DFX Intelligence

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S•••• C•••••• C•••••• M••••••••• I•••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $96.7M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-08-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $96.7M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +3.6%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-08-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+3.6%
RAUM, one year
RAUM $93.4M to $96.7M (+3.6%) on the Form ADV filed 10 Aug 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 136549 · SEC 801-64728 · 21 filingsShow

CRD 136549SEC 801-64728First filing on the tape Mar 26, 2012, latest Aug 10, 2026SEC status approved since Oct 4, 2005IAPD

RAUM

$96.7M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$96.5M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$96.7M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM +4.0% a year over three years · the tape starts Mar 26, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$96.7M as of Aug 10, 2026

Mar 26, 2012$120M then

HNW client RAUM$78.7M as of Aug 10, 2026

Feb 23, 2018$115M then

State-registered IARs (5.B.3)0 as of Aug 10, 2026

Mar 26, 20120 then

Employees (5.A)1 as of Aug 10, 2026

Mar 14, 20131 then

Private funds: no history

RAUM +3.6% over the last fiscal year+4.0% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Aug 10, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $96.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 26derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $7.9MderivedHNW RAUM over HNW clients
Average account: $3.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +3.6%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -7.1%derived
Compensation: percentage of assets, performance-basedreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

81% high-net-worth individuals, 18% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$78.7M81%
Individuals$17.8M18%
Charitable organizations$200,0000.2%

Individual clients: 16reported
HNW clients: 10reported
Pension plan clients: n/areported
Charitable clients: 1reported
Accounts: 27reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
S•••• C••••••	Aurora, Or	Jan 1, 2026	35 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••••• S•••• · President And Chief Compliance Officercontrol
since 09/1991 · 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 · 29 to 27
Feb 24, 2025 to Mar 20, 2026
HNW clients · 18 to 10
Feb 24, 2025 to Mar 20, 2026
Individual clients · 10 to 16
Feb 24, 2025 to Mar 20, 2026
Discretionary RAUM · $93.4M to $96.7M
Feb 24, 2025 to Mar 20, 2026
HNW RAUM · $88.4M to $78.7M
Feb 24, 2025 to Mar 20, 2026

Full history · 80 changes

Individual RAUM · $4.7M to $17.8M
Feb 24, 2025 to Mar 20, 2026
RAUM · $93.4M to $96.7M
Feb 24, 2025 to Mar 20, 2026
Accounts · 30 to 29
Dec 10, 2024 to Feb 24, 2025
HNW clients · 17 to 18
Dec 10, 2024 to Feb 24, 2025
Individual clients · 12 to 10
Dec 10, 2024 to Feb 24, 2025
Financial planning clients · unset to
Dec 10, 2024 to Feb 24, 2025
HQ city · unset to
Dec 10, 2024 to Feb 24, 2025
HQ state · unset to
Dec 10, 2024 to Feb 24, 2025
Discretionary RAUM · $100M to $93.4M
Dec 10, 2024 to Feb 24, 2025
HNW RAUM · $86.6M to $88.4M
Dec 10, 2024 to Feb 24, 2025
Individual RAUM · $13.5M to $4.7M
Dec 10, 2024 to Feb 24, 2025
RAUM · $100M to $93.4M
Dec 10, 2024 to Feb 24, 2025
Accounts · 31 to 30
Mar 18, 2024 to Dec 10, 2024
Individual clients · 13 to 12
Mar 18, 2024 to Dec 10, 2024
Discretionary RAUM · $86.1M to $100M
Mar 18, 2024 to Dec 10, 2024
HNW RAUM · $76.2M to $86.6M
Mar 18, 2024 to Dec 10, 2024
Individual RAUM · $9.8M to $13.5M
Mar 18, 2024 to Dec 10, 2024
RAUM · $86.1M to $100M
Mar 18, 2024 to Dec 10, 2024
Accounts · 33 to 31
Mar 31, 2023 to Feb 28, 2024
Individual clients · 15 to 13
Mar 31, 2023 to Feb 28, 2024
Discretionary RAUM · $85.9M to $86.1M
Mar 31, 2023 to Feb 28, 2024
HNW RAUM · $76.6M to $76.2M
Mar 31, 2023 to Feb 28, 2024
Individual RAUM · $9.2M to $9.8M
Mar 31, 2023 to Feb 28, 2024
RAUM · $85.9M to $86.1M
Mar 31, 2023 to Feb 28, 2024
Accounts · 40 to 33
Mar 15, 2022 to Mar 31, 2023
HNW clients · 9 to 17
Mar 15, 2022 to Mar 31, 2023
Individual clients · 29 to 15
Mar 15, 2022 to Mar 31, 2023
Discretionary RAUM · $100M to $85.9M
Mar 15, 2022 to Mar 31, 2023
HNW RAUM · $71.8M to $76.6M
Mar 15, 2022 to Mar 31, 2023
Individual RAUM · $28.0M to $9.2M
Mar 15, 2022 to Mar 31, 2023
RAUM · $100M to $85.9M
Mar 15, 2022 to Mar 31, 2023
Accounts · 46 to 40
Mar 25, 2021 to Mar 15, 2022
HNW clients · 7 to 9
Mar 25, 2021 to Mar 15, 2022
Individual clients · 38 to 29
Mar 25, 2021 to Mar 15, 2022
Discretionary RAUM · $117M to $100M
Mar 25, 2021 to Mar 15, 2022
HNW RAUM · $85.6M to $71.8M
Mar 25, 2021 to Mar 15, 2022
Individual RAUM · $31.8M to $28.0M
Mar 25, 2021 to Mar 15, 2022
RAUM · $117M to $100M
Mar 25, 2021 to Mar 15, 2022
Accounts · 52 to 46
Jun 29, 2020 to Mar 25, 2021
HNW clients · 16 to 7
Jun 29, 2020 to Mar 25, 2021
Individual clients · 35 to 38
Jun 29, 2020 to Mar 25, 2021
Discretionary RAUM · $119M to $117M
Jun 29, 2020 to Mar 25, 2021
HNW RAUM · $97.5M to $85.6M
Jun 29, 2020 to Mar 25, 2021
Individual RAUM · $21.8M to $31.8M
Jun 29, 2020 to Mar 25, 2021
RAUM · $119M to $117M
Jun 29, 2020 to Mar 25, 2021
Accounts · 57 to 52
Feb 18, 2019 to Apr 15, 2020
Charity clients · unset to 1.0
Feb 18, 2019 to Apr 15, 2020
Individual clients · 41 to 35
Feb 18, 2019 to Apr 15, 2020
Discretionary RAUM · $115M to $119M
Feb 18, 2019 to Apr 15, 2020
HNW RAUM · $85.0M to $97.5M
Feb 18, 2019 to Apr 15, 2020
Individual RAUM · $29.6M to $21.8M
Feb 18, 2019 to Apr 15, 2020
RAUM · $115M to $119M
Feb 18, 2019 to Apr 15, 2020
Accounts · 62 to 57
Feb 23, 2018 to Feb 18, 2019
HNW clients · 24 to 16
Feb 23, 2018 to Feb 18, 2019
Individual clients · 38 to 41
Feb 23, 2018 to Feb 18, 2019
Financial planning clients · 0 to unset
Feb 23, 2018 to Feb 18, 2019
Discretionary RAUM · $129M to $115M
Feb 23, 2018 to Feb 18, 2019
HNW RAUM · $115M to $85.0M
Feb 23, 2018 to Feb 18, 2019
Individual RAUM · $14.3M to $29.6M
Feb 23, 2018 to Feb 18, 2019
RAUM · $129M to $115M
Feb 23, 2018 to Feb 18, 2019
Accounts · 63 to 62
Mar 7, 2017 to Feb 23, 2018
HNW clients · unset to 24.0
Mar 7, 2017 to Feb 23, 2018
Individual clients · unset to 38.0
Mar 7, 2017 to Feb 23, 2018
Financial planning clients · unset to 0
Mar 7, 2017 to Feb 23, 2018
Other offices · unset to 0.0
Mar 7, 2017 to Feb 23, 2018
Discretionary RAUM · $127M to $129M
Mar 7, 2017 to Feb 23, 2018
HNW RAUM · unset to 114652609.0
Mar 7, 2017 to Feb 23, 2018
Individual RAUM · unset to 14267980.0
Mar 7, 2017 to Feb 23, 2018
RAUM · $127M to $129M
Mar 7, 2017 to Feb 23, 2018
Accounts · 65 to 63
Mar 23, 2016 to Mar 7, 2017
Employees · 2 to 1
Mar 23, 2016 to Mar 7, 2017
Discretionary RAUM · $122M to $127M
Mar 23, 2016 to Mar 7, 2017
RAUM · $122M to $127M
Mar 23, 2016 to Mar 7, 2017
Discretionary RAUM · $127M to $122M
Mar 11, 2015 to Mar 23, 2016
RAUM · $127M to $122M
Mar 11, 2015 to Mar 23, 2016

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.

How to reach

public business contact points only, each with its source

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 10, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $96.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026