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.
SEC-registered adviser
S•••••••• P•••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Apr 11, 2012 · 24 filings
SEC status approved since Mar 28, 2017
RAUM
$377M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$377M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$377M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$377M as of Mar 30, 2026
Apr 11, 2012$100M then
HNW client RAUM$240M as of Mar 30, 2026
Mar 31, 2018$60.6M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Apr 11, 20120 then
Employees (5.A)4 as of Mar 30, 2026
Apr 1, 20132 then
Private funds: no history
RAUM +16% over the last fiscal year+16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $377MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 817derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $682,054derivedHNW RAUM over HNW clients
- Average account
- $325,804derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +48%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $377MreportedItem 5.I
- 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
- High-net-worth individuals$240M64%
- Individuals$137M36%
- Individual clients
- 465reported
- HNW clients
- 352reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,156reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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•••••• R•• E••••• | Columbus, Oh | Nov 2, 2015 | 39 y | 3 |
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
- S•••••• R•• E••••• from O• I••••••••• M••••••••• C•Mar 22, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••• S••••••• R•• · President And Chief Compliance Officercontrolsince 10/1999 · owns 75% or more
- E•••••• S•••• G•••• · Operationssince 01/2019 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 14.0% to 64.0% between the annual amendments of 2025-02-26 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 1,051 to 1,156Jan 28, 2026 to Mar 30, 2026
- HNW clients · 107 to 352Jan 28, 2026 to Mar 30, 2026
- Individual clients · 445 to 465Jan 28, 2026 to Mar 30, 2026
- Discretionary RAUM · $325M to $377MJan 28, 2026 to Mar 30, 2026
- HNW RAUM · $45.5M to $240MJan 28, 2026 to Mar 30, 2026
- Individual RAUM · $279M to $137MJan 28, 2026 to Mar 30, 2026
- RAUM · $325M to $377MJan 28, 2026 to Mar 30, 2026
- Advisory employees · 2 to 1Mar 12, 2024 to Feb 26, 2025
- HNW clients · 322 to 107Mar 12, 2024 to Feb 26, 2025
- Individual clients · 344 to 445Mar 12, 2024 to Feb 26, 2025
- Financial planning clients · 251-500 to 251-500Mar 12, 2024 to Feb 26, 2025
- Discretionary RAUM · $284M to $325MMar 12, 2024 to Feb 26, 2025
- HNW RAUM · $125M to $45.5MMar 12, 2024 to Feb 26, 2025
- Individual RAUM · $159M to $279MMar 12, 2024 to Feb 26, 2025
- RAUM · $284M to $325MMar 12, 2024 to Feb 26, 2025
- Accounts · 894 to 1,051Mar 28, 2023 to Mar 12, 2024
- HNW clients · 255 to 322Mar 28, 2023 to Mar 12, 2024
- Individual clients · 317 to 344Mar 28, 2023 to Mar 12, 2024
- Employees · 3 to 4Mar 28, 2023 to Mar 12, 2024
- Discretionary RAUM · $240M to $284MMar 28, 2023 to Mar 12, 2024
- HNW RAUM · $134M to $125MMar 28, 2023 to Mar 12, 2024
- Individual RAUM · $105M to $159MMar 28, 2023 to Mar 12, 2024
- RAUM · $240M to $284MMar 28, 2023 to Mar 12, 2024
- Accounts · 876 to 894Dec 8, 2022 to Mar 28, 2023
- Advisory employees · 1 to 2Dec 8, 2022 to Mar 28, 2023
- HNW clients · 271 to 255Dec 8, 2022 to Mar 28, 2023
- Individual clients · 301 to 317Dec 8, 2022 to Mar 28, 2023
- Discretionary RAUM · $270M to $240MDec 8, 2022 to Mar 28, 2023
- HNW RAUM · $151M to $134MDec 8, 2022 to Mar 28, 2023
- Individual RAUM · $119M to $105MDec 8, 2022 to Mar 28, 2023
- RAUM · $270M to $240MDec 8, 2022 to Mar 28, 2023
- Accounts · 935 to 876Mar 9, 2021 to Feb 16, 2022
- HNW clients · 238 to 271Mar 9, 2021 to Feb 16, 2022
- Individual clients · 490 to 301Mar 9, 2021 to Feb 16, 2022
- Discretionary RAUM · $231M to $270MMar 9, 2021 to Feb 16, 2022
- HNW RAUM · $117M to $151MMar 9, 2021 to Feb 16, 2022
- Individual RAUM · $115M to $119MMar 9, 2021 to Feb 16, 2022
- RAUM · $231M to $270MMar 9, 2021 to Feb 16, 2022
- Accounts · 858 to 935May 20, 2020 to Mar 9, 2021
- HNW clients · 151 to 238May 20, 2020 to Mar 9, 2021
Signals
1 dated events
- S•••••••• P•••••••• I••• filed its initial SEC registration (Form ADV)Feb 28, 2017 · 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
- Business email
- i•••@s••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-802-0170reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.s••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 614-802-0170reportedpublic record, Form ADV, Mar 30, 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
- $377Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026