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
H•• F•••••••• S•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 11 filings
SEC status approved since May 4, 2021
RAUM
$119M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
52%
$61.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$119M as of Mar 27, 2026
Mar 29, 2012$65.6M then
HNW client RAUM$44.4M as of Mar 27, 2026
Mar 21, 2022$36.0M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 29, 20120 then
Employees (5.A)1 as of Mar 27, 2026
Mar 21, 20223 then
Private funds: no history
RAUM +0.5% over the last fiscal year+6.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 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
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 194derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $624,743derivedHNW RAUM over HNW clients
- Average account
- $519,754derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 48%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$57.0M48%
- High-net-worth individuals$44.4M37%
- Individuals$17.1M14%
- Corporations and businesses$45,9490.0%
- Individual clients
- 123reported
- HNW clients
- 71reported
- Pension plan clients
- 32reported
- Charitable clients
- n/areported
- Accounts
- 228reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.52 fund_share=0.0 institutional_share=0.48 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••• J••••• B••••• | Columbia, Sc | Jan 1, 2025 | 32 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•••••• S•••• J••••• · Managing Member/Chief Compliance Officercontrolsince 04/2007 · 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
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 27, 2026institutional share of RAUM of 48% against a peer median of 0% (5676 comparable advisers, 99.0th percentile, 16.1 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 99% percentile
- custody status changedChange between filings · filing Mar 27, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-26, no on the filing of 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 247 to 228Mar 26, 2025 to Mar 27, 2026
- HNW clients · 81 to 71Mar 26, 2025 to Mar 27, 2026
- Individual clients · 128 to 123Mar 26, 2025 to Mar 27, 2026
- Pension plan clients · 36 to 32Mar 26, 2025 to Mar 27, 2026
- Assets in custody · 8676700.0 to unsetMar 26, 2025 to Mar 27, 2026
- Custody of client assets · true to falseMar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $114M to $117MMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $41.9M to $44.4MMar 26, 2025 to Mar 27, 2026
- Individual RAUM · $11.4M to $17.1MMar 26, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $3.4M to $1.3MMar 26, 2025 to Mar 27, 2026
- Pension RAUM · $64.5M to $57.0MMar 26, 2025 to Mar 27, 2026
- RAUM · $118M to $119MMar 26, 2025 to Mar 27, 2026
- Accounts · 253 to 247Mar 28, 2024 to Mar 26, 2025
- HNW clients · 80 to 81Mar 28, 2024 to Mar 26, 2025
- Individual clients · 134 to 128Mar 28, 2024 to Mar 26, 2025
- Pension plan clients · 37 to 36Mar 28, 2024 to Mar 26, 2025
- Assets in custody · $5.6M to $8.7MMar 28, 2024 to Mar 26, 2025
- Employees · 3 to 1Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $106M to $114MMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $36.9M to $41.9MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $12.2M to $11.4MMar 28, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $1.0M to $3.4MMar 28, 2024 to Mar 26, 2025
- Pension RAUM · $57.7M to $64.5MMar 28, 2024 to Mar 26, 2025
- RAUM · $107M to $118MMar 28, 2024 to Mar 26, 2025
- Accounts · 260 to 253Mar 30, 2023 to Mar 28, 2024
- HNW clients · 52 to 80Mar 30, 2023 to Mar 28, 2024
- Individual clients · 168 to 134Mar 30, 2023 to Mar 28, 2024
- Pension plan clients · 38 to 37Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $1.9M to $5.6MMar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $96.5M to $106MMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $26.3M to $36.9MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $17.5M to $12.2MMar 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $887,660 to $1.0MMar 30, 2023 to Mar 28, 2024
- Pension RAUM · $53.5M to $57.7MMar 30, 2023 to Mar 28, 2024
- RAUM · $97.4M to $107MMar 30, 2023 to Mar 28, 2024
- Accounts · 284 to 260Nov 17, 2022 to Mar 30, 2023
- Advisory activities · 1 to 2Nov 17, 2022 to Mar 30, 2023
- HNW clients · 57 to 52Nov 17, 2022 to Mar 30, 2023
- Individual clients · 184 to 168Nov 17, 2022 to Mar 30, 2023
Signals
1 dated events
- H•• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 2021 · First SEC registration · fact
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
- Principal office phone
- 803-790-6113reportedpublic record, Form ADV, Mar 27, 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
- $119Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026