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••••••••• S•••••••• P••• L•••

Former SEC-registered adviserS••••••••, CRD 169282SEC 801-78682IAPD
Latest filing Jul 31, 2017
First filing on the tape Oct 4, 2013 · 9 filings
RAUM
$699M
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
7
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$519M gross assets
History
9 filings and snapshots on the tape
RAUM$699M as of Jun 6, 2017
Jun 30, 2014$836M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 6, 2017
Jun 30, 20140 then
Employees (5.A)7 as of Jun 6, 2017
Jun 30, 20144 then
Private funds1 as of Jun 6, 2017
Jun 30, 20141 then
RAUM +12% over the last fiscal year-5.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 31, 2017; every figure names its basis
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
$233MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
+12%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 assets, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • J••••••• D••••••• R••••• A••••• · Shareholdercontrol
        since 06/2007 · owns 75% or more of A•• V••••••• L••••••
      • R••••••••• J••••• W•••••• · Shareholdercontrol
        since 01/1999 · owns 75% or more of S••••••• L••••••
      • R••••••••• E•••••• M•••••••• · Shareholdercontrol
        since 12/2011 · owns 75% or more of A••••• L••••••
      • D•••••• R•••••• D•••••• C•••••• · Chief Compliance Officer
        since 07/2013 · owns less than 5%
      • H••• T••••••• G••••• N••••••• · Director
        since 08/2013 · owns less than 5%
      • J••••••• D••••••• R••••• A••••• · Director
        since 05/2014 · owns less than 5%
      • R••••••••• J••••• W•••••• · Director
        since 04/2008 · owns less than 5%
      Entity owners
      • S••••••• C•••••• M••••••••• L•••••• · Shareholder
        direct · owns 75% or more
      • A••••• L•••••• · Shareholder
        indirect · owns 25% to 50% of S••••••• C•••••• M••••••••• L••••••
      • A•• V••••••• L•••••• · Shareholder
        indirect · owns 25% to 50% of S••••••• C•••••• M••••••••• L••••••
      • S••••••• L•••••• · Shareholder
        indirect · owns 25% to 50% of S••••••• C•••••• M••••••••• L••••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $627M to $699M
        Aug 26, 2016 to Jun 6, 2017
      • RAUM · $627M to $699M
        Aug 26, 2016 to Jun 6, 2017
      • Accounts · 5 to 3
        Jun 26, 2015 to Jun 24, 2016
      • Advisory employees · 4 to 6
        Jun 26, 2015 to Jun 24, 2016
      • Employees · 5 to 7
        Jun 26, 2015 to Jun 24, 2016
      • Discretionary RAUM · $882M to $627M
        Jun 26, 2015 to Jun 24, 2016
      • RAUM · $882M to $627M
        Jun 26, 2015 to Jun 24, 2016
      • Advisory employees · 3 to 4
        Jun 30, 2014 to Jun 26, 2015
      • Employees · 4 to 5
        Jun 30, 2014 to Jun 26, 2015
      • Discretionary RAUM · $836M to $882M
        Jun 30, 2014 to Jun 26, 2015
      • RAUM · $836M to $882M
        Jun 30, 2014 to Jun 26, 2015
      • Accounts · 1 to 5
        Jan 8, 2014 to Jun 30, 2014
      • Employees · 5 to 4
        Jan 8, 2014 to Jun 30, 2014
      • Discretionary RAUM · $523M to $836M
        Jan 8, 2014 to Jun 30, 2014
      • RAUM · $523M to $836M
        Jan 8, 2014 to Jun 30, 2014
      • Accounts · unset to 1.0
        Oct 4, 2013 to Jan 8, 2014
      • Advisory employees · 4 to 3
        Oct 4, 2013 to Jan 8, 2014
      • Advisory activities · 1 to 3
        Oct 4, 2013 to Jan 8, 2014
      • Employees · 6 to 5
        Oct 4, 2013 to Jan 8, 2014
      • Private funds · unset to 1
        Oct 4, 2013 to Jan 8, 2014
      • Discretionary RAUM · unset to 522857869.0
        Oct 4, 2013 to Jan 8, 2014
      • Non-discretionary RAUM · unset to 0.0
        Oct 4, 2013 to Jan 8, 2014
      • RAUM · unset to 522857869.0
        Oct 4, 2013 to Jan 8, 2014
      Signals
      1 dated events
      • S••••••• C•••••• M••••••••• S•••••••• P••• L••• filed its initial SEC registration (Form ADV)
        Oct 4, 2013 · 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