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•••••• M•••••••••
Legal name S••••••••• A•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Dec 20, 2013 · 30 filings
SEC status approved since Nov 20, 2013
RAUM
$1.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.6B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
23
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.6B as of Mar 26, 2026
Jan 6, 2015$422M then
HNW client RAUM$1.2B as of Mar 26, 2026
Jan 5, 2018$175M then
State-registered IARs (5.B.3)13 as of Mar 26, 2026
Jan 6, 201511 then
Employees (5.A)23 as of Mar 26, 2026
Jan 6, 201517 then
Private funds: no history
RAUM +17% over the last fiscal year+19% a year over threeIARs 13 to 13
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 178derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $380,153derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 15.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +30%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $123M, 219 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B73%
- Individuals$446M27%
- Individual clients
- 1,932reported
- HNW clients
- 732reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4,323reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $123M for 219 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=13.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I•• A••••••••• | Annapolis, Md | Jan 15, 2014 | 29 y | 1 |
| S•••• J••••• W•••••Certified Financial Planner | Annapolis, Md | Jan 15, 2014 | 26 y | 1 |
| J•••• F•••••••• S••••••• | Annapolis, Md | Jan 15, 2014 | 24 y | 1 |
| G•••••• S•••••••• O••••••••Certified Financial Planner | Annapolis, Md | Jan 15, 2014 | 23 y | 1 |
| J••••••• W••••• S••••••Certified Financial Planner | Annapolis, Md | Jan 15, 2014 | 18 y | 1 |
| D•••• A•••• S•••••••Certified Financial Planner | Annapolis, Md | Jan 15, 2014 | 15 y | 2 |
| D•••• A••• H••••• | Annapolis, Md | Jan 15, 2014 | 30 y | 2 |
| R••• A•••••••• A••••• | Annapolis, Md | Jan 15, 2014 | 25 y | 1 |
| J••••• P••• G••••••••Certified Financial Planner | Annapolis, Md | Jan 16, 2014 | 21 y | 1 |
| S••••••• C•••••••• H•••••Certified Financial Planner | Annapolis, Md | Jul 6, 2018 | 11 y | 1 |
| J•••••• M•••••• C••••••Certified Financial Planner | Annapolis, Md | Aug 28, 2018 | 11 y | 1 |
| M•••••• J••• Z••••••••Certified Financial Planner | Annapolis, Md | Jun 23, 2022 | 14 y | 0 |
| R•••• M•••••• C••••• | Annapolis, Md | Dec 11, 2024 | 25 y | 1 |
| R••••• J••••• R•••••• | Annapolis, Md | Dec 4, 2025 | 11 y | 0 |
| D•••• P•••••• S•••••••• | Annapolis, Md | Feb 4, 2026 | 12 y | 0 |
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
- C••••••• G•••• H•••••• to A••••••••• F•••••••• S•••••••• L••Mar 8, 2023 · RIA to affiliated broker-dealer or bank
- S•••••• M• P•••• to R•••••• J•••• • A••••••••• I•••Feb 6, 2023 · RIA to affiliated broker-dealer or bank
- M•••••• C•••••• to U•• F•••••••• S••••••• I•••Jun 15, 2021 · RIA to wirehouse
- J••• M••••• B••••••• to R••••••••• M••••••••• S••••••Dec 31, 2018 · RIA to RIA
Joined, latest
- R•••• M•••••• C••••• from E•••••••• A•••••••• L••Dec 11, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•••••• M•••••• C•••••• from S•• I••••••••• I•••Aug 28, 2018 · Affiliated broker-dealer or bank to independent RIA
- S••••••• C•••••••• H••••• from S•• I••••••••• I•••Jul 6, 2018 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S•• I••••••••• I•••Dec 31, 2017 · Annapolis, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• R•••• A•••••••• · Membercontrolsince 10/2013 · owns 10% to 25%
- A••••••••• I•• · Managing Membercontrolsince 10/2013 · owns 10% to 25%
- C•••••• R••••• M•••••• · Chief Compliance Officercontrolsince 02/2025 · owns less than 5%
- O••••••••• G••••••• S•••••••• · Membercontrolsince 10/2013 · owns 10% to 25%
- S•••••••• J••••• F•••••••• · Membercontrolsince 10/2013 · owns 10% to 25%
- W•••••• S••••• J••••• · Membercontrolsince 10/2013 · owns 10% to 25%
- P••••• C••••••••• L•• · Chief Compliance Officersince 09/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Annapolis, Md · principal | 15 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 26, 2026broker-dealer affiliate (Item 7.A.1): no on the filing of 2026-01-08, yes on the filing of 2026-03-26peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 26, 2026C•••••• R••••• M•••••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-10-01 and 2026-03-26peers: independent wealth managers, $1B to $5B (1,362)
- account count surgeChange between filings · filing Mar 26, 2026accounts (Item 5.F.2.f) moved from 2,056.0 to 4,323.0 (+110.0%) between the annual amendments of 2025-04-01 and 2026-03-26; the peer median change was +6.0% (1206 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 2,056 to 4,323Jan 8, 2026 to Mar 26, 2026
- HNW clients · 816 to 732Jan 8, 2026 to Mar 26, 2026
- Individual clients · 1,240 to 1,932Jan 8, 2026 to Mar 26, 2026
- Assets in custody · $361M to $123MJan 8, 2026 to Mar 26, 2026
- Discretionary RAUM · $1.4B to $1.6BJan 8, 2026 to Mar 26, 2026
- HNW RAUM · $945M to $1.2BJan 8, 2026 to Mar 26, 2026
- Individual RAUM · $455M to $446MJan 8, 2026 to Mar 26, 2026
- RAUM · $1.4B to $1.6BJan 8, 2026 to Mar 26, 2026
- Related broker-dealer · false to trueJan 8, 2026 to Mar 26, 2026
- Accounts · 3,924 to 2,056Oct 1, 2024 to Apr 1, 2025
- Advisory employees · 10 to 13Oct 1, 2024 to Apr 1, 2025
- BD registered reps · 16 to 13Oct 1, 2024 to Apr 1, 2025
- HNW clients · 629 to 816Oct 1, 2024 to Apr 1, 2025
- Individual clients · 2,763 to 1,240Oct 1, 2024 to Apr 1, 2025
- Assets in custody · unset to 360537926.0Oct 1, 2024 to Apr 1, 2025
- Custody of client assets · false to trueOct 1, 2024 to Apr 1, 2025
- Employees · 19 to 23Oct 1, 2024 to Apr 1, 2025
- Financial planning clients · 1-10 to 1-10Oct 1, 2024 to Apr 1, 2025
- State-registered IARs · 16 to 13Oct 1, 2024 to Apr 1, 2025
- Discretionary RAUM · $1.2B to $1.4BOct 1, 2024 to Apr 1, 2025
- HNW RAUM · $631M to $945MOct 1, 2024 to Apr 1, 2025
- Individual RAUM · $563M to $455MOct 1, 2024 to Apr 1, 2025
- RAUM · $1.2B to $1.4BOct 1, 2024 to Apr 1, 2025
- Accounts · 3,820 to 3,924Dec 4, 2023 to Mar 27, 2024
- HNW clients · 336 to 629Dec 4, 2023 to Mar 27, 2024
- Individual clients · 2,350 to 2,763Dec 4, 2023 to Mar 27, 2024
- Discretionary RAUM · $987M to $1.2BDec 4, 2023 to Mar 27, 2024
- HNW RAUM · $503M to $631MDec 4, 2023 to Mar 27, 2024
- Individual RAUM · $484M to $563MDec 4, 2023 to Mar 27, 2024
- RAUM · $987M to $1.2BDec 4, 2023 to Mar 27, 2024
- Accounts · 3,586 to 3,820Oct 31, 2022 to Apr 10, 2023
- Advisory employees · 16 to 10Oct 31, 2022 to Apr 10, 2023
- BD registered reps · 12 to 16Oct 31, 2022 to Apr 10, 2023
- HNW clients · 469 to 336Oct 31, 2022 to Apr 10, 2023
- Individual clients · 2,067 to 2,350Oct 31, 2022 to Apr 10, 2023
- State-registered IARs · 11 to 16Oct 31, 2022 to Apr 10, 2023
- Discretionary RAUM · $1.1B to $987MOct 31, 2022 to Apr 10, 2023
- HNW RAUM · $564M to $503MOct 31, 2022 to Apr 10, 2023
- Individual RAUM · $521M to $484MOct 31, 2022 to Apr 10, 2023
- RAUM · $1.1B to $987MOct 31, 2022 to Apr 10, 2023
Signals
10 dated events
- Anne Jill Veenstra (Chief Compliance Officer) no longer on Schedule A of S••••••••• C•••••• M••••••••• (listed 2024-04-15, absent 2024-07-12)Jul 12, 2024 · Control person left · inference
- Anne Jill Veenstra (Chief Compliance Officer) appeared on Schedule A of S••••••••• C•••••• M•••••••••Apr 15, 2024 · Control person joined · fact
- V Kevin Kirk (Chief Compliance Officer) no longer on Schedule A of S••••••••• C•••••• M••••••••• (listed 2022-10-31, absent 2023-04-10)Apr 10, 2023 · Control person left · inference
- C••••••• G•••• H•••••• left S••••••••• C•••••• M••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-03-13)Mar 8, 2023 · Advisor changed firm · fact
- S•••••• M• P•••• left S••••••••• C•••••• M••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2023-04-20)Feb 6, 2023 · Advisor changed firm · fact
- V Kevin Kirk (Chief Compliance Officer) appeared on Schedule A of S••••••••• C•••••• M•••••••••Aug 23, 2022 · Control person joined · fact
- Ezzat Candice Davis (Chief Compliance Officer) no longer on Schedule A of S••••••••• C•••••• M••••••••• (listed 2022-03-23, absent 2022-08-23)Aug 23, 2022 · Control person left · inference
- S••••••••• C•••••• M••••••••• reported RAUM $769.4M, up 27% from $607.9M (2019-06-27 to 2020-01-22)Jan 22, 2020 · RAUM change · derived
- S••••••••• C•••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 20, 2013 · Succession (Item 4) · fact
- S••••••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Dec 20, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 410-573-5700reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 410-573-5708reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-200-3870reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/scmadvicereportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••://WWW.SCMADVICE.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 410-573-5700reportedpublic record, Form ADV, Mar 26, 2026
- Team page
- scmadvice.com/who-we-are/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026