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•••••• A••••••••• F•••••••• S•••••••
Legal name S•••• L••
Latest filing Jan 20, 2026
First filing on the tape Apr 1, 2022 · 9 filings
SEC status approved since Apr 29, 2022
RAUM
$183M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$183M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$91.3M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$183M as of Jan 20, 2026
Jan 30, 2023$113M then
HNW client RAUM$111M as of Jan 20, 2026
Jan 30, 2023$33.0M then
State-registered IARs (5.B.3)2 as of Jan 20, 2026
Jan 30, 20232 then
Employees (5.A)2 as of Jan 20, 2026
Jan 30, 20232 then
Private funds: no history
RAUM +23% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 20, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $91.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 140derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $291,180derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.0%derived
- Compensation
- percentage of assetsreportedItem 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)
- 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$111M61%
- Individuals$71.8M39%
- Individual clients
- 227reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 627reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• E•••••• S•••••• | Lemoyne, Pa | Jul 12, 2007 | 36 y | 1 |
| S••••• L•••• N••• | Lemoyne, Pa | Nov 27, 2020 | 10 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
- J••• E•••••• S•••••• from O• I••••••••• M••••••••• C•Jul 12, 2007 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• J•••• E•••••• · Partner/Chief Compliance Officercontrolsince 05/1990 · owns 75% or more
- N•••• S•••••• L•••• · Partnersince 01/2023 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lemoyne, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jan 20, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 545 to 627Sep 12, 2025 to Jan 20, 2026
- HNW clients · 46 to 52Sep 12, 2025 to Jan 20, 2026
- Individual clients · 210 to 227Sep 12, 2025 to Jan 20, 2026
- HNW RAUM · $85.4M to $111MSep 12, 2025 to Jan 20, 2026
- Individual RAUM · $63.3M to $71.8MSep 12, 2025 to Jan 20, 2026
- Non-discretionary RAUM · $149M to $183MSep 12, 2025 to Jan 20, 2026
- RAUM · $149M to $183MSep 12, 2025 to Jan 20, 2026
- Accounts · 230 to 545Jan 24, 2024 to Jan 29, 2025
- HNW clients · 35 to 46Jan 24, 2024 to Jan 29, 2025
- Individual clients · 195 to 210Jan 24, 2024 to Jan 29, 2025
- Financial planning clients · unset to Jan 24, 2024 to Jan 29, 2025
- HNW RAUM · $68.5M to $85.4MJan 24, 2024 to Jan 29, 2025
- Individual RAUM · $60.0M to $63.3MJan 24, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $128M to $149MJan 24, 2024 to Jan 29, 2025
- RAUM · $128M to $149MJan 24, 2024 to Jan 29, 2025
- Accounts · 441 to 230Nov 28, 2023 to Jan 24, 2024
- HNW clients · 21 to 35Nov 28, 2023 to Jan 24, 2024
- Individual clients · 204 to 195Nov 28, 2023 to Jan 24, 2024
- HNW RAUM · $33.0M to $68.5MNov 28, 2023 to Jan 24, 2024
- Individual RAUM · $80.0M to $60.0MNov 28, 2023 to Jan 24, 2024
- Non-discretionary RAUM · $113M to $128MNov 28, 2023 to Jan 24, 2024
- RAUM · $113M to $128MNov 28, 2023 to Jan 24, 2024
- Legal name · S•••••• II, J•••, E•••••• to S•••• L••Jan 30, 2023 to Sep 1, 2023
- Succession · true to falseJan 30, 2023 to Sep 1, 2023
- Accounts · 373 to 441Apr 1, 2022 to Jan 30, 2023
- HNW clients · 17 to 21Apr 1, 2022 to Jan 30, 2023
- Individual clients · 230 to 204Apr 1, 2022 to Jan 30, 2023
- Commission compensation · true to falseApr 1, 2022 to Jan 30, 2023
- Organization form · Sole Proprietorship to Limited Liability CompanyApr 1, 2022 to Jan 30, 2023
- HNW RAUM · $38.8M to $33.0MApr 1, 2022 to Jan 30, 2023
- Individual RAUM · $73.4M to $80.0MApr 1, 2022 to Jan 30, 2023
- Non-discretionary RAUM · $112M to $113MApr 1, 2022 to Jan 30, 2023
- RAUM · $112M to $113MApr 1, 2022 to Jan 30, 2023
- Succession · false to trueApr 1, 2022 to Jan 30, 2023
Signals
2 dated events
- S•••••• A••••••••• F•••••••• S••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 30, 2023 · Succession (Item 4) · fact
- S•••••• A••••••••• F•••••••• S••••••• filed its initial SEC registration (Form ADV)Apr 1, 2022 · 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 phone
- 717-763-8890reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 717-737-3488reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 717-737-3488reportedpublic record, Form ADV, Jan 20, 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
- $91.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026