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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SEC-registered adviser
S•••••••• S•••••• F•••••••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Nov 15, 2011 · 35 filings
SEC status approved since Feb 28, 2008
RAUM
$192M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
97%
$186M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$64.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$192M as of Mar 24, 2026
Jan 31, 2012$90.0M then
HNW client RAUM$162M as of Mar 24, 2026
Mar 28, 2018$112M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Feb 27, 20133 then
Employees (5.A)3 as of Mar 24, 2026
Feb 27, 20134 then
Private funds: no history
RAUM +4.5% over the last fiscal year+6.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 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
- RAUM per advisor
- $64.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $589,149derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $33.9M, 7 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$162M84%
- Individuals$24.5M13%
- Pension and profit-sharing plans$6.1M3.2%
- Individual clients
- 98reported
- HNW clients
- 84reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 326reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $33.9M for 7 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• A•••••• T••••••Certified Financial Planner, Chartered Financial Consultant | Windermere, Fl | Apr 4, 2008 | 25 y | 2 |
| D•••• M••• B••••••Certified Financial Planner | Seymour, Ct | Aug 11, 2008 | 28 y | 0 |
| E••• C••• P••• | S••••••••, Ct | Aug 25, 2020 | 12 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
- T••••• F• F•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 23, 2013 · Other
Joined, latest
- T••••• A•••••• T•••••• from L•• F•••••••• L••Apr 4, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••• T•••••• A•••••• · Chief Compliance Officer / Managing Directorcontrolsince 01/2014 · owns less than 5%
- T••••••• T•••••• A•••••• · Sole Ownercontrolsince 01/2015 · owns 75% or more of T••• F••••••••• I•••
Entity owners
- T••• F••••••••• I••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- B•••• I•••••••• A•••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| S••••••••, Ct · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 385 to 326Mar 21, 2025 to Mar 24, 2026
- HNW clients · 93 to 84Mar 21, 2025 to Mar 24, 2026
- Individual clients · 122 to 98Mar 21, 2025 to Mar 24, 2026
- Assets in custody · $12.6M to $33.9MMar 21, 2025 to Mar 24, 2026
- Financial planning clients · 101-250 to 51-100Mar 21, 2025 to Mar 24, 2026
- Discretionary RAUM · $141M to $156MMar 21, 2025 to Mar 24, 2026
- HNW RAUM · $156M to $162MMar 21, 2025 to Mar 24, 2026
- Individual RAUM · $22.1M to $24.5MMar 21, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $43.2M to $35.9MMar 21, 2025 to Mar 24, 2026
- Pension RAUM · $5.8M to $6.1MMar 21, 2025 to Mar 24, 2026
- RAUM · $184M to $192MMar 21, 2025 to Mar 24, 2026
- Accounts · 292 to 385Mar 27, 2024 to Mar 21, 2025
- HNW clients · 76 to 93Mar 27, 2024 to Mar 21, 2025
- Individual clients · 95 to 122Mar 27, 2024 to Mar 21, 2025
- Assets in custody · $8.4M to $12.6MMar 27, 2024 to Mar 21, 2025
- Financial planning clients · 51-100 to 101-250Mar 27, 2024 to Mar 21, 2025
- Discretionary RAUM · $139M to $141MMar 27, 2024 to Mar 21, 2025
- HNW RAUM · $142M to $156MMar 27, 2024 to Mar 21, 2025
- Individual RAUM · $22.9M to $22.1MMar 27, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $35.3M to $43.2MMar 27, 2024 to Mar 21, 2025
- Pension RAUM · $6.8M to $5.8MMar 27, 2024 to Mar 21, 2025
- RAUM · $175M to $184MMar 27, 2024 to Mar 21, 2025
- Accounts · 308 to 292Mar 23, 2023 to Mar 26, 2024
- HNW clients · 90 to 76Mar 23, 2023 to Mar 26, 2024
- Individual clients · 103 to 95Mar 23, 2023 to Mar 26, 2024
- Assets in custody · $12.3M to $8.4MMar 23, 2023 to Mar 26, 2024
- Financial planning clients · 26-50 to 51-100Mar 23, 2023 to Mar 26, 2024
- Discretionary RAUM · $127M to $139MMar 23, 2023 to Mar 26, 2024
- HNW RAUM · $127M to $142MMar 23, 2023 to Mar 26, 2024
- Individual RAUM · $21.1M to $22.9MMar 23, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $31.1M to $35.3MMar 23, 2023 to Mar 26, 2024
- Pension RAUM · $5.4M to $6.8MMar 23, 2023 to Mar 26, 2024
- RAUM · $158M to $175MMar 23, 2023 to Mar 26, 2024
- Accounts · 371 to 308Oct 25, 2022 to Mar 22, 2023
- HNW clients · 79 to 90Oct 25, 2022 to Mar 22, 2023
- Individual clients · 107 to 103Oct 25, 2022 to Mar 22, 2023
- Assets in custody · $21.0M to $12.3MOct 25, 2022 to Mar 22, 2023
- Employees · 4 to 3Oct 25, 2022 to Mar 22, 2023
- Financial planning clients · 101-250 to 26-50Oct 25, 2022 to Mar 22, 2023
- Discretionary RAUM · $144M to $127MOct 25, 2022 to Mar 22, 2023
Signals
1 dated events
- Mark David Brezina (Chief Investment Officer) no longer on Schedule A of S•••••••• S•••••• F•••••••• M••••••••• L•• (listed 2018-08-17, absent 2019-03-06)Mar 6, 2019 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/southport-station-financial-mangement-lreportedpublic record, Form ADV, Sep 18, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-254-2333reportedpublic record, Form ADV, Mar 24, 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
- $64.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026