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•• J•••• I••••••••• C••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Nov 28, 2011 · 38 filings
SEC status approved since Feb 14, 2003
RAUM
$661M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
21%
$141M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$661M as of Mar 2, 2026
Mar 23, 2012$1.1B then
HNW client RAUM$118M as of Mar 2, 2026
Mar 27, 2018$625M then
State-registered IARs (5.B.3)5 as of Mar 2, 2026
Mar 11, 20130 then
Employees (5.A)6 as of Mar 2, 2026
Mar 11, 20139 then
Private funds: no history
RAUM +11% over the last fiscal year-3.5% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $870,635derivedHNW RAUM over HNW clients
- Average account
- $629,703derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$388M59%
- Investment companies$122M19%
- High-net-worth individuals$118M18%
- Individuals$23.5M3.6%
- Corporations and businesses$7.2M1.1%
- Pension and profit-sharing plans$1.8M0.3%
- Charitable organizations$400,5280.1%
- Individual clients
- 108reported
- HNW clients
- 135reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 1,049reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.21 fund_share=0.77 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• J••••• M••• | Southlake, Tx | Jan 22, 2004 | 30 y | 1 |
| L••••••• J••••• R••••• | Southlake, Tx | Sep 5, 2008 | 30 y | 0 |
| W•••••• R•••• S•••• | Southlake, Tx | Aug 25, 2009 | 40 y | 4 |
| A•• A•••• B••••• | Southlake, Tx | Jul 13, 2010 | 17 y | 1 |
| A•• J••••• R••••••• C••• | Southlake, Tx | Oct 16, 2024 | 12 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
- J••• M•••••• W•••••• to F••••••• P••••••• A•• W•••••••• A•••••••Dec 31, 2019 · RIA to affiliated broker-dealer or bank
- B•••• C••••••••• M••• to L•••••• S•• J••••Nov 1, 2016 · Other
- C•••• L••••••• C••••• to V••• C•••••• R••• L•Oct 2, 2014 · Other
Joined, latest
- J••• M•••••• W•••••• from N••••••••• A•••• M••••••••• L••Jul 21, 2017 · Other
- A•• A•••• B••••• from L•••••• F•••• G••••Jul 13, 2010 · Other
- C•••• L••••••• C••••• from L•••••• F•••• G••••Aug 26, 2009 · Other
- W•••••• R•••• S•••• from N•••••• R•••••••• C••••••• L••Aug 25, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•••••• F•••• G••••Nov 12, 2015 · Chicago, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• R•••••• J••••• · Managercontrolsince 03/1999 · owns less than 5%
- R•••••• L•••••••• J••••• · Member And Chief Compliance Officercontrolsince 01/2021 · owns 25% to 50%
- M•••• R•••••• J••••• · Trusteecontrolsince 02/2018 · owns F of R••• R•••••••• L••••• T••••
Entity owners
- S••••••• H•••••••• L•• · Memberdirect · owns 50% to 75%
- R••• R•••••••• L••••• T•••• · Memberindirect · owns 75% or more of S••••••• H•••••••• L••
Related persons
Schedule D 7.A
- S••••••••• C••••••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Southlake, Tx · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,105 to 1,049Mar 13, 2025 to Mar 2, 2026
- Corporate clients · 7 to 8Mar 13, 2025 to Mar 2, 2026
- HNW clients · 124 to 135Mar 13, 2025 to Mar 2, 2026
- Individual clients · 100 to 108Mar 13, 2025 to Mar 2, 2026
- Discretionary RAUM · $595M to $661MMar 13, 2025 to Mar 2, 2026
- HNW RAUM · $110M to $118MMar 13, 2025 to Mar 2, 2026
- Individual RAUM · $19.8M to $23.5MMar 13, 2025 to Mar 2, 2026
- Pension RAUM · $1.6M to $1.8MMar 13, 2025 to Mar 2, 2026
- RAUM · $595M to $661MMar 13, 2025 to Mar 2, 2026
- Accounts · 1,288 to 1,105Nov 7, 2024 to Mar 13, 2025
- Corporate clients · 8 to 7Nov 7, 2024 to Mar 13, 2025
- HNW clients · 149 to 124Nov 7, 2024 to Mar 13, 2025
- Individual clients · 140 to 100Nov 7, 2024 to Mar 13, 2025
- Pension plan clients · 2 to 1Nov 7, 2024 to Mar 13, 2025
- Employees · 5 to 6Nov 7, 2024 to Mar 13, 2025
- Financial planning clients · 0 to 0Nov 7, 2024 to Mar 13, 2025
- State-registered IARs · 4 to 5Nov 7, 2024 to Mar 13, 2025
- Discretionary RAUM · $662M to $595MNov 7, 2024 to Mar 13, 2025
- HNW RAUM · $111M to $110MNov 7, 2024 to Mar 13, 2025
- Individual RAUM · $26.8M to $19.8MNov 7, 2024 to Mar 13, 2025
- Pension RAUM · $1.6M to $1.6MNov 7, 2024 to Mar 13, 2025
- RAUM · $662M to $595MNov 7, 2024 to Mar 13, 2025
- HQ city · DALLAS to SOUTHLAKEMar 12, 2024 to Jul 10, 2024
- Accounts · 1,389 to 1,288May 22, 2023 to Mar 12, 2024
- Corporate clients · 9 to 8May 22, 2023 to Mar 12, 2024
- HNW clients · 141 to 149May 22, 2023 to Mar 12, 2024
- Individual clients · 147 to 140May 22, 2023 to Mar 12, 2024
- Employees · 6 to 5May 22, 2023 to Mar 12, 2024
- State-registered IARs · 5 to 4May 22, 2023 to Mar 12, 2024
- Discretionary RAUM · $736M to $662MMay 22, 2023 to Mar 12, 2024
- HNW RAUM · $111M to $111MMay 22, 2023 to Mar 12, 2024
- Individual RAUM · $27.8M to $26.8MMay 22, 2023 to Mar 12, 2024
- Pension RAUM · $1.6M to $1.6MMay 22, 2023 to Mar 12, 2024
- RAUM · $736M to $662MMay 22, 2023 to Mar 12, 2024
- Accounts · 1,499 to 1,389Mar 1, 2022 to Mar 21, 2023
- Corporate clients · 8 to 9Mar 1, 2022 to Mar 21, 2023
- HNW clients · 134 to 141Mar 1, 2022 to Mar 21, 2023
- Individual clients · 145 to 147Mar 1, 2022 to Mar 21, 2023
- Discretionary RAUM · $786M to $736MMar 1, 2022 to Mar 21, 2023
- HNW RAUM · $115M to $111MMar 1, 2022 to Mar 21, 2023
Signals
1 dated events
- Alice Amy Burson (Chief Compliance Officer) no longer on Schedule A of S•• J•••• I••••••••• C••••••• L•• (listed 2020-10-28, absent 2021-01-28)Jan 28, 2021 · Control person left · inference
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
- 214-484-7250reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-484-7250reportedpublic record, Form ADV, Mar 2, 2026
- Contact form
- stjic.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- stjic.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026