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••• H••• C••••••
Legal name S••• H••• C•••••• L•••••
Latest filing Mar 4, 2026
First filing on the tape Mar 27, 2012 · 18 filings
SEC status approved since Sep 24, 2010
RAUM
$214M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$214M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$214M as of Mar 4, 2026
Mar 27, 2012$108M then
HNW client RAUM$194M as of Mar 4, 2026
Mar 5, 2018$108M then
State-registered IARs (5.B.3)2 as of Mar 4, 2026
Mar 27, 20120 then
Employees (5.A)2 as of Mar 4, 2026
Feb 21, 20134 then
Private funds: no history
RAUM +30% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $649,322derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $140M, 49 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$194M91%
- Individuals$20.1M9.4%
- Individual clients
- 45reported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 330reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $140M for 49 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••••• C••••••••• F•••••• | Ann A••••, Mi | Dec 14, 2011 | 15 y | 1 |
| D•••• L•••• R•••••• | Ann A••••, Mi | Dec 15, 2011 | 22 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
- M•••••• E•••••• W••• to V•••• A•••• C••••••May 20, 2014 · Other
Joined, latest
- D•••• L•••• R•••••• from T•••••• I••••••••• M••••••••• L••Dec 15, 2011 · Other
- F•••••••• C••••••••• F•••••• from T•••••• I••••••••• M••••••••• L••Dec 14, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• F••••••••• C••••••••• · Managing Member And Chief Compliance Officercontrolsince 04/2011 · owns 50% to 75%
- R••••••• D••••• L•••• · Managing Membercontrolsince 04/2011 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ann A••••, Mi · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 324 to 330Sep 3, 2025 to Mar 4, 2026
- Individual clients · 46 to 45Sep 3, 2025 to Mar 4, 2026
- Assets in custody · $96.5M to $140MSep 3, 2025 to Mar 4, 2026
- Discretionary RAUM · $165M to $214MSep 3, 2025 to Mar 4, 2026
- HNW RAUM · $137M to $194MSep 3, 2025 to Mar 4, 2026
- Individual RAUM · $27.9M to $20.1MSep 3, 2025 to Mar 4, 2026
- RAUM · $165M to $214MSep 3, 2025 to Mar 4, 2026
- Accounts · 291 to 324Mar 19, 2024 to Mar 25, 2025
- Corporate clients · 1.0 to unsetMar 19, 2024 to Mar 25, 2025
- HNW clients · 31 to 34Mar 19, 2024 to Mar 25, 2025
- Individual clients · 43 to 46Mar 19, 2024 to Mar 25, 2025
- Financial planning clients · 1-10 to 11-25Mar 19, 2024 to Mar 25, 2025
- Discretionary RAUM · $153M to $165MMar 19, 2024 to Mar 25, 2025
- HNW RAUM · $136M to $137MMar 19, 2024 to Mar 25, 2025
- Individual RAUM · $16.9M to $27.9MMar 19, 2024 to Mar 25, 2025
- RAUM · $153M to $165MMar 19, 2024 to Mar 25, 2025
- Accounts · 289 to 291May 1, 2023 to Mar 19, 2024
- Advisory activities · 3 to 2May 1, 2023 to Mar 19, 2024
- HNW clients · 30 to 31May 1, 2023 to Mar 19, 2024
- Individual clients · 69 to 43May 1, 2023 to Mar 19, 2024
- Assets in custody · $32.6M to $96.5MMay 1, 2023 to Mar 19, 2024
- Financial planning clients · 11-25 to 1-10May 1, 2023 to Mar 19, 2024
- Discretionary RAUM · $143M to $153MMay 1, 2023 to Mar 19, 2024
- HNW RAUM · $126M to $136MMay 1, 2023 to Mar 19, 2024
- Individual RAUM · $16.3M to $16.9MMay 1, 2023 to Mar 19, 2024
- RAUM · $143M to $153MMay 1, 2023 to Mar 19, 2024
- Accounts · 275 to 289Feb 18, 2022 to May 1, 2023
- HNW clients · 29 to 30Feb 18, 2022 to May 1, 2023
- Individual clients · 52 to 69Feb 18, 2022 to May 1, 2023
- Assets in custody · $34.9M to $32.6MFeb 18, 2022 to May 1, 2023
- Insurance-licensed employees · 0 to 2Feb 18, 2022 to May 1, 2023
- Discretionary RAUM · $158M to $143MFeb 18, 2022 to May 1, 2023
- HNW RAUM · $137M to $126MFeb 18, 2022 to May 1, 2023
- Individual RAUM · $21.2M to $16.3MFeb 18, 2022 to May 1, 2023
- RAUM · $158M to $143MFeb 18, 2022 to May 1, 2023
- Accounts · 308 to 275Feb 22, 2021 to Feb 18, 2022
- HNW clients · 33 to 29Feb 22, 2021 to Feb 18, 2022
- Individual clients · 39 to 52Feb 22, 2021 to Feb 18, 2022
- Assets in custody · $91.3M to $34.9MFeb 22, 2021 to Feb 18, 2022
- Discretionary RAUM · $144M to $158MFeb 22, 2021 to Feb 18, 2022
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
- Business email
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-988-5623reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••H•••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-988-5623reportedpublic record, Form ADV, Mar 4, 2026
- Contact form
- s•••••••••.comreportedpublished 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
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026