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.
Former SEC-registered adviser
S•••••• A••••••• P•••••••• L••
Latest filing Mar 14, 2024
First filing on the tape Apr 2, 2014 · 17 filings
RAUM
$212M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
95%
$201M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$212M as of Mar 14, 2024
Feb 23, 2015$115M then
HNW client RAUM$176M as of Mar 14, 2024
Mar 23, 2018$118M then
State-registered IARs (5.B.3)2 as of Mar 14, 2024
Feb 23, 20154 then
Employees (5.A)2 as of Mar 14, 2024
Feb 23, 20155 then
Private funds: no history
RAUM +17% over the last fiscal year+4.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 14, 2024; every figure names its basis
- RAUM per advisor
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $574,911derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- +2.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, 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
- 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$176M83%
- Individuals$25.0M12%
- Corporations and businesses$8.2M3.9%
- Pension and profit-sharing plans$2.8M1.3%
- Individual clients
- 92reported
- HNW clients
- 66reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 368reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- D••••• J••••• H••••••••• to S••••• W••••• M•••••••••Oct 3, 2024 · RIA to RIA
- S•••••• A••••• H•••• to S••••• W••••• M•••••••••Oct 2, 2024 · RIA to RIA
- K•••• N••• M•••••• to C•••••• S••••• • C••• I•••Oct 30, 2020 · RIA to affiliated broker-dealer or bank
- A••••• D• J•••••• to S••••••••• A•••••• A•••••••• I•••Oct 30, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- S•••••• A••••• H•••• from M••••• S••••••Sep 22, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- K•••• N••• M•••••• from M••••• S••••••Sep 19, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- D••••• J••••• H••••••••• from M••••• S••••••Sep 19, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for S••••• W••••• M•••••••••Oct 2, 2024 · Louisville, Ky
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• D•••••• J••••• · Managing Member & Chief Compliance Officercontrolsince 09/2014 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 366 to 368Mar 24, 2023 to Mar 14, 2024
- Charity clients · unset to 0.0Mar 24, 2023 to Mar 14, 2024
- HNW clients · 60 to 66Mar 24, 2023 to Mar 14, 2024
- Individual clients · 94 to 92Mar 24, 2023 to Mar 14, 2024
- Pension plan clients · 0.0 to unsetMar 24, 2023 to Mar 14, 2024
- Discretionary RAUM · $178M to $205MMar 24, 2023 to Mar 14, 2024
- HNW RAUM · $141M to $176MMar 24, 2023 to Mar 14, 2024
- Individual RAUM · $31.0M to $25.0MMar 24, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $3.5M to $6.9MMar 24, 2023 to Mar 14, 2024
- Pension RAUM · $2.3M to $2.8MMar 24, 2023 to Mar 14, 2024
- RAUM · $181M to $212MMar 24, 2023 to Mar 14, 2024
- Accounts · 364 to 366Mar 17, 2022 to Mar 24, 2023
- Advisory employees · 3 to 2Mar 17, 2022 to Mar 24, 2023
- HNW clients · 44 to 60Mar 17, 2022 to Mar 24, 2023
- Individual clients · 78 to 94Mar 17, 2022 to Mar 24, 2023
- Employees · 3 to 2Mar 17, 2022 to Mar 24, 2023
- Discretionary RAUM · $200M to $178MMar 17, 2022 to Mar 24, 2023
- HNW RAUM · $166M to $141MMar 17, 2022 to Mar 24, 2023
- Individual RAUM · $27.1M to $31.0MMar 17, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $4.1M to $3.5MMar 17, 2022 to Mar 24, 2023
- Pension RAUM · $2.6M to $2.3MMar 17, 2022 to Mar 24, 2023
- RAUM · $204M to $181MMar 17, 2022 to Mar 24, 2023
- Accounts · 369 to 364Mar 16, 2021 to Mar 17, 2022
- Advisory employees · 2 to 3Mar 16, 2021 to Mar 17, 2022
- Charity clients · 1.0 to unsetMar 16, 2021 to Mar 17, 2022
- Corporate clients · 0.0 to unsetMar 16, 2021 to Mar 17, 2022
- HNW clients · 45 to 44Mar 16, 2021 to Mar 17, 2022
- Individual clients · 85 to 78Mar 16, 2021 to Mar 17, 2022
- Pension plan clients · 1 to 0Mar 16, 2021 to Mar 17, 2022
- Employees · 4 to 3Mar 16, 2021 to Mar 17, 2022
- Discretionary RAUM · $159M to $200MMar 16, 2021 to Mar 17, 2022
- HNW RAUM · $146M to $166MMar 16, 2021 to Mar 17, 2022
- Individual RAUM · $28.5M to $27.1MMar 16, 2021 to Mar 17, 2022
- Non-discretionary RAUM · $27.0M to $4.1MMar 16, 2021 to Mar 17, 2022
- Pension RAUM · $4.2M to $2.6MMar 16, 2021 to Mar 17, 2022
- RAUM · $186M to $204MMar 16, 2021 to Mar 17, 2022
- Accounts · 379 to 369Sep 16, 2020 to Mar 16, 2021
- Advisory employees · 3 to 2Sep 16, 2020 to Mar 16, 2021
- HNW clients · 43 to 45Sep 16, 2020 to Mar 16, 2021
- Individual clients · 90 to 85Sep 16, 2020 to Mar 16, 2021
Signals
5 dated events
- D••••• J••••• H••••••••• left S•••••• A••••••• P•••••••• L•• for S••••• W••••• M••••••••• (registered 2025-01-01)Oct 3, 2024 · Advisor changed firm · fact
- S•••••• A••••• H•••• left S•••••• A••••••• P•••••••• L•• for S••••• W••••• M••••••••• (registered 2024-10-01)Oct 2, 2024 · Advisor changed firm · fact
- 2 advisors left S•••••• A••••••• P•••••••• L•• (Louisville, KY) for S••••• W••••• M••••••••• a day apartOct 2, 2024 · Team lift-out · derived
- N••• K•••• M•••••• (Managing Member) no longer on Schedule A of S•••••• A••••••• P•••••••• L•• (listed 2018-03-23, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- M•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 2, 2014 · 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