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•••••• F•••••••• A•••••••• I•••

Former SEC-registered adviserPhoenix, ArizonaCRD 133862SEC 801-63909IAPD
Latest filing Mar 23, 2015
First filing on the tape Mar 8, 2012 · 7 filings
RAUM
$168M
reported, Item 5.F
Discretionary
17%
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$168M as of Mar 23, 2015
Mar 8, 2012$177M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 23, 2015
Mar 28, 20132 then
Employees (5.A)1 as of Mar 23, 2015
Mar 28, 20132 then
Private funds: no history
RAUM -4.7% over the last fiscal year-1.8% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 23, 2015; every figure names its basis
RAUM per advisor
$168MderivedRAUM 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
$507,084derivedRAUM over accounts (5.F.2.f)
Discretionary
17%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.7%derivedbetween the last two annual amendments
Advisor growth, one year
-50%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, pension consulting, selection of other advisersreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
331reported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••• M••••••• J••••• · President/Chief Compliance Officercontrol
        since 01/2005 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list S•••••• F•••••••• A•••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 308 to 331
        Sep 29, 2014 to Mar 23, 2015
      • Advisory employees · 2 to 1
        Sep 29, 2014 to Mar 23, 2015
      • BD registered reps · 2 to 1
        Sep 29, 2014 to Mar 23, 2015
      • Employees · 2 to 1
        Sep 29, 2014 to Mar 23, 2015
      • State-registered IARs · 2 to 1
        Sep 29, 2014 to Mar 23, 2015
      • Discretionary RAUM · $25.6M to $27.9M
        Sep 29, 2014 to Mar 23, 2015
      • Non-discretionary RAUM · $150M to $140M
        Sep 29, 2014 to Mar 23, 2015
      • RAUM · $176M to $168M
        Sep 29, 2014 to Mar 23, 2015
      • Accounts · 142 to 308
        Jul 9, 2013 to Mar 31, 2014
      • Discretionary RAUM · $25.2M to $25.6M
        Jul 9, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $132M to $150M
        Jul 9, 2013 to Mar 31, 2014
      • RAUM · $157M to $176M
        Jul 9, 2013 to Mar 31, 2014
      • Accounts · 89 to 142
        Mar 28, 2013 to Jun 28, 2013
      • Non-discretionary RAUM · $941,523 to $132M
        Mar 28, 2013 to Jun 28, 2013
      • RAUM · $26.2M to $157M
        Mar 28, 2013 to Jun 28, 2013
      • Accounts · 304 to 89
        Mar 8, 2012 to Mar 28, 2013
      • Advisory employees · unset to 2.0
        Mar 8, 2012 to Mar 28, 2013
      • BD registered reps · unset to 2.0
        Mar 8, 2012 to Mar 28, 2013
      • Employees · unset to 2.0
        Mar 8, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 2.0
        Mar 8, 2012 to Mar 28, 2013
      • Discretionary RAUM · $40.4M to $25.2M
        Mar 8, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $137M to $941,523
        Mar 8, 2012 to Mar 28, 2013
      • RAUM · $177M to $26.2M
        Mar 8, 2012 to Mar 28, 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