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••••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jan 11, 2012 · 20 filings
SEC status approved since Mar 18, 2011
RAUM
$217M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$217M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$217M
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
20 filings and snapshots on the tape
RAUM$217M as of Mar 31, 2026
Jan 11, 2012$94.0M then
HNW client RAUM$178M as of Mar 31, 2026
Feb 20, 2018$128M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Jan 11, 20120 then
Employees (5.A)1 as of Mar 31, 2026
Jan 16, 20131 then
Private funds: no history
RAUM +18% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $217MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 116derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $789,904derivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $29.9M, 28 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$178M82%
- Individuals$38.9M18%
- Individual clients
- 61reported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 275reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $29.9M for 28 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• M•••••• S••••••• | San Rafael, Ca | Mar 18, 2011 | 33 y | 3 |
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
- C•••• M•••••• S••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Mar 18, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• C••••• M•••••• · Managing Member & Chief Compliance Officercontrolsince 03/2011 · 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 · 261 to 275Mar 27, 2025 to Mar 31, 2026
- HNW clients · 61 to 55Mar 27, 2025 to Mar 31, 2026
- Individual clients · 52 to 61Mar 27, 2025 to Mar 31, 2026
- Assets in custody · $47.7M to $29.9MMar 27, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 0Mar 27, 2025 to Mar 31, 2026
- HQ city · SAN RAFAEL to Mar 27, 2025 to Mar 31, 2026
- HQ state · CA to Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $184M to $217MMar 27, 2025 to Mar 31, 2026
- HNW RAUM · $155M to $178MMar 27, 2025 to Mar 31, 2026
- Individual RAUM · $29.3M to $38.9MMar 27, 2025 to Mar 31, 2026
- RAUM · $184M to $217MMar 27, 2025 to Mar 31, 2026
- Accounts · 238 to 261Mar 25, 2024 to Mar 27, 2025
- HNW clients · 68 to 61Mar 25, 2024 to Mar 27, 2025
- Individual clients · 38 to 52Mar 25, 2024 to Mar 27, 2025
- Assets in custody · $29.6M to $47.7MMar 25, 2024 to Mar 27, 2025
- Financial planning clients · unset to 1-10Mar 25, 2024 to Mar 27, 2025
- Discretionary RAUM · $167M to $184MMar 25, 2024 to Mar 27, 2025
- HNW RAUM · $143M to $155MMar 25, 2024 to Mar 27, 2025
- Individual RAUM · $24.0M to $29.3MMar 25, 2024 to Mar 27, 2025
- RAUM · $167M to $184MMar 25, 2024 to Mar 27, 2025
- Accounts · 240 to 238Mar 30, 2023 to Mar 25, 2024
- Individual clients · 40 to 38Mar 30, 2023 to Mar 25, 2024
- Assets in custody · $80.6M to $29.6MMar 30, 2023 to Mar 25, 2024
- State-registered IARs · 0 to 1Mar 30, 2023 to Mar 25, 2024
- Discretionary RAUM · $160M to $167MMar 30, 2023 to Mar 25, 2024
- HNW RAUM · $145M to $143MMar 30, 2023 to Mar 25, 2024
- Individual RAUM · $14.3M to $24.0MMar 30, 2023 to Mar 25, 2024
- RAUM · $160M to $167MMar 30, 2023 to Mar 25, 2024
- Accounts · 220 to 240May 17, 2022 to Mar 30, 2023
- HNW clients · 66 to 68May 17, 2022 to Mar 30, 2023
- Individual clients · 46 to 40May 17, 2022 to Mar 30, 2023
- Assets in custody · $73.6M to $80.6MMay 17, 2022 to Mar 30, 2023
- Financial planning clients · 0 to unsetMay 17, 2022 to Mar 30, 2023
- Discretionary RAUM · $207M to $160MMay 17, 2022 to Mar 30, 2023
- HNW RAUM · $179M to $145MMay 17, 2022 to Mar 30, 2023
- Individual RAUM · $27.7M to $14.3MMay 17, 2022 to Mar 30, 2023
- RAUM · $207M to $160MMay 17, 2022 to Mar 30, 2023
- Accounts · 232 to 220Mar 2, 2021 to Mar 14, 2022
- HNW clients · 83 to 66Mar 2, 2021 to Mar 14, 2022
- Individual clients · 25 to 46Mar 2, 2021 to Mar 14, 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
- Website
- sheridancapitalmanagement.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-694-2076reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- sheridancapitalmanagement.com/contact-usreportedpublished 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
- $217Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026