Organization form · Limited Liability Company to Sole ProprietorshipJun 21, 2012 to Jun 1, 2026
- Discretionary RAUM · $36.5M to $132MJun 21, 2012 to Jun 1, 2026
- Individual RAUM · unset to 132266217.0Jun 21, 2012 to Jun 1, 2026
- Non-discretionary RAUM · $1.4M to $1.0MJun 21, 2012 to Jun 1, 2026
- Pension RAUM · unset to 698586.0Jun 21, 2012 to Jun 1, 2026
- Pooled vehicle RAUM · unset to 0.0Jun 21, 2012 to Jun 1, 2026
- RAUM · $37.9M to $133MJun 21, 2012 to Jun 1, 2026
- Related broker-dealer · true to falseJun 21, 2012 to Jun 1, 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 phone
- 864-284-6511reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 864-284-6511reportedpublic record, Form ADV, Jun 1, 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
- $66.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026