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••••• R•••••••• I•••
Latest filing Mar 16, 2026
First filing on the tape Jun 29, 2012 · 22 filings
SEC status approved since Jul 18, 2012
RAUM
$203M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$192M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$203M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$203M as of Mar 16, 2026
Apr 3, 2013$95.2M then
HNW client RAUM$168M as of Mar 16, 2026
Mar 29, 2018$92.2M then
State-registered IARs (5.B.3)1 as of Mar 16, 2026
Apr 3, 20132 then
Employees (5.A)2 as of Mar 16, 2026
Apr 3, 20132 then
Private funds1 as of Mar 16, 2026
Mar 31, 20211 then
RAUM +3.2% over the last fiscal year+9.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $203MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 107derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $882,325derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$168M83%
- Individuals$23.6M12%
- Charitable organizations$11.2M5.5%
- Individual clients
- 64reported
- HNW clients
- 43reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 230reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• S•••••Chartered Financial Analyst | Boca Raton, Fl | Dec 22, 2025 | 38 y | 2 |
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| U••• F•••• L• | Hedge Fund | $41.5M | 8 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- S•••••• S•••••• · Principal/Foundercontrolsince 01/2002 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 227 to 230Feb 4, 2025 to Mar 16, 2026
- HNW clients · 44 to 43Feb 4, 2025 to Mar 16, 2026
- Individual clients · 66 to 64Feb 4, 2025 to Mar 16, 2026
- Discretionary RAUM · $196M to $203MFeb 4, 2025 to Mar 16, 2026
- HNW RAUM · $165M to $168MFeb 4, 2025 to Mar 16, 2026
- Individual RAUM · $21.5M to $23.6MFeb 4, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $141,140 to $136,476Feb 4, 2025 to Mar 16, 2026
- RAUM · $197M to $203MFeb 4, 2025 to Mar 16, 2026
- Accounts · 231 to 227Mar 20, 2024 to Feb 4, 2025
- Charity clients · 2 to 1Mar 20, 2024 to Feb 4, 2025
- HNW clients · 128 to 44Mar 20, 2024 to Feb 4, 2025
- Individual clients · 101 to 66Mar 20, 2024 to Feb 4, 2025
- Financial planning clients · 0 to 0Mar 20, 2024 to Feb 4, 2025
- Discretionary RAUM · $178M to $196MMar 20, 2024 to Feb 4, 2025
- HNW RAUM · $146M to $165MMar 20, 2024 to Feb 4, 2025
- Individual RAUM · $22.4M to $21.5MMar 20, 2024 to Feb 4, 2025
- Non-discretionary RAUM · $113,228 to $141,140Mar 20, 2024 to Feb 4, 2025
- RAUM · $178M to $197MMar 20, 2024 to Feb 4, 2025
- Accounts · 247 to 231Mar 24, 2023 to Mar 20, 2024
- Charity clients · 1 to 2Mar 24, 2023 to Mar 20, 2024
- HNW clients · 50 to 128Mar 24, 2023 to Mar 20, 2024
- Individual clients · 72 to 101Mar 24, 2023 to Mar 20, 2024
- Discretionary RAUM · $150M to $178MMar 24, 2023 to Mar 20, 2024
- HNW RAUM · $132M to $146MMar 24, 2023 to Mar 20, 2024
- Individual RAUM · $16.4M to $22.4MMar 24, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $6.7M to $113,228Mar 24, 2023 to Mar 20, 2024
- RAUM · $156M to $178MMar 24, 2023 to Mar 20, 2024
- Accounts · 256 to 247Mar 30, 2022 to Mar 24, 2023
- Advisory activities · 1 to 2Mar 30, 2022 to Mar 24, 2023
- HNW clients · 56 to 50Mar 30, 2022 to Mar 24, 2023
- Individual clients · 73 to 72Mar 30, 2022 to Mar 24, 2023
- Discretionary RAUM · $186M to $150MMar 30, 2022 to Mar 24, 2023
- HNW RAUM · $153M to $132MMar 30, 2022 to Mar 24, 2023
- Individual RAUM · $29.3M to $16.4MMar 30, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $6.9M to $6.7MMar 30, 2022 to Mar 24, 2023
- RAUM · $192M to $156MMar 30, 2022 to Mar 24, 2023
- Accounts · 267 to 256Mar 31, 2021 to Mar 30, 2022
- HNW clients · 49 to 56Mar 31, 2021 to Mar 30, 2022
- Individual clients · 85 to 73Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $160M to $186MMar 31, 2021 to Mar 30, 2022
Signals
1 dated events
- S••••• R•••••••• I••• filed its initial SEC registration (Form ADV)Jun 29, 2012 · 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
- Website
- S•••••R•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (855) 796-8296reportedpublic record, Form ADV, Mar 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
- $203Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026