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•••••• S•••••••

Former SEC-registered adviserChicago, IllinoisCRD 152404SEC 801-70969IAPD
Legal name S•••••• S••••••••• I•••
Latest filing Apr 30, 2012
First filing on the tape Mar 30, 2012 · 2 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 30, 2012
Mar 30, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 30, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 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
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• E••••••••• E•••• · Chairman/Directorcontrol
        since 10/2010 · owns less than 5%
      • H••••••• J••••••• I••• · Cfocontrol
        since 07/2007 · owns less than 5%
      • P••••••••• S•••••• C•••• · Ceo/Directorcontrol
        since 04/2007 · owns less than 5%
      • R•••• C••••• K•• · Presidentcontrol
        since 01/2009 · owns less than 5%
      • S••••••• T•••••• A••• · Chief Compliance Officercontrol
        since 05/2009 · owns less than 5%
      Entity owners
      • S•••••• F•••••••• G•••• · Owner
        direct · owns 75% or more
      • C••••••••• I••••••••• S•••••••• I••• · Corporation
        indirect · owns 75% or more of S•••••• F•••••••• G••••
      • G•••••••• T•••• C••••••• T•••••• · T••••••
        indirect · owns 75% or more of S•••••• E••••••••• I••• E•••
      • S•••••• E••••••••• I••• · Corporation
        indirect · owns 75% or more of C••••••••• I••••••••• S•••••••• I•••
      • S•••••• E••••••••• I••• E••• · Trust
        indirect · owns 75% or more of S•••••• E••••••••• I•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Sioux Falls, SD
      • West Des Moines, IA
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      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.
      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