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••• P••••••• L••
Latest filing Mar 25, 2024
First filing on the tape Sep 3, 2021 · 7 filings
RAUM
$15.2M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
93%
$14.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$15.2M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$15.2M as of Mar 25, 2024
Mar 29, 2022$190M then
HNW client RAUM$12.1M as of Mar 25, 2024
Mar 29, 2022$48.5M then
State-registered IARs (5.B.3)1 as of Mar 25, 2024
Mar 29, 20222 then
Employees (5.A)1 as of Mar 25, 2024
Mar 29, 20222 then
Private funds: no history
RAUM -89% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Mar 25, 2024; every figure names its basis
- RAUM per advisor
- $15.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $296,325derivedHNW RAUM over HNW clients
- Average account
- $253,419derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -89%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -49%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$12.1M80%
- Individuals$2.0M13%
- Other investment advisers$1.1M7.0%
- Individual clients
- 18reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 60reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• Y••• F••••••••• | Rocky River, Oh | Oct 20, 2016 | 11 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
- M•••••• T• N•••••• to S•••••••• W••••• P•••••••• L•••Apr 29, 2023 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••••• J•••••• Y••• · Owner, Managing Member, Chief Compliance Officercontrolsince 10/2016 · 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 · 62 to 60May 1, 2023 to Mar 25, 2024
- HNW clients · 28 to 41May 1, 2023 to Mar 25, 2024
- Individual clients · 33 to 18May 1, 2023 to Mar 25, 2024
- Discretionary RAUM · $9.7M to $15.1MMay 1, 2023 to Mar 25, 2024
- HNW RAUM · $8.1M to $12.1MMay 1, 2023 to Mar 25, 2024
- Individual RAUM · $1.1M to $2.0MMay 1, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $0 to $109,101May 1, 2023 to Mar 25, 2024
- RAUM · $9.7M to $15.2MMay 1, 2023 to Mar 25, 2024
- Legal name · LUCA CAPITAL ADVISORS LLC to S••• P••••••• L••Apr 28, 2023 to May 1, 2023
- Accounts · 124 to 62Mar 30, 2023 to Apr 28, 2023
- Advisory employees · 2 to 1Mar 30, 2023 to Apr 28, 2023
- Charity clients · 2.0 to unsetMar 30, 2023 to Apr 28, 2023
- Corporate clients · 4.0 to unsetMar 30, 2023 to Apr 28, 2023
- HNW clients · 43 to 28Mar 30, 2023 to Apr 28, 2023
- Individual clients · 73 to 33Mar 30, 2023 to Apr 28, 2023
- Pension plan clients · 1.0 to unsetMar 30, 2023 to Apr 28, 2023
- Employees · 2 to 1Mar 30, 2023 to Apr 28, 2023
- HQ city · INDEPENDENCE to unsetMar 30, 2023 to Apr 28, 2023
- HQ state · OH to unsetMar 30, 2023 to Apr 28, 2023
- State-registered IARs · 2 to 1Mar 30, 2023 to Apr 28, 2023
- Discretionary RAUM · $135M to $9.7MMar 30, 2023 to Apr 28, 2023
- HNW RAUM · $33.4M to $8.1MMar 30, 2023 to Apr 28, 2023
- Individual RAUM · $2.0M to $1.1MMar 30, 2023 to Apr 28, 2023
- Pension RAUM · 37880841.0 to unsetMar 30, 2023 to Apr 28, 2023
- RAUM · $135M to $9.7MMar 30, 2023 to Apr 28, 2023
- Accounts · 132 to 124Nov 4, 2022 to Mar 30, 2023
- HNW clients · 51 to 43Nov 4, 2022 to Mar 30, 2023
- Individual clients · 74 to 73Nov 4, 2022 to Mar 30, 2023
- Discretionary RAUM · $190M to $135MNov 4, 2022 to Mar 30, 2023
- HNW RAUM · $48.5M to $33.4MNov 4, 2022 to Mar 30, 2023
- Individual RAUM · $8.9M to $2.0MNov 4, 2022 to Mar 30, 2023
- Pension RAUM · $54.7M to $37.9MNov 4, 2022 to Mar 30, 2023
- RAUM · $190M to $135MNov 4, 2022 to Mar 30, 2023
- Accounts · 144 to 132Sep 3, 2021 to Mar 29, 2022
- Corporate clients · 3 to 4Sep 3, 2021 to Mar 29, 2022
- HNW clients · 54 to 51Sep 3, 2021 to Mar 29, 2022
- Individual clients · 84 to 74Sep 3, 2021 to Mar 29, 2022
- Discretionary RAUM · $228M to $190MSep 3, 2021 to Mar 29, 2022
- HNW RAUM · $64.2M to $48.5MSep 3, 2021 to Mar 29, 2022
- Individual RAUM · $11.1M to $8.9MSep 3, 2021 to Mar 29, 2022
Signals
4 dated events
- M•••••• T• N•••••• left S••• P••••••• L•• for S•••••••• W••••• P•••••••• L••• (registered 2023-07-05)Apr 29, 2023 · Advisor changed firm · fact
- S••• P••••••• L•• reported RAUM $9.7M, down 93% from $135.3M (2023-03-30 to 2023-04-28)Apr 28, 2023 · RAUM change · derived
- T Michael Nowacki (Owner & Cco) no longer on Schedule A of S••• P••••••• L•• (listed 2023-03-30, absent 2023-04-28)Apr 28, 2023 · Control person left · inference
- S••• P••••••• L•• filed its initial SEC registration (Form ADV)Sep 3, 2021 · 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•••PARTNERS.COMreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $15.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026