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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••• H••••• F••••••••• L••
Latest filing Mar 29, 2026
First filing on the tape Jun 1, 2021 · 10 filings
SEC status approved since Jun 29, 2021
RAUM
$130M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$130M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$43.3M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$130M as of Mar 29, 2026
Feb 4, 2022$111M then
HNW client RAUM$77.8M as of Mar 29, 2026
Feb 4, 2022$53.6M then
State-registered IARs (5.B.3)3 as of Mar 29, 2026
Feb 4, 20221 then
Employees (5.A)5 as of Mar 29, 2026
Feb 4, 20221 then
Private funds: no history
RAUM -1.6% over the last fiscal year+6.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 29, 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
- 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
- RAUM per advisor
- $43.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $221,598derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- High-net-worth individuals$77.8M60%
- Individuals$52.0M40%
- Individual clients
- 269reported
- HNW clients
- 77reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 586reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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 |
|---|---|---|---|---|
| S•••• R••• M•••••••• | Pensacola, Fl | Aug 19, 2015 | 15 y | 1 |
| H••••• B•••• M••••••• | St. Simons Island, Ga | Mar 20, 2023 | 35 y | 4 |
| K••• A••••• H•••• | Pensacola, Fl | Feb 21, 2024 | 10 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
- K••• A••••• H•••• from A••••••••• F•••••••• S•••••••• L••Feb 21, 2024 · Affiliated broker-dealer or bank to independent RIA
- H••••• B•••• M••••••• from A••••••••• F•••••••• S•••••••• L••Mar 20, 2023 · Affiliated broker-dealer or bank to independent RIA
- S•••• R••• M•••••••• from C••••••••• C•••••• M••••••••• L••Aug 19, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• S••••• R••• · Chief Compliance Officer/Managing Membercontrolsince 04/2018 · owns 75% or more
Related persons
Schedule D 7.A
- S••• H••••• T•• A•••••••• L••real estatey
Advisers that list S••• H••••• F••••••••• L•• as a related person
- 331518 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pensacola, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Fairhope, AL1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 530 to 586Mar 28, 2025 to Mar 29, 2026
- HNW clients · 31 to 77Mar 28, 2025 to Mar 29, 2026
- Individual clients · 287 to 269Mar 28, 2025 to Mar 29, 2026
- Discretionary RAUM · $132M to $130MMar 28, 2025 to Mar 29, 2026
- HNW RAUM · $64.7M to $77.8MMar 28, 2025 to Mar 29, 2026
- Individual RAUM · $67.3M to $52.0MMar 28, 2025 to Mar 29, 2026
- RAUM · $132M to $130MMar 28, 2025 to Mar 29, 2026
- Accounts · 462 to 530Jan 23, 2024 to Mar 28, 2025
- HNW clients · 35 to 31Jan 23, 2024 to Mar 28, 2025
- Individual clients · 257 to 287Jan 23, 2024 to Mar 28, 2025
- Insurance-licensed employees · 0 to 1Jan 23, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Jan 23, 2024 to Mar 28, 2025
- Discretionary RAUM · $113M to $132MJan 23, 2024 to Mar 28, 2025
- HNW RAUM · $60.4M to $64.7MJan 23, 2024 to Mar 28, 2025
- Individual RAUM · $52.1M to $67.3MJan 23, 2024 to Mar 28, 2025
- RAUM · $113M to $132MJan 23, 2024 to Mar 28, 2025
- Related adviser · false to trueJan 23, 2024 to Mar 28, 2025
- Accounts · 486 to 462Aug 15, 2023 to Jan 23, 2024
- Advisory employees · 2 to 3Aug 15, 2023 to Jan 23, 2024
- HNW clients · 23 to 35Aug 15, 2023 to Jan 23, 2024
- Individual clients · 267 to 257Aug 15, 2023 to Jan 23, 2024
- Employees · 4 to 5Aug 15, 2023 to Jan 23, 2024
- State-registered IARs · 2 to 3Aug 15, 2023 to Jan 23, 2024
- Discretionary RAUM · $106M to $113MAug 15, 2023 to Jan 23, 2024
- HNW RAUM · $49.7M to $60.4MAug 15, 2023 to Jan 23, 2024
- Individual RAUM · $56.4M to $52.1MAug 15, 2023 to Jan 23, 2024
- RAUM · $106M to $113MAug 15, 2023 to Jan 23, 2024
- Advisory employees · 1 to 2Jan 30, 2023 to Mar 16, 2023
- Employees · 3 to 4Jan 30, 2023 to Mar 16, 2023
- State-registered IARs · 1 to 2Jan 30, 2023 to Mar 16, 2023
- Other offices · 1 to 2Jan 30, 2023 to Mar 16, 2023
- Accounts · 531 to 486Oct 11, 2022 to Jan 30, 2023
- HNW clients · 25 to 23Oct 11, 2022 to Jan 30, 2023
- Individual clients · 280 to 267Oct 11, 2022 to Jan 30, 2023
- Discretionary RAUM · $110M to $106MOct 11, 2022 to Jan 30, 2023
- HNW RAUM · $51.8M to $49.7MOct 11, 2022 to Jan 30, 2023
- Individual RAUM · $57.9M to $56.4MOct 11, 2022 to Jan 30, 2023
- RAUM · $110M to $106MOct 11, 2022 to Jan 30, 2023
- Accounts · 489 to 531Feb 4, 2022 to Oct 11, 2022
- HNW clients · 24 to 25Feb 4, 2022 to Oct 11, 2022
Signals
1 dated events
- S••• H••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Jun 1, 2021 · 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
- 866-917-7327reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- r•••••••••.orgreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 850-435-4844reportedpublic record, Form ADV, Mar 29, 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
- $43.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026