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••• A•••• M••••••••• L••
Latest filing Jun 24, 2013
First filing on the tape Mar 29, 2012 · 8 filings
RAUM
$1.2M
reported, Item 5.F
Discretionary
100%
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$1.2M as of Apr 12, 2013
Mar 29, 2012$18.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 12, 2013
Mar 29, 20120 then
Employees (5.A): 2
Private funds: no history
RAUM -93% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Jun 24, 2013; every figure names its basis
- RAUM per advisor
- $1.2MderivedRAUM 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
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -93%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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)
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
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- F•••• T••••• T••••• to S••• C•••••• L••Dec 31, 2015 · Other
- F•••• T••••• T••••• to S••• F•••••••• S••••••• L••Dec 31, 2014 · Other
- F•••• T••••• T••••• to S••• F•••••••• S••••••• L••Dec 31, 2010 · Other
Joined, latest
- F•••• T••••• T••••• from S••• F•••••••• S••••••• L••Feb 9, 2015 · Other
- F•••• T••••• T••••• from S••• C•••••• L••Feb 8, 2013 · Other
- F•••• T••••• T••••• from S••• F•••••••• S••••••• L••Mar 10, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••• F••••• T••••• · Principal & Ccocontrolsince 09/2007 · owns less than 5%
- B•••••••• M•••••• M••• · Membercontrolsince 03/1998 · owns 25% to 50% of S••• C•••••• L••
- T•••••• F••••• T••••• · Managing Member And Chief Compliance Officercontrolsince 03/1998 · owns 75% or more of S••• C•••••• L••
Entity owners
- S••• C•••••• L•• · Sole Owner & Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••• C•••••• L••investment advisery
- S••• F•••••••• S••••••• L••investment adviseryRAUM $100M
Advisers that list S••• A•••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Henderson, NV
What changed
consecutive filings, newest first
- Insurance-licensed employees · 0 to 1Apr 12, 2013 to Jun 7, 2013
- Discretionary RAUM · $18.0M to $1.2MMar 27, 2013 to Apr 12, 2013
- RAUM · $18.0M to $1.2MMar 27, 2013 to Apr 12, 2013
- HQ city · HENDERSON to MONTECITOApr 12, 2013 to Apr 12, 2013
- HQ state · NV to CAApr 12, 2013 to Apr 12, 2013
- Assets in custody · 18000000.0 to unsetFeb 8, 2013 to Mar 27, 2013
- Custody of client assets · true to falseFeb 8, 2013 to Mar 27, 2013
- Advisory employees · unset to 1.0Mar 29, 2012 to Feb 8, 2013
- Employees · unset to 2.0Mar 29, 2012 to Feb 8, 2013
- State-registered IARs · 0 to 1Mar 29, 2012 to Feb 8, 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