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

S••••••••• A•••• M••••••••• I••••••••• ••• L•••

Former SEC-registered adviserLondon, CRD 145207SEC 801-68394websiteIAPD
Latest filing Mar 28, 2025
First filing on the tape Mar 29, 2012 · 18 filings
SEC status approved since Sep 27, 2007
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM: $0
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2025
Mar 29, 20120 then
Employees (5.A)3 as of Mar 28, 2025
Mar 28, 20134 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2025; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      • M••••••••• A•••••• R•••• · General Counsel / Ccocontrol
        since 09/2007 · owns less than 5%
      • P••••••••• J••••••• B••••• · Chief Financial Officercontrol
        since 12/2018 · owns less than 5%
      • W••••••• J•••• M••••• · Director / Ceocontrol
        since 04/2024 · owns less than 5%
      • H••••••• O•••• M•••• · Chairman-Ceo/Shareholder/Directorcontrol
        since 09/1975 · owns 50% to 75% of S••••••••• Asset Management, Inc.
      Entity owners
      • S••••••••• A•••• M••••••••• I••• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list S••••••••• A•••• M••••••••• I••••••••• ••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Memphis, TN1 employees
      What changed
      consecutive filings, newest first
      • Accounts · unset to 0.0
        Dec 18, 2024 to Mar 28, 2025
      • Financial planning clients · unset to
        Dec 18, 2024 to Mar 28, 2025
      • HQ state · unset to
        Dec 18, 2024 to Mar 28, 2025
      • Discretionary RAUM · unset to 0.0
        Dec 18, 2024 to Mar 28, 2025
      • Non-discretionary RAUM · unset to 0.0
        Dec 18, 2024 to Mar 28, 2025
      • RAUM · unset to 0.0
        Dec 18, 2024 to Mar 28, 2025
      • Advisory employees · 4 to 3
        Mar 30, 2023 to Mar 27, 2024
      • Employees · 4 to 3
        Mar 30, 2023 to Mar 27, 2024
      • Employees · 5 to 4
        Jun 22, 2022 to Mar 30, 2023
      • Employees · 6 to 5
        Mar 30, 2021 to Mar 30, 2022
      • Other offices · unset to 1.0
        Mar 30, 2017 to Mar 29, 2018
      • Advisory employees · 2 to 4
        Mar 31, 2014 to Mar 30, 2015
      • Employees · 4 to 6
        Mar 31, 2014 to Mar 30, 2015
      • Advisory activities · 4 to 1
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · unset to 2.0
        Mar 29, 2012 to Mar 28, 2013
      • Employees · unset to 4.0
        Mar 29, 2012 to Mar 28, 2013
      Signals
      7 dated events
      • S••••••••• A•••• M••••••••• I••••••••• ••• L••• no longer on the SEC adviser roster (last listed 2025-09-02)
        Dec 20, 2025 · Left the SEC roster · derived
      • Staley George Cates (Vice Chairman/Shareholder/Director) no longer on Schedule A of S••••••••• A•••• M••••••••• I••••••••• ••• L••• (listed 2024-11-13, absent 2024-12-18)
        Dec 18, 2024 · Control person left · inference
      • Murray John Woodman (Director / Ceo) appeared on Schedule A of S••••••••• A•••• M••••••••• I••••••••• ••• L•••
        Jun 7, 2024 · Control person joined · fact
      • Jason Michael Wittke (Chief Compliance Officer) no longer on Schedule A of S••••••••• A•••• M••••••••• I••••••••• ••• L••• (listed 2024-03-27, absent 2024-06-07)
        Jun 7, 2024 · Control person left · inference
      • G•••••••• L••••• M••••••• (Ceo) no longer on Schedule A of S••••••••• A•••• M••••••••• I••••••••• ••• L••• (listed 2024-03-27, absent 2024-06-07)
        Jun 7, 2024 · Control person left · inference
      • Boggan Jessica Pressgrove (Chief Financial Officer) appeared on Schedule A of S••••••••• A•••• M••••••••• I••••••••• ••• L•••
        Mar 30, 2020 · Control person joined · fact
      • George Steven Fracchia (Chief Financial Officer) no longer on Schedule A of S••••••••• A•••• M••••••••• I••••••••• ••• L••• (listed 2019-03-28, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      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