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•••••••• A••••••• L••
Latest filing Jun 14, 2016
First filing on the tape Mar 28, 2012 · 10 filings
RAUM
$255M
reported, Item 5.F
Discretionary
0.6%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$255M as of Mar 21, 2016
Mar 28, 2012$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 21, 2016
Mar 18, 20134 then
Employees (5.A)5 as of Mar 21, 2016
Mar 18, 20134 then
Private funds: no history
RAUM +2.9% over the last fiscal year+13% a year over threeIARs 4 to 6
Practice profile
derived from the filing of Jun 14, 2016; every figure names its basis
- RAUM per advisor
- $42.5MderivedRAUM 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
- $12.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.6%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 20reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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••••• C••• P•••• to B•• I••••••••• M••••••••• I•••Dec 31, 2016 · Other
- V•••••• E••••• Z•••• to L••• S••••• A•••••••• L••Dec 31, 2016 · Other
- C••••••••• R••• C••••••• to B•• I••••••••• M••••••••• I•••Dec 31, 2016 · Other
- A•••••• J••••• P••••••• to S• A•••••••Jun 26, 2013 · Other
- V••• N•• C•••• to A••••• W••••• M••••••••• L••Jul 12, 2012 · Other
- T••••• M•••••• H••••• to N••••••••• M••••• I••••••••• S•••••••••Mar 28, 2012 · Other
- E••• P••• R•••• to M•• A••••••• F•••••••• M••••••••• I•••Dec 1, 2008 · Other
- P••• R••• P••••• to N••••••••• M••••• I••••••••• S•••••••••Sep 7, 2006 · Other
- W•••••• J•••• L•••• to E•••• S••••••••• L••Dec 31, 2005 · Other
- T•••••• P••• M••••• to W•••• F•••• A•••••••Mar 10, 2005 · Other
Joined, latest
- V•••••• E••••• Z•••• from I••••••••• P••••••• A•••••••• L••Jul 1, 2008 · Other
- A•••••• J••••• P••••••• from P••• A••••• S••••••••• L••Aug 29, 2006 · Other
- T•••••• P••• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 13, 2005 · Other
- S••••• C••• P•••• from N••••• • L•••• S••••••••• I•••Apr 26, 2004 · Other
- E••• P••• R•••• from N••••• • L•••• S••••••••• I•••Apr 26, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B•• I••••••••• M••••••••• I•••Dec 31, 2016 · Pittsburgh, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• S•••••• C••• · Ceo Of Managing Membercontrolsince 03/2004 · owns less than 5%
- P••••• S•••••• C••• · Ceocontrolsince 10/2002 · owns 75% or more of S••••••••• I•••
- R••••• W•••••• A••••••• · Vice Chairmancontrolsince 07/2008 · owns F of S•••••••• Inc.
- H•••••• T•••••• R•••• · Chief Compliance Officersince 07/2012 · owns less than 5%
Entity owners
- S••••••••• I••• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••••••• I•••real estatey
Offices
Schedule D 1.F, the 25 largest
- West Conshohocken, PA
- ,
What changed
consecutive filings, newest first
- Advisory employees · 5 to 6May 12, 2016 to Jun 14, 2016
- BD registered reps · 5 to 4May 12, 2016 to Jun 14, 2016
- Employees · 5 to 6May 12, 2016 to Jun 14, 2016
- State-registered IARs · 5 to 6May 12, 2016 to Jun 14, 2016
- Accounts · 13 to 20Mar 13, 2015 to Mar 21, 2016
- Advisory employees · 4 to 5Mar 13, 2015 to Mar 21, 2016
- BD registered reps · 4 to 5Mar 13, 2015 to Mar 21, 2016
- Employees · 4 to 5Mar 13, 2015 to Mar 21, 2016
- State-registered IARs · 4 to 5Mar 13, 2015 to Mar 21, 2016
- Discretionary RAUM · $1.5M to $1.5MMar 13, 2015 to Mar 21, 2016
- Non-discretionary RAUM · $246M to $253MMar 13, 2015 to Mar 21, 2016
- RAUM · $248M to $255MMar 13, 2015 to Mar 21, 2016
- Accounts · 12 to 13Mar 14, 2014 to Mar 13, 2015
- Financial planning clients · 11-25 to 1-10Mar 14, 2014 to Mar 13, 2015
- Discretionary RAUM · $1.4M to $1.5MMar 14, 2014 to Mar 13, 2015
- Non-discretionary RAUM · $239M to $246MMar 14, 2014 to Mar 13, 2015
- RAUM · $240M to $248MMar 14, 2014 to Mar 13, 2015
- Accounts · 4 to 12Mar 18, 2013 to Mar 14, 2014
- Financial planning clients · 1-10 to 11-25Mar 18, 2013 to Mar 14, 2014
- Discretionary RAUM · $1.1M to $1.4MMar 18, 2013 to Mar 14, 2014
- Non-discretionary RAUM · $176M to $239MMar 18, 2013 to Mar 14, 2014
- RAUM · $177M to $240MMar 18, 2013 to Mar 14, 2014
- Advisory employees · unset to 4.0Sep 18, 2012 to Mar 18, 2013
- BD registered reps · unset to 4.0Sep 18, 2012 to Mar 18, 2013
- Commission compensation · false to trueSep 18, 2012 to Mar 18, 2013
- Employees · unset to 4.0Sep 18, 2012 to Mar 18, 2013
- State-registered IARs · unset to 4.0Sep 18, 2012 to Mar 18, 2013
- Discretionary RAUM · $0 to $1.1MSep 18, 2012 to Mar 18, 2013
- Non-discretionary RAUM · $160M to $176MSep 18, 2012 to Mar 18, 2013
- RAUM · $160M to $177MSep 18, 2012 to Mar 18, 2013
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.
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