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.
SEC-registered adviser
S•••••••• A•••• A•••••••
Legal name S•• A•••••••• I•••
Latest filing Jan 13, 2026
First filing on the tape Mar 15, 2012 · 32 filings
SEC status approved since Nov 24, 2008
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$0 as of Jan 13, 2026
Jan 14, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Jan 13, 2026
Mar 15, 20120 then
Employees (5.A)4 as of Jan 13, 2026
Jan 31, 20131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Jan 13, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- pension consulting, selection of other advisers, educational seminarsreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
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
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• R••••• C•••••Chartered Financial Analyst | Bellevue, Wa | Nov 24, 2008 | 32 y | 0 |
| D••••• G•••••• S•••••• | Camden, Me | Feb 6, 2018 | 23 y | 0 |
| N••••••• P••• S•••• | Seminole, Fl | Dec 21, 2020 | 13 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• A••••• R••••• · President/Chief Compliance Officercontrolsince 08/2008 · owns 75% or more
Related persons
Schedule D 7.A
- S•••••••• A•••• A•••••••• I•••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bellevue, Wa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rockport, ME1 employees
- , 1 employees
What changed
consecutive filings, newest first
- HQ city · BELLINGHAM to BELLEVUEJan 14, 2025 to Oct 29, 2025
- Accounts · unset to 0.0Nov 25, 2024 to Jan 14, 2025
- Financial planning clients · unset to Nov 25, 2024 to Jan 14, 2025
- Discretionary RAUM · unset to 0.0Nov 25, 2024 to Jan 14, 2025
- Non-discretionary RAUM · unset to 0.0Nov 25, 2024 to Jan 14, 2025
- RAUM · unset to 0.0Nov 25, 2024 to Jan 14, 2025
- Advisory employees · 3 to 4Feb 8, 2023 to Jan 19, 2024
- Employees · 3 to 4Feb 8, 2023 to Jan 19, 2024
- State-registered IARs · 3 to 4Feb 8, 2023 to Jan 19, 2024
- Other offices · 1 to 3Feb 8, 2023 to Jan 19, 2024
- Pension plan clients · 3.0 to unsetOct 20, 2022 to Feb 8, 2023
- Advisory employees · 2 to 3Mar 25, 2020 to Mar 4, 2021
- Employees · 2 to 3Mar 25, 2020 to Mar 4, 2021
- State-registered IARs · 2 to 3Mar 25, 2020 to Mar 4, 2021
- Advisory employees · 3 to 2Nov 13, 2019 to Mar 25, 2020
- Advisory activities · 4 to 3Nov 13, 2019 to Mar 25, 2020
- Pension plan clients · 1 to 3Nov 13, 2019 to Mar 25, 2020
- Employees · 3 to 2Nov 13, 2019 to Mar 25, 2020
- State-registered IARs · 3 to 2Nov 13, 2019 to Mar 25, 2020
- Other offices · 2 to 1Oct 28, 2019 to Nov 13, 2019
- Advisory employees · 1 to 3Dec 7, 2018 to Jan 25, 2019
- Employees · 1 to 3Dec 7, 2018 to Jan 25, 2019
- State-registered IARs · 1 to 3Dec 7, 2018 to Jan 25, 2019
- Other offices · 0 to 2Dec 7, 2018 to Jan 25, 2019
- Advisory activities · 3 to 4Oct 3, 2018 to Dec 7, 2018
- Business name · S•• A•••••••• I••• to S•••••••• A•••• A•••••••Oct 3, 2018 to Dec 7, 2018
- Pension plan clients · unset to 1.0Oct 5, 2017 to Feb 6, 2018
- Pension RAUM · unset to 0.0Oct 5, 2017 to Feb 6, 2018
- Other offices · unset to 0.0Feb 27, 2017 to Oct 5, 2017
- Advisory employees · unset to 1.0Jun 19, 2012 to Jan 31, 2013
- Employees · unset to 1.0Jun 19, 2012 to Jan 31, 2013
- State-registered IARs · 0 to 1Jun 19, 2012 to Jan 31, 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.
How to reach
public business contact points only, each with its source
- Website
- s•••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 360-255-2500reportedpublic record, Form ADV, Jan 13, 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
- No RAUM reportedderiveda 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