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•••••• M••••••••• L••

Former SEC-registered adviserSpringfield, MissouriCRD 164818SEC 801-76895IAPD
Latest filing Feb 25, 2016
First filing on the tape Jul 2, 2012 · 7 filings
RAUM
$9.8M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$9.8M as of Feb 25, 2016
Mar 5, 2013$600,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 25, 2016
Mar 5, 20132 then
Employees (5.A)2 as of Feb 25, 2016
Mar 5, 20133 then
Private funds: no history
RAUM -27% over the last fiscal year+154% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 25, 2016; every figure names its basis
RAUM per advisor
$4.9MderivedRAUM 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
$9.8MderivedRAUM 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
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-27%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • O••••• M••••••• J•••• · Chief Compliance Officer And Managercontrol
      since 04/2012 · owns less than 5%
    • V••••• T•••••• M•••••• · Managercontrol
      since 04/2012 · owns less than 5%
    • O••••• M••••••• J•••• · Chief Compliance Officer, Managing Membercontrol
      since 06/2008 · owns F of S••••••••• Asset Management, LLC
    • V••••• T•••••• M•••••• · Chief Investment Officer, Managing Membercontrol
      since 06/2008 · owns F of S••••••••• Asset Management, LLC
    Entity owners
    • S••••••••• A•••• M••••••••• L•• · Member
      direct · owns 75% or more
    • P••••••• M••••••••• S•••••••• L•• · Manager
      indirect · owns F of P••••••• P•••••• E••••• F••• I• L••
    • P••••••• P•••••• E••••• F••• I• L•• · Member
      direct · owns 5% to 10%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Port Washington, WI
    What changed
    consecutive filings, newest first
    • Discretionary RAUM · $13.5M to $9.8M
      Mar 27, 2015 to Feb 25, 2016
    • RAUM · $13.5M to $9.8M
      Mar 27, 2015 to Feb 25, 2016
    • Employees · 3 to 2
      Jul 23, 2014 to Mar 27, 2015
    • Discretionary RAUM · $12.1M to $13.5M
      Jul 23, 2014 to Mar 27, 2015
    • RAUM · $12.1M to $13.5M
      Jul 23, 2014 to Mar 27, 2015
    • Discretionary RAUM · $10.0M to $12.1M
      Mar 31, 2014 to Jul 23, 2014
    • RAUM · $10.0M to $12.1M
      Mar 31, 2014 to Jul 23, 2014
    • Advisory employees · 3 to 2
      Feb 20, 2014 to Mar 31, 2014
    • Discretionary RAUM · $600,000 to $10.0M
      Feb 20, 2014 to Mar 31, 2014
    • RAUM · $600,000 to $10.0M
      Feb 20, 2014 to Mar 31, 2014
    • Accounts · 0 to 1
      Jul 2, 2012 to Mar 5, 2013
    • Advisory employees · unset to 3.0
      Jul 2, 2012 to Mar 5, 2013
    • BD registered reps · unset to 0.0
      Jul 2, 2012 to Mar 5, 2013
    • Employees · unset to 3.0
      Jul 2, 2012 to Mar 5, 2013
    • Financial planning clients · unset to 0
      Jul 2, 2012 to Mar 5, 2013
    • State-registered IARs · unset to 2.0
      Jul 2, 2012 to Mar 5, 2013
    • Discretionary RAUM · $0 to $600,000
      Jul 2, 2012 to Mar 5, 2013
    • RAUM · $0 to $600,000
      Jul 2, 2012 to Mar 5, 2013
    Signals
    1 dated events
    • S••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Jul 2, 2012 · 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.
    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