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.

Former SEC-registered adviser

A•••• I•••••••••

Former SEC-registered adviserCRD 132924SEC 801-68900IAPD
Legal name S••••••••• E••••••••• I•••
Latest filing Mar 30, 2016
First filing on the tape Apr 2, 2012 · 9 filings
RAUM
$63.4M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$63.4M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$95.0M as of Mar 31, 2015
Apr 2, 2012$99.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2015
Apr 2, 20120 then
Employees (5.A)2 as of Mar 31, 2015
Mar 25, 20132 then
Private funds: no history
RAUM -33% over the last fiscal year-14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
$63.4MderivedRAUM 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
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
79%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
+1.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
47reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••• D••••• S•••••••••Asheville, NcDec 5, 201825 y3
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••••••• A•••••• D•• · Secretary And Directorcontrol
    since 05/2001 · owns less than 5%
  • S••••••••• J•••• D••••• · President, Director And Chief Compliance Officercontrol
    since 05/2001 · 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.
What changed
consecutive filings, newest first
  • Accounts · 50 to 47
    Mar 31, 2015 to Mar 15, 2016
  • Discretionary RAUM · $62.0M to $50.3M
    Mar 31, 2015 to Mar 15, 2016
  • Non-discretionary RAUM · $33.0M to $13.0M
    Mar 31, 2015 to Mar 15, 2016
  • RAUM · $95.0M to $63.4M
    Mar 31, 2015 to Mar 15, 2016
  • Accounts · 56 to 50
    Sep 17, 2014 to Mar 31, 2015
  • Advisory activities · 2 to 1
    Sep 17, 2014 to Mar 31, 2015
  • Discretionary RAUM · $71.0M to $62.0M
    Sep 17, 2014 to Mar 31, 2015
  • Non-discretionary RAUM · $23.0M to $33.0M
    Sep 17, 2014 to Mar 31, 2015
  • RAUM · $94.0M to $95.0M
    Sep 17, 2014 to Mar 31, 2015
  • Accounts · 152 to 56
    Mar 25, 2013 to Mar 31, 2014
  • Discretionary RAUM · $96.8M to $71.0M
    Mar 25, 2013 to Mar 31, 2014
  • Non-discretionary RAUM · $0 to $23.0M
    Mar 25, 2013 to Mar 31, 2014
  • RAUM · $96.8M to $94.0M
    Mar 25, 2013 to Mar 31, 2014
  • Accounts · 172 to 152
    Apr 2, 2012 to Mar 25, 2013
  • Advisory employees · unset to 1.0
    Apr 2, 2012 to Mar 25, 2013
  • Employees · unset to 2.0
    Apr 2, 2012 to Mar 25, 2013
  • State-registered IARs · 0 to 1
    Apr 2, 2012 to Mar 25, 2013
  • Discretionary RAUM · $92.7M to $96.8M
    Apr 2, 2012 to Mar 25, 2013
  • Non-discretionary RAUM · $7.0M to $0
    Apr 2, 2012 to Mar 25, 2013
  • RAUM · $99.7M to $96.8M
    Apr 2, 2012 to Mar 25, 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
$63.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026