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••••••• I••••••••• G••••• L••

Former SEC-registered adviserCRD 148708SEC 801-131855websiteIAPD
Latest filing Dec 20, 2024
First filing on the tape Dec 20, 2024 · 1 filings
SEC status approved since Jan 21, 2025
RAUM
$127M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$127M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
1 filings and snapshots on the tape
RAUM: $127M
HNW client RAUM: $92.9M
State-registered IARs (5.B.3): 2
Employees (5.A): 2
Private funds: no history
Practice profile
derived from the filing of Dec 20, 2024; every figure names its basis
RAUM per advisor
$63.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
71derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$374,882derivedRAUM over accounts (5.F.2.f)
Discretionary
98%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
unknownderivedbetween 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
financial planning, 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)
  • 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$92.9M73%
  • Individuals$34.5M27%
Individual clients
110reported
HNW clients
32reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
340reported
Financial planning clients
1-10reported
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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S•••••••• C••••• H••••• · Managing Member & Chief Compliance Officercontrol
      since 12/2008 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Delray Beach, Fl0021
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    5 dated events
    • S••••••• I••••••••• G••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $127.5M)
      Dec 20, 2025 · Left the SEC roster · derived
    • C•••••• J••••• S••••••• left S••••••• I••••••••• G••••• L•• for F•••••• (registered 2026-01-12)
      Nov 17, 2025 · Advisor changed firm · fact
    • C•••• H••••• S••••••• left S••••••• I••••••••• G••••• L•• for F•••••• (registered 2025-07-01)
      Nov 17, 2025 · Advisor changed firm · fact
    • 2 advisors left S••••••• I••••••••• G••••• L•• (Delray Beach, FL) for F•••••• on the same day
      Nov 17, 2025 · Team lift-out · derived
    • S••••••• I••••••••• G••••• L•• filed its initial SEC registration (Form ADV)
      Dec 20, 2024 · 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.
    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