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•••••• F••••••••• L••
Latest filing Jun 26, 2026
First filing on the tape Oct 8, 2024 · 6 filings
SEC status approved since Nov 12, 2024
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$151M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$50.4M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$151M as of Jun 26, 2026
Jan 9, 2025$107M then
HNW client RAUM$137M as of Jun 26, 2026
Jan 9, 2025$90.2M then
State-registered IARs (5.B.3)3 as of Jun 26, 2026
Jan 9, 20251 then
Employees (5.A)4 as of Jun 26, 2026
Jan 9, 20253 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Jun 26, 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
- $50.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $298,426derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $93.1M, 65 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$137M90%
- Individuals$14.4M9.5%
- Individual clients
- 27reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 507reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $93.1M for 65 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• B•••••• G••••••Certified Financial Planner | Austin, Tx | Jan 4, 2012 | 17 y | 0 |
| N••••••• E••••• P•••••Certified Financial Planner | Richland, Wa | Nov 30, 2021 | 12 y | 1 |
| B••••••• Z•• M•• Y••••Certified Financial Planner | Silver Spring, Md | Jan 28, 2025 | 17 y | 1 |
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
- B••••••• Z•• M•• Y•••• from F•• W••••• M•••••••••Jan 28, 2025 · RIA to RIA
- N••••••• E••••• P••••• from V••••••• A•••••••• I•••Nov 30, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• P•••••• B•••••• · Principal/Ccocontrolsince 01/2011 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Austin, Tx | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Jun 26, 2026custody of client assets (Item 9.A): no on the filing of 2026-03-23, yes on the filing of 2026-06-26peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Assets in custody · unset to 93140902.0Mar 23, 2026 to Jun 26, 2026
- Custody of client assets · false to trueMar 23, 2026 to Jun 26, 2026
- Accounts · 427 to 507Oct 7, 2025 to Mar 23, 2026
- Advisory employees · 2 to 3Oct 7, 2025 to Mar 23, 2026
- Advisory activities · 4 to 2Oct 7, 2025 to Mar 23, 2026
- HNW clients · 39 to 49Oct 7, 2025 to Mar 23, 2026
- Individual clients · 32 to 27Oct 7, 2025 to Mar 23, 2026
- Employees · 3 to 4Oct 7, 2025 to Mar 23, 2026
- State-registered IARs · 2 to 3Oct 7, 2025 to Mar 23, 2026
- Discretionary RAUM · $117M to $151MOct 7, 2025 to Mar 23, 2026
- HNW RAUM · $98.8M to $137MOct 7, 2025 to Mar 23, 2026
- Individual RAUM · $18.1M to $14.4MOct 7, 2025 to Mar 23, 2026
- RAUM · $117M to $151MOct 7, 2025 to Mar 23, 2026
- Accounts · 385 to 427Jan 9, 2025 to Apr 29, 2025
- Advisory employees · 1 to 2Jan 9, 2025 to Apr 29, 2025
- HNW clients · 35 to 39Jan 9, 2025 to Apr 29, 2025
- Individual clients · 33 to 32Jan 9, 2025 to Apr 29, 2025
- Financial planning clients · 101-250 to 101-250Jan 9, 2025 to Apr 29, 2025
- State-registered IARs · 1 to 2Jan 9, 2025 to Apr 29, 2025
- Discretionary RAUM · $107M to $117MJan 9, 2025 to Apr 29, 2025
- HNW RAUM · $90.2M to $98.8MJan 9, 2025 to Apr 29, 2025
- Individual RAUM · $17.0M to $18.1MJan 9, 2025 to Apr 29, 2025
- RAUM · $107M to $117MJan 9, 2025 to Apr 29, 2025
- HQ city · unset to Oct 8, 2024 to Jan 9, 2025
- HQ state · unset to Oct 8, 2024 to Jan 9, 2025
Signals
1 dated events
- S•••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Oct 8, 2024 · 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
- Business email
- b••••••@s•••••••••.coreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 512-814-7258reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- S••••••FINANCIAL.COreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 512-814-7258reportedpublic record, Form ADV, Jun 26, 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
- $50.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026