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••••••• C•••••• S••••••••
Legal name S••••••• C•••••• S••••••••• I•••
Latest filing Mar 27, 2024
First filing on the tape Mar 29, 2012 · 32 filings
SEC status approved since Jul 26, 2011
RAUM
$23.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$23.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$23.7M as of Mar 27, 2024
Mar 29, 2012$6.7M then
HNW client RAUM$7.3M as of Mar 27, 2024
Mar 30, 2018$7.5M then
State-registered IARs (5.B.3)1 as of Mar 27, 2024
Mar 29, 20120 then
Employees (5.A)3 as of Mar 27, 2024
Mar 13, 20132 then
Private funds: no history
RAUM +1.0% over the last fiscal year+1.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
- RAUM per advisor
- $23.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $118,056derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 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
- Individuals$16.1M68%
- High-net-worth individuals$7.3M31%
- Pension and profit-sharing plans$375,1051.6%
- Charitable organizations$12,9680.1%
- Individual clients
- 87reported
- HNW clients
- 5reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 201reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- C••• F•••••••• M••••••••• to C•••••• I••••••••• A••••••• S•••••••• L••Apr 14, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- C••• F•••••••• M••••••••• from W•• A•••••••• L•Aug 2, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• R•••• L•••••• · Shareholder/Directorcontrolsince 07/2011 · owns less than 5%
- E•••••• R••••••• A•••••• · Shareholder/Directorcontrolsince 07/2011 · owns less than 5%
- M••••••••• C•••• F•••••••• · President/Chief Compliance Officer/Shareholdercontrolsince 07/2011 · owns 25% to 50%
- M•••••• C••••••• L••• · Chief Operating Officercontrolsince 07/2011 · owns 10% to 25%
- S••••••• S•••••• J•••• · Shareholder/Directorcontrolsince 04/2012 · owns 10% to 25%
- A••••• C•••••••• R•••••• · Shareholdersince 07/2011 · owns 10% to 25%
- C•••••• W••••• A•• · Shareholdersince 07/2011 · owns less than 5%
- L••••• J•••• G••••• · Shareholdersince 07/2011 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Hagerstown, Md · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 190 to 201Jan 4, 2024 to Mar 27, 2024
- Individual clients · 95 to 87Jan 4, 2024 to Mar 27, 2024
- Discretionary RAUM · $23.5M to $23.7MJan 4, 2024 to Mar 27, 2024
- HNW RAUM · $6.9M to $7.3MJan 4, 2024 to Mar 27, 2024
- Individual RAUM · $16.1M to $16.1MJan 4, 2024 to Mar 27, 2024
- Pension RAUM · $475,000 to $375,105Jan 4, 2024 to Mar 27, 2024
- RAUM · $23.5M to $23.7MJan 4, 2024 to Mar 27, 2024
- Accounts · 186 to 190Mar 16, 2022 to Mar 16, 2023
- Corporate clients · 1 to 0Mar 16, 2022 to Mar 16, 2023
- HNW clients · 2 to 5Mar 16, 2022 to Mar 16, 2023
- Individual clients · 175 to 95Mar 16, 2022 to Mar 16, 2023
- Pension plan clients · 6 to 3Mar 16, 2022 to Mar 16, 2023
- Discretionary RAUM · $2.8B to $23.5MMar 16, 2022 to Mar 16, 2023
- HNW RAUM · $653M to $6.9MMar 16, 2022 to Mar 16, 2023
- Individual RAUM · $2.1B to $16.1MMar 16, 2022 to Mar 16, 2023
- Pension RAUM · $81.5M to $475,000Mar 16, 2022 to Mar 16, 2023
- RAUM · $2.8B to $23.5MMar 16, 2022 to Mar 16, 2023
- Accounts · 169 to 186Mar 24, 2021 to Mar 16, 2022
- Corporate clients · 0 to 1Mar 24, 2021 to Mar 16, 2022
- HNW clients · 6 to 2Mar 24, 2021 to Mar 16, 2022
- Individual clients · 159 to 175Mar 24, 2021 to Mar 16, 2022
- Pension plan clients · 3 to 6Mar 24, 2021 to Mar 16, 2022
- Employees · 2 to 3Mar 24, 2021 to Mar 16, 2022
- Discretionary RAUM · $22.9M to $2.8BMar 24, 2021 to Mar 16, 2022
- HNW RAUM · $10.9M to $653MMar 24, 2021 to Mar 16, 2022
- Individual RAUM · $11.5M to $2.1BMar 24, 2021 to Mar 16, 2022
- Pension RAUM · $511,068 to $81.5MMar 24, 2021 to Mar 16, 2022
- RAUM · $22.9M to $2.8BMar 24, 2021 to Mar 16, 2022
- Accounts · 182 to 169Jun 24, 2020 to Mar 24, 2021
- Charity clients · 2 to 1Jun 24, 2020 to Mar 24, 2021
- Corporate clients · unset to 0.0Jun 24, 2020 to Mar 24, 2021
- HNW clients · 4 to 6Jun 24, 2020 to Mar 24, 2021
- Individual clients · 175 to 159Jun 24, 2020 to Mar 24, 2021
- Pension plan clients · unset to 3.0Jun 24, 2020 to Mar 24, 2021
- Pooled vehicle clients · unset to 0.0Jun 24, 2020 to Mar 24, 2021
- Discretionary RAUM · $20.1M to $22.9MJun 24, 2020 to Mar 24, 2021
- HNW RAUM · $7.1M to $10.9MJun 24, 2020 to Mar 24, 2021
- Individual RAUM · $13.0M to $11.5MJun 24, 2020 to Mar 24, 2021
- Pension RAUM · unset to 511068.0Jun 24, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · unset to 0.0Jun 24, 2020 to Mar 24, 2021
Signals
3 dated events
- S••••••• C•••••• S•••••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $23.7M)May 2, 2025 · Left the SEC roster · derived
- C••• F•••••••• M••••••••• left S••••••• C•••••• S•••••••• for C•••••• I••••••••• A••••••• S•••••••• L•• (registered 2025-01-07)Apr 14, 2025 · Advisor changed firm · fact
- S••••••• C•••••• S•••••••• reported RAUM $23.5M, down 99% from $2.8B (2022-03-16 to 2023-03-16)Mar 16, 2023 · 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.
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