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 Nov 27, 2024
First filing on the tape Feb 27, 2012 · 38 filings
SEC status approved since Jul 21, 2008
RAUM
$522M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$511M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$522M as of Mar 28, 2024
Feb 27, 2012$214M then
HNW client RAUM$417M as of Mar 28, 2024
Mar 26, 2018$278M then
State-registered IARs (5.B.3)9 as of Mar 28, 2024
Feb 14, 20137 then
Employees (5.A)10 as of Mar 28, 2024
Feb 14, 20137 then
Private funds: no history
RAUM +18% over the last fiscal year+6.3% a year over threeIARs 7 to 9
Practice profile
derived from the filing of Nov 27, 2024; every figure names its basis
- RAUM per advisor
- $58.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $345,407derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +29%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $522MreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$417M80%
- Individuals$93.6M18%
- Corporations and businesses$11.2M2.1%
- Individual clients
- 393reported
- HNW clients
- 133reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,512reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- M•••••• J•••• O•••• to S••••••••• C•••••• M••••••••• L••Mar 16, 2025 · Other
- J••• W••••••• H•••• to S••••••••• C•••••• M••••••••• L••Mar 16, 2025 · Other
- M•••• C•••• J•••••• to F••••••Jan 14, 2025 · RIA to RIA
- G••••• C•••••••• T••••• to F••••••Jan 13, 2025 · RIA to RIA
- J••••••• C•••• T••••• to S••••••••• C•••••• M••••••••• L••Jan 10, 2025 · Other
- J•••• P•••••• S•••• to F••••••Jan 7, 2025 · RIA to RIA
- A••••• L• B•••• to F••••••Jan 7, 2025 · RIA to RIA
- C•••••• M••••• H•••••• to F••••••Jan 7, 2025 · RIA to RIA
- M•••• M•••••• C••••• to W••••• A•••• M••••••••• L••Feb 17, 2017 · Other
- D••••• R•••• W••••• to S••••••••• C•••••• M••••••••• L••Feb 17, 2017 · Other
- T••• E••••• K•••••• to I•• F•••••••• M•••••••••Jan 31, 2014 · Other
Joined, latest
- G••••• C•••••••• T••••• from P••••••• C•••••• A••••••• C•••••••••Sep 14, 2022 · RIA to RIA
- J•••• P•••••• S•••• from A••••••••• F•••••••• S•••••••• L••May 17, 2019 · Affiliated broker-dealer or bank to independent RIA
- M•••• M•••••• C••••• from W•••• F•••• A•••••••Sep 5, 2013 · Other
- A••••• L• B•••• from W•••• F•••• A•••••••Sep 5, 2013 · Other
- C•••••• M••••• H•••••• from W•••• F•••• A•••••••Sep 5, 2013 · Other
- D••••• R•••• W••••• from W•••• F•••• A•••••••Aug 9, 2013 · Other
- J••••••• C•••• T••••• from W•••• F•••• A•••••••Aug 9, 2013 · Other
- J••• W••••••• H•••• from W•••• F•••• A•••••••Aug 8, 2013 · Other
- M•••••• J•••• O•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 30, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• J•••• W••••••• · Managing Member, Portfolio Strategistcontrolsince 01/2014 · owns 10% to 25%
- O••••• M••••••• J•••• · Managing Member, Chief Operating Officercontrolsince 08/2008 · owns 5% to 10%
- T•••••• J•••••••• C•••• · Managing Member, Chief Executive Officerrcontrolsince 09/2014 · owns 25% to 50%
- C••••••••• W•••••• R•••••• · Chief Compliance Officersince 02/2015 · owns less than 5%
- G••••••••• D••••• J••• · Membersince 01/2010 · owns 5% to 10%
- T•••••• G••••• H••• · Membersince 12/2010 · owns 5% to 10%
- V••••• T•••••• M•••••• · Membersince 01/2024 · owns 10% to 25%
- W•••••• D•••••• R•••• · Membersince 06/2008 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list S••••••••• A•••• M••••••••• L•• as a related person
- 164818 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fayetteville, Ar | 0 | 0 | 0 | ||
| Fernandina Beach, Fl | 0 | 0 | 0 | ||
| Madison, Wi | 0 | 0 | 0 | ||
| Springfield, Mo · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Fayetteville, AR1 employees
- Madison, WI1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,471 to 1,512Jan 9, 2024 to Mar 28, 2024
- Advisory employees · 7 to 9Jan 9, 2024 to Mar 28, 2024
- Corporate clients · 6 to 10Jan 9, 2024 to Mar 28, 2024
- HNW clients · 130 to 133Jan 9, 2024 to Mar 28, 2024
- Individual clients · 413 to 393Jan 9, 2024 to Mar 28, 2024
- Employees · 7 to 10Jan 9, 2024 to Mar 28, 2024
- State-registered IARs · 7 to 9Jan 9, 2024 to Mar 28, 2024
- Discretionary RAUM · $433M to $515MJan 9, 2024 to Mar 28, 2024
- HNW RAUM · $350M to $417MJan 9, 2024 to Mar 28, 2024
- Individual RAUM · $82.4M to $93.6MJan 9, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $7.6M to $7.5MJan 9, 2024 to Mar 28, 2024
- RAUM · $441M to $522MJan 9, 2024 to Mar 28, 2024
- Other offices · 4 to 3Sep 1, 2023 to Jan 9, 2024
- Other offices · 3 to 4Apr 5, 2023 to Sep 1, 2023
- Accounts · 1,435 to 1,471Oct 31, 2022 to Mar 13, 2023
- Corporate clients · 10 to 6Oct 31, 2022 to Mar 13, 2023
- HNW clients · 146 to 130Oct 31, 2022 to Mar 13, 2023
- Individual clients · 359 to 413Oct 31, 2022 to Mar 13, 2023
- Discretionary RAUM · $506M to $433MOct 31, 2022 to Mar 13, 2023
- HNW RAUM · $412M to $350MOct 31, 2022 to Mar 13, 2023
- Individual RAUM · $90.5M to $82.4MOct 31, 2022 to Mar 13, 2023
- Non-discretionary RAUM · $9.1M to $7.6MOct 31, 2022 to Mar 13, 2023
- RAUM · $515M to $441MOct 31, 2022 to Mar 13, 2023
- Other offices · 2 to 3Mar 29, 2022 to Jul 15, 2022
- Accounts · 1,384 to 1,435Feb 22, 2021 to Mar 29, 2022
- Corporate clients · 7 to 10Feb 22, 2021 to Mar 29, 2022
- HNW clients · 124 to 146Feb 22, 2021 to Mar 29, 2022
- Individual clients · 440 to 359Feb 22, 2021 to Mar 29, 2022
- Discretionary RAUM · $426M to $506MFeb 22, 2021 to Mar 29, 2022
- HNW RAUM · $337M to $412MFeb 22, 2021 to Mar 29, 2022
- Individual RAUM · $88.0M to $90.5MFeb 22, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $9.1M to $9.1MFeb 22, 2021 to Mar 29, 2022
- RAUM · $435M to $515MFeb 22, 2021 to Mar 29, 2022
- Accounts · 1,348 to 1,384May 11, 2020 to Feb 22, 2021
- Corporate clients · 4 to 7May 11, 2020 to Feb 22, 2021
- HNW clients · 144 to 124May 11, 2020 to Feb 22, 2021
- Individual clients · 341 to 440May 11, 2020 to Feb 22, 2021
- Discretionary RAUM · $382M to $426MMay 11, 2020 to Feb 22, 2021
- HNW RAUM · $311M to $337MMay 11, 2020 to Feb 22, 2021
- Individual RAUM · $72.9M to $88.0MMay 11, 2020 to Feb 22, 2021
Signals
10 dated events
- S••••••••• A•••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $522.3M)May 2, 2025 · Left the SEC roster · derived
- M•••••• J•••• O•••• left S••••••••• A•••• M••••••••• L•• for S••••••••• C•••••• M••••••••• L•• (registered 2014-02-19)Mar 16, 2025 · Advisor changed firm · fact
- J••• W••••••• H•••• left S••••••••• A•••• M••••••••• L•• for S••••••••• C•••••• M••••••••• L•• (registered 2014-02-21)Mar 16, 2025 · Advisor changed firm · fact
- M•••• C•••• J•••••• left S••••••••• A•••• M••••••••• L•• for F•••••• (registered 2025-01-14)Jan 14, 2025 · Advisor changed firm · fact
- G••••• C•••••••• T••••• left S••••••••• A•••• M••••••••• L•• for F•••••• (registered 2024-12-03)Jan 13, 2025 · Advisor changed firm · fact
- J••••••• C•••• T••••• left S••••••••• A•••• M••••••••• L•• for S••••••••• C•••••• M••••••••• L•• (registered 2014-02-25)Jan 10, 2025 · Advisor changed firm · fact
- J•••• P•••••• S•••• left S••••••••• A•••• M••••••••• L•• for F•••••• (registered 2025-01-13)Jan 7, 2025 · Advisor changed firm · fact
- C•••••• M••••• H•••••• left S••••••••• A•••• M••••••••• L•• for F•••••• (registered 2025-01-13)Jan 7, 2025 · Advisor changed firm · fact
- A••••• L• B•••• left S••••••••• A•••• M••••••••• L•• for F•••••• (registered 2025-01-13)Jan 7, 2025 · Advisor changed firm · fact
- S••••••••• A•••• M••••••••• L••'s advisors moved to F•••••• (Springfield, MO): 4 of 8 registered, within 7 daysJan 7, 2025 · Firm absorbed (people side) · derived
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