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••••• M•••• M••••••••• I•••
Latest filing Aug 17, 2026
First filing on the tape Apr 2, 2012 · 38 filings
SEC status approved since Mar 15, 2010
RAUM
$1.8B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
85%
$1.5B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$258M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$1.8B as of Aug 17, 2026
Apr 2, 2012$94.5M then
HNW client RAUM$1.4B as of Aug 17, 2026
Mar 30, 2018$142M then
State-registered IARs (5.B.3)8 as of Aug 17, 2026
Mar 27, 20137 then
Employees (5.A)8 as of Aug 17, 2026
Mar 27, 20137 then
Private funds: no history
RAUM +21% over the last fiscal year+32% a year over threeIARs 8 to 8offices 0 to 1
Practice profile
derived from the filing of Aug 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $258MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 129derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $686,957derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $1.3BreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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$1.4B78%
- Individuals$135M7.5%
- Charitable organizations$120M6.6%
- Pension and profit-sharing plans$74.7M4.1%
- Corporations and businesses$73.8M4.1%
- Individual clients
- 507reported
- HNW clients
- 399reported
- Pension plan clients
- 42reported
- Charitable clients
- 46reported
- Accounts
- 2,627reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.11 related_bd=true related_bank=false bd_reps=7.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- P••• E• R••••••• to R••••••• C•••••• M••••••••• L••Apr 3, 2018 · RIA to a state-registered adviser
- G••• R•••••• M••••••• to S••••• P•••••••• M••••••••• I••Dec 31, 2012 · Other
- P••• E• R••••••• to S••••• P•••••••• M••••••••• I••Dec 31, 2012 · Other
- D•••• M•••••• J•••• to Y••••••• C•••••• M•••••••••Jun 1, 2012 · Other
- G•••••• R•••••• H••• to C•••••••• G••••• M•••••• I•••Mar 31, 2012 · Other
- A••• P•••••• L•••••• to S••••• P•••••••• M••••••••• I••Mar 1, 2012 · Other
- M•••••• W• S•••••• to C••••••••• W••••• A•••••••• I•••Aug 5, 2011 · Other
Joined, latest
- A•••••• P•••• from S••••• P•••••••• M••••••••• I••Mar 21, 2019 · Other
- P••• E• R••••••• from S••••• P•••••••• M••••••••• I••Feb 13, 2013 · Other
- G••• R•••••• M••••••• from S••••• P•••••••• M••••••••• I••Feb 11, 2013 · Other
- P••• E• R••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 1, 2012 · Other
- G••• R•••••• M••••••• from I••••••••• R••••••• C•••May 31, 2012 · Other
- G•••••• R•••••• H••• from S••••• P•••••••• M••••••••• I••Sep 28, 2011 · Other
- D•••• M•••••• J•••• from S••••• P•••••••• M••••••••• I••Mar 10, 2011 · Other
- A•••••• J••••• A••••••• from S••••• P•••••••• M••••••••• I••Jan 19, 2011 · Other
- S•••• M••••••• A••• from S••••• P•••••••• M••••••••• I••Jan 6, 2011 · Other
- M•••••• W• S•••••• from M••••• S••••••Nov 1, 2010 · Other
- A••• P•••••• L•••••• from S••••• P•••••••• M••••••••• I••Mar 15, 2010 · Other
- D••••• A••••••• from S••••• P•••••••• M••••••••• I••Mar 15, 2010 · Other
- M••• G•••••••• from S••••• P•••••••• M••••••••• I••Mar 15, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• A••••••• J••••• · Chief Strategist; Chief M•••Eting Officercontrolsince 03/2018 · owns less than 5%
- A•••••••• C••••• R••• · President;Chief Executive Officer;Chief Compliance Officercontrolsince 02/2010 · owns 75% or more
- K••• A••• · Deputy Compliance Officercontrolsince 01/2026 · owns less than 5%
- M••••••••• S••••••• V• · Chief Financial Officercontrolsince 10/2025 · owns less than 5%
- M••••••••• M••••••• J•••• · Presidentcontrolsince 10/2025 · owns less than 5%
- R••••• E•••• Z•••••• · Chief Operating Officercontrolsince 10/2026 · owns less than 5%
- T•••••••• L•••••• A•• · Vice President;Chief Operations Officer; Compliance Officercontrolsince 02/2013 · owns less than 5%
Entity owners
- S••• H•••••••• L•• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- C•••• R• A•••••••investment companyy
- S••••••••• E••••• G••••broker-dealern
- S••••• P•••••••• M••••••••• I••investment advisern
- S•• I•••••••• S•••••••• I•••real estaten
Advisers that list S••••• M•••• M••••••••• I••• as a related person
- 107228 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 7 | 7 | 0 | ||
| Aliso Viejo, Ca | 6 | 6 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
7 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 17, 2026T•••••••• L•••••• A•• (VICE PRESIDENT;CHIEF OPERATIONS OFFICER; COMPLIANCE OFFICER) left Schedule A between the filings of 2013-02-21 and 2026-08-17peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 17, 2026K••• A••• (DEPUTY COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2013-02-21 and 2026-08-17peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 17, 2026A•••••••• C••••• R••• (PRESIDENT;CHIEF EXECUTIVE OFFICER;CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2013-02-21 and 2026-08-17peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 17, 2026A•••••••• A••••••• J••••• (CHIEF STRATEGIST; CHIEF M•••ETING OFFICER) left Schedule A between the filings of 2013-02-21 and 2026-08-17peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 17, 2026M••••••••• M••••••• J•••• (PRESIDENT) appeared on Schedule A between the filings of 2013-02-21 and 2026-08-17peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 17, 2026M••••••••• S••••••• V• (CHIEF FINANCIAL OFFICER) appeared on Schedule A between the filings of 2013-02-21 and 2026-08-17peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 17, 2026R••••• E•••• Z•••••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2013-02-21 and 2026-08-17peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,304 to 2,627Feb 10, 2026 to Mar 31, 2026
- Charity clients · 24 to 46Feb 10, 2026 to Mar 31, 2026
- Corporate clients · 24 to 37Feb 10, 2026 to Mar 31, 2026
- HNW clients · 290 to 399Feb 10, 2026 to Mar 31, 2026
- Individual clients · 535 to 507Feb 10, 2026 to Mar 31, 2026
- Pension plan clients · 70 to 42Feb 10, 2026 to Mar 31, 2026
- Discretionary RAUM · $1.4B to $1.8BFeb 10, 2026 to Mar 31, 2026
- HNW RAUM · $1.1B to $1.4BFeb 10, 2026 to Mar 31, 2026
- Individual RAUM · $184M to $135MFeb 10, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $48.3M to $43.9MFeb 10, 2026 to Mar 31, 2026
- Pension RAUM · $111M to $74.7MFeb 10, 2026 to Mar 31, 2026
- RAUM · $1.5B to $1.8BFeb 10, 2026 to Mar 31, 2026
- HQ city · ALISO VIEJO to LOS ANGELESJan 21, 2026 to Feb 10, 2026
- Other offices · 0 to 1Jan 21, 2026 to Feb 10, 2026
- Accounts · 2,012 to 2,304May 20, 2024 to Mar 24, 2025
- Charity clients · 38 to 24May 20, 2024 to Mar 24, 2025
- Corporate clients · 20 to 24May 20, 2024 to Mar 24, 2025
- HNW clients · 214 to 290May 20, 2024 to Mar 24, 2025
- Individual clients · 545 to 535May 20, 2024 to Mar 24, 2025
- Pension plan clients · 43 to 70May 20, 2024 to Mar 24, 2025
- Financial planning clients · unset to May 20, 2024 to Mar 24, 2025
- Discretionary RAUM · $1.1B to $1.4BMay 20, 2024 to Mar 24, 2025
- HNW RAUM · $762M to $1.1BMay 20, 2024 to Mar 24, 2025
- Individual RAUM · $169M to $184MMay 20, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $33.7M to $48.3MMay 20, 2024 to Mar 24, 2025
- Pension RAUM · $54.9M to $111MMay 20, 2024 to Mar 24, 2025
- RAUM · $1.1B to $1.5BMay 20, 2024 to Mar 24, 2025
- Accounts · 1,950 to 2,012Mar 13, 2023 to Mar 26, 2024
- Charity clients · 33 to 38Mar 13, 2023 to Mar 26, 2024
- Corporate clients · 19 to 20Mar 13, 2023 to Mar 26, 2024
- HNW clients · 158 to 214Mar 13, 2023 to Mar 26, 2024
- Individual clients · 528 to 545Mar 13, 2023 to Mar 26, 2024
- Pension plan clients · 42 to 43Mar 13, 2023 to Mar 26, 2024
- Discretionary RAUM · $760M to $1.1BMar 13, 2023 to Mar 26, 2024
- HNW RAUM · $502M to $762MMar 13, 2023 to Mar 26, 2024
- Individual RAUM · $158M to $169MMar 13, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $23.9M to $33.7MMar 13, 2023 to Mar 26, 2024
- Pension RAUM · $34.7M to $54.9MMar 13, 2023 to Mar 26, 2024
- RAUM · $784M to $1.1BMar 13, 2023 to Mar 26, 2024
- Accounts · 1,844 to 1,950Oct 3, 2022 to Mar 13, 2023
Signals
6 dated events
- S••••• M•••• M••••••••• I•••'s advisors moved to S••• (Los Angeles, CA): 6 of 6 registered, on the same dayDec 31, 2025 · Firm absorbed (people side) · derived
- S••••• P•••••••• M••••••••• I••'s advisors moved to S••••• M•••• M••••••••• I••• (Aliso Viejo, CA): 6 of 6 registered, on the same dayOct 19, 2025 · Firm absorbed (people side) · derived
- S••••• M•••• M••••••••• I••• reported RAUM $1.5B, up 35% from $1.1B (2024-05-20 to 2025-03-24)Mar 24, 2025 · RAUM change · derived
- S••••• M•••• M••••••••• I••• reported RAUM $1.1B, up 41% from $784.0M (2023-03-13 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- S••••• M•••• M••••••••• I••• reported RAUM $650.4M, up 39% from $467.1M (2021-03-30 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- S••••• M•••• M••••••••• I••• reported RAUM $467.1M, up 35% from $345.0M (2020-06-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
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
- 949-900-8181reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-445-9822reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- s•••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 3107122323reportedpublic record, Form ADV, Aug 17, 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
- $258Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026