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•••••• C••••••
Legal name S•••••• C•••••• A•••••••• L••
Latest filing May 26, 2026
First filing on the tape Feb 28, 2012 · 15 filings
SEC status approved since Jul 13, 2020
RAUM
$211M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
67%
$141M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$52.8M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$211M as of May 26, 2026
Mar 23, 2012$36.2M then
HNW client RAUM$106M as of May 26, 2026
Mar 15, 2021$18.0M then
State-registered IARs (5.B.3)4 as of May 26, 2026
Mar 23, 20120 then
Employees (5.A)7 as of May 26, 2026
Mar 15, 20215 then
Private funds: no history
RAUM +21% over the last fiscal year+17% a year over threeIARs 1 to 4
Practice profile
derived from the filing of May 26, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $52.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $461,836derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 31%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$106M50%
- Pension and profit-sharing plans$64.6M31%
- Individuals$35.5M17%
- Corporations and businesses$5.3M2.5%
- Individual clients
- 157reported
- HNW clients
- 31reported
- Pension plan clients
- 10reported
- Charitable clients
- 0reported
- Accounts
- 457reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.67 fund_share=0.0 institutional_share=0.31 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• E••••• S••••••Certified Financial Planner | Westerville, Oh | May 21, 2009 | 30 y | 1 |
| W•••••• E••••• S•••••• | Westerville, Oh | Mar 25, 2025 | 10 y | 0 |
| A••••• B••••••• S•••••• | Westerville, Oh | Apr 30, 2026 | 10 y | 0 |
| A•••••••• M•••••• S•••••• | Westerville, Oh | Apr 30, 2026 | 10 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
- M•••••• E••••• S•••••• from C•••••••• G••••• M•••••• I•••May 21, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• M••••••• E••••• · Elected Manager And Chief Compliance Officercontrolsince 04/2009 · owns less than 5%
- S••••••• M••••••• E••••• · Trusteecontrolsince 04/2009 · owns F of M•••••• E••••• S•••••• T••••• D•••• J••• 1•• 2•••• A• A••••••
- S••••••• M••••••• E••••• · Elected Managercontrolsince 04/2009 · owns F of S•••••• C••••••• L••
Entity owners
- M•••••• E••••• S•••••• T••••• D•••• J••• 1•• 2•••• A• A•••••• · Memberindirect · owns 75% or more of S•••••• C••••••• L••
- S•••••• C•••••• W••••• M••••••••• L•• · Memberdirect · owns 75% or more
- S•••••• C••••••• L•• · Memberindirect · owns 75% or more of S•••••• C•••••• W••••• M••••••••• L••
Related persons
Schedule D 7.A
- S•••••• C•••••• I•••••••• S•••••••• L••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westerville, Oh · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 13, 2026HNW share of RAUM moved from 17.0% to 50.0% between the annual amendments of 2025-03-06 and 2026-03-13peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Advisory employees · 2 to 4Mar 13, 2026 to May 26, 2026
- Employees · 6 to 7Mar 13, 2026 to May 26, 2026
- State-registered IARs · 2 to 4Mar 13, 2026 to May 26, 2026
- Accounts · 439 to 457Sep 8, 2025 to Mar 13, 2026
- Corporate clients · 2 to 3Sep 8, 2025 to Mar 13, 2026
- HNW clients · 2 to 31Sep 8, 2025 to Mar 13, 2026
- Individual clients · 184 to 157Sep 8, 2025 to Mar 13, 2026
- Pension plan clients · 11 to 10Sep 8, 2025 to Mar 13, 2026
- Financial planning clients · 11-25 to 1-10Sep 8, 2025 to Mar 13, 2026
- Discretionary RAUM · $173M to $211MSep 8, 2025 to Mar 13, 2026
- HNW RAUM · $30.3M to $106MSep 8, 2025 to Mar 13, 2026
- Individual RAUM · $86.9M to $35.5MSep 8, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $1.0M to $0Sep 8, 2025 to Mar 13, 2026
- Pension RAUM · $52.1M to $64.6MSep 8, 2025 to Mar 13, 2026
- RAUM · $174M to $211MSep 8, 2025 to Mar 13, 2026
- Advisory employees · 1 to 2Jun 27, 2025 to Sep 8, 2025
- State-registered IARs · 1 to 2Jun 27, 2025 to Sep 8, 2025
- Financial planning clients · 11-25 to 11-25Mar 6, 2025 to Jun 27, 2025
- Accounts · 441 to 439Mar 12, 2024 to Mar 6, 2025
- Advisory activities · 3 to 5Mar 12, 2024 to Mar 6, 2025
- Individual clients · 166 to 184Mar 12, 2024 to Mar 6, 2025
- Pension plan clients · 10 to 11Mar 12, 2024 to Mar 6, 2025
- Financial planning clients · 1-10 to 11-25Mar 12, 2024 to Mar 6, 2025
- Discretionary RAUM · $151M to $173MMar 12, 2024 to Mar 6, 2025
- HNW RAUM · $28.4M to $30.3MMar 12, 2024 to Mar 6, 2025
- Individual RAUM · $77.3M to $86.9MMar 12, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $904,250 to $1.0MMar 12, 2024 to Mar 6, 2025
- Pension RAUM · $41.9M to $52.1MMar 12, 2024 to Mar 6, 2025
- RAUM · $152M to $174MMar 12, 2024 to Mar 6, 2025
- Accounts · 427 to 441Mar 31, 2023 to Mar 12, 2024
- Advisory employees · 2 to 1Mar 31, 2023 to Mar 12, 2024
- Corporate clients · 1 to 2Mar 31, 2023 to Mar 12, 2024
- Individual clients · 128 to 166Mar 31, 2023 to Mar 12, 2024
- State-registered IARs · 2 to 1Mar 31, 2023 to Mar 12, 2024
- Discretionary RAUM · $131M to $151MMar 31, 2023 to Mar 12, 2024
- HNW RAUM · $18.3M to $28.4MMar 31, 2023 to Mar 12, 2024
- Individual RAUM · $64.5M to $77.3MMar 31, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $543,723 to $904,250Mar 31, 2023 to Mar 12, 2024
- Pension RAUM · $35.4M to $41.9MMar 31, 2023 to Mar 12, 2024
- RAUM · $132M to $152MMar 31, 2023 to Mar 12, 2024
Signals
1 dated events
- S•••••• C•••••• filed its initial SEC registration (Form ADV)Jun 12, 2020 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 614-891-1200reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-891-1213reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- s•••••••••.netreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 614-891-1200reportedpublic record, Form ADV, May 26, 2026
- Team page
- s•••••••••.netreportedpublished by the firm, firm site, Sep 16, 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
- $52.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026