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•••••••••
Latest filing Mar 30, 2026
First filing on the tape Feb 14, 2012 · 16 filings
SEC status approved since Mar 30, 2012
RAUM
$4.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$4.8B as of Mar 30, 2026
Mar 12, 2013$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 12, 20130 then
Employees (5.A)4 as of Mar 30, 2026
Mar 12, 20137 then
Private funds: no history
RAUM +15% over the last fiscal year+22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $219MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 95%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Custody
- $3.9B, 22 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$4.6B95%
- Corporations and businesses$229M4.8%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 22reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.9B for 22 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.95 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• J••••• M••••• · Shareholdercontrolsince 12/1982 · owns 25% to 50% of T•• P••••••• R••• C•••••• I•••••••••
- B•••••• J••••• N••••• · Directorsince 06/1987 · owns less than 5%
- C•••••• F••••••••• C••••• · Director And Chief Compliance Officersince 08/1999 · owns less than 5%
- H••••••••• W••••••• D••••• · Directorsince 06/2018 · owns less than 5%
- M••••••• A•••••• A•••••• · Directorsince 02/2022 · owns less than 5%
Entity owners
- T•• P••••••• R••• C•••••• I••••••••• · Shareholderdirect · owns 75% or more
- C•••••• S••••••••• C••••••••• · Shareholderindirect · owns 25% to 50% of T•• P••••••• R••• C•••••• I••••••••• · public reporting company
Related persons
Schedule D 7.A
- B••••• H••• I•••••••• C••••••• C••••••real estaten
- B••••• H••• I•••••••• C••••••real estaten
- B••••• H••• P•••••••• I•••••••• C••••••real estaten
- B••••• H••• P••••••• I•••••••• C••••••real estaten
- M•• W••••••••• A•••••••• C•••••••••real estaten
- P•••••• I•••••••• C••••••real estatey
- P••••••• R••• A•••••••• C•••••••••real estaten
- P••••••• R••• A•••••••• C••••••••• O• N•• Y•••real estaten
- P••••••• R••• A•••••••• P•••••••• C•••••••••real estaten
- P••••••• R••• H••• A•••••••• C•••••••••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $3.0B to $3.9BMar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $4.2B to $4.8BMar 28, 2025 to Mar 30, 2026
- RAUM · $4.2B to $4.8BMar 28, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $3.9B to $4.2BMar 29, 2024 to Mar 28, 2025
- RAUM · $3.9B to $4.2BMar 29, 2024 to Mar 28, 2025
- Assets in custody · $2.7B to $3.0BMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.7B to $3.9BMar 31, 2023 to Mar 29, 2024
- RAUM · $2.7B to $3.9BMar 31, 2023 to Mar 29, 2024
- Assets in custody · $3.1B to $2.7BMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $3.2B to $2.7BMar 31, 2022 to Mar 31, 2023
- RAUM · $3.2B to $2.7BMar 31, 2022 to Mar 31, 2023
- Assets in custody · $2.7B to $3.1BMar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $2.8B to $3.2BMar 31, 2021 to Mar 31, 2022
- RAUM · $2.8B to $3.2BMar 31, 2021 to Mar 31, 2022
- Assets in custody · $2.9B to $2.7BMar 31, 2020 to Mar 31, 2021
- Discretionary RAUM · $2.9B to $2.8BMar 31, 2020 to Mar 31, 2021
- RAUM · $2.9B to $2.8BMar 31, 2020 to Mar 31, 2021
- Accounts · 20 to 22Mar 29, 2019 to Mar 31, 2020
- Assets in custody · $2.4B to $2.9BMar 29, 2019 to Mar 31, 2020
- Employees · 5 to 4Mar 29, 2019 to Mar 31, 2020
- Discretionary RAUM · $2.4B to $2.9BMar 29, 2019 to Mar 31, 2020
- RAUM · $2.4B to $2.9BMar 29, 2019 to Mar 31, 2020
- Accounts · 18 to 20Mar 30, 2018 to Mar 29, 2019
- Assets in custody · $2.3B to $2.4BMar 30, 2018 to Mar 29, 2019
- Discretionary RAUM · $2.3B to $2.4BMar 30, 2018 to Mar 29, 2019
- RAUM · $2.3B to $2.4BMar 30, 2018 to Mar 29, 2019
- Assets in custody · $2.1B to $2.3BMar 31, 2017 to Mar 30, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 30, 2018
- Discretionary RAUM · $2.1B to $2.3BMar 31, 2017 to Mar 30, 2018
- RAUM · $2.1B to $2.3BMar 31, 2017 to Mar 30, 2018
- Accounts · 15 to 18Mar 29, 2016 to Mar 31, 2017
- Assets in custody · $1.9B to $2.1BMar 29, 2016 to Mar 31, 2017
- Discretionary RAUM · $1.9B to $2.1BMar 29, 2016 to Mar 31, 2017
- RAUM · $1.9B to $2.1BMar 29, 2016 to Mar 31, 2017
- Advisory employees · 3 to 2Mar 25, 2015 to Mar 29, 2016
- Assets in custody · $1.9B to $1.9BMar 25, 2015 to Mar 29, 2016
- Discretionary RAUM · $1.9B to $1.9BMar 25, 2015 to Mar 29, 2016
- RAUM · $1.9B to $1.9BMar 25, 2015 to Mar 29, 2016
- Accounts · 25 to 15Mar 14, 2014 to Mar 25, 2015
Signals
1 dated events
- S•• C••••••••• reported RAUM $3.9B, up 46% from $2.7B (2023-03-31 to 2024-03-29)Mar 29, 2024 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 857-205-1697reportedpublic record, Form ADV, Mar 30, 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
- Institutional managerderiveda 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