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••••••• S••••••• L••
Latest filing May 15, 2025
First filing on the tape Jun 3, 2014 · 24 filings
SEC status approved since Jul 1, 2014
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$0 as of May 15, 2025
Mar 23, 2017$4.5M then
HNW client RAUM$5.2M as of Mar 18, 2019
Mar 1, 2018$5.8M then
State-registered IARs (5.B.3)2 as of May 15, 2025
Mar 25, 20150 then
Employees (5.A)8 as of May 15, 2025
Mar 25, 201522 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of May 15, 2025; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- subscription, otherreportedItem 5.E
- Advisory activities
- publications, 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)
- marketing includes hypothetical performance (5.L.3)
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
- 24reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• G••••• M••••••••• | S••••Sdale, Az | Oct 20, 2020 | 10 y | 1 |
| D••••• D••• V•••••• | Fort Collins, Co | Feb 3, 2025 | 13 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 headcount1 left over 36 months
Left, latest
- B•••• J•••• M••••• to B•••••• F•••••••• S••••••• G••••Mar 15, 2024 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• D••••• L•• · Director And Chairmancontrolsince 12/2000 · owns 25% to 50%
- B••••• J••••••• D•••• · Directorcontrolsince 09/2016 · owns less than 5%
- M••••••••• S••••• G••••• · Director (09/2016), Chief Executive Officer (11/2019), And Chief Compliance Officer (12/2023)controlsince 05/2016 · owns less than 5%
- B••••• D••••• L•• · Membercontrolsince 12/2000 · owns 75% or more of W•• I••••••••• L••
- H•••• E•••••• S•••••• · Ownercontrolsince 04/2004 · owns 75% or more of W••••••• C••••• L••
- A••••••• S••••• W•••••• · Membersince 11/2002 · owns 5% to 10%
- B••••••• K•••••••• · Director And Membersince 08/2014 · owns less than 5%
- B••••••••• K•••• · Membersince 01/2021 · owns 5% to 10%
- C••••• W••••••• W••• · Membersince 05/2003 · owns 5% to 10%
Entity owners
- W•• I••••••••• L•• · Memberdirect · owns 25% to 50%
- W••••••• C••••• L•• · Memberdirect · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| S••••Sdale, Az | 2 | 0 | 0 | ||
| Phoenix, Az | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Dec 23, 2024 to Mar 28, 2025
- Individual clients · unset to 24.0Dec 23, 2024 to Mar 28, 2025
- HQ city · unset to Dec 23, 2024 to Mar 28, 2025
- HQ state · unset to Dec 23, 2024 to Mar 28, 2025
- State-registered IARs · 1 to 2Dec 23, 2024 to Mar 28, 2025
- Discretionary RAUM · unset to 0.0Dec 23, 2024 to Mar 28, 2025
- Non-discretionary RAUM · unset to 0.0Dec 23, 2024 to Mar 28, 2025
- RAUM · unset to 0.0Dec 23, 2024 to Mar 28, 2025
- Advisory employees · 11 to 7Feb 22, 2023 to Mar 18, 2024
- Advisory activities · 5 to 3Feb 22, 2023 to Mar 18, 2024
- Employees · 11 to 8Feb 22, 2023 to Mar 18, 2024
- HQ city · PHOENIX to unsetFeb 22, 2023 to Mar 18, 2024
- HQ state · AZ to unsetFeb 22, 2023 to Mar 18, 2024
- State-registered IARs · 2 to 1Feb 22, 2023 to Mar 18, 2024
- Individual RAUM · unset to 0.0Feb 22, 2023 to Mar 18, 2024
- Employees · 14 to 11Nov 22, 2022 to Feb 22, 2023
- Individual RAUM · 0.0 to unsetNov 22, 2022 to Feb 22, 2023
- Advisory employees · 12 to 11Jan 26, 2022 to Mar 11, 2022
- Individual clients · 8.0 to unsetJan 26, 2022 to Mar 11, 2022
- Employees · 16 to 14Jan 26, 2022 to Mar 11, 2022
- Advisory employees · 18 to 12Jun 30, 2020 to Mar 1, 2021
- Individual clients · 14 to 8Jun 30, 2020 to Mar 1, 2021
- Employees · 21 to 16Jun 30, 2020 to Mar 1, 2021
- Accounts · 2.0 to unsetDec 20, 2019 to Feb 21, 2020
- Advisory employees · 9 to 18Dec 20, 2019 to Feb 21, 2020
- Individual clients · 22 to 14Dec 20, 2019 to Feb 21, 2020
- Employees · 16 to 21Dec 20, 2019 to Feb 21, 2020
- Discretionary RAUM · 5241850.0 to unsetDec 20, 2019 to Feb 21, 2020
- HNW RAUM · 5241850.0 to unsetDec 20, 2019 to Feb 21, 2020
- Non-discretionary RAUM · 0.0 to unsetDec 20, 2019 to Feb 21, 2020
- RAUM · 5241850.0 to unsetDec 20, 2019 to Feb 21, 2020
- Wrap assets (manager) · 5241850.0 to unsetDec 20, 2019 to Feb 21, 2020
- Wrap assets (sponsor) · 0.0 to unsetDec 20, 2019 to Feb 21, 2020
- HQ city · SANTA BARBARA to PHOENIXMar 18, 2019 to Dec 20, 2019
- HQ state · CA to AZMar 18, 2019 to Dec 20, 2019
- Other offices · 1 to 0Mar 18, 2019 to Dec 20, 2019
- Accounts · 1 to 2Mar 1, 2018 to Mar 18, 2019
- Advisory employees · 18 to 9Mar 1, 2018 to Mar 18, 2019
- Individual clients · 51 to 22Mar 1, 2018 to Mar 18, 2019
- Employees · 24 to 16Mar 1, 2018 to Mar 18, 2019
Signals
8 dated events
- S••••••• S••••••• L•• no longer on the SEC adviser roster (last listed 2025-06-02)Jul 1, 2025 · Left the SEC roster · derived
- James Brent Miller (Chief Compliance Officer) no longer on Schedule A of S••••••• S••••••• L•• (listed 2023-02-22, absent 2024-03-18)Mar 18, 2024 · Control person left · inference
- B•••• J•••• M••••• left S••••••• S••••••• L•• for B•••••• F•••••••• S••••••• G•••• (registered 2024-02-07)Mar 15, 2024 · Advisor changed firm · fact
- James Brent Miller (Chief Compliance Officer) appeared on Schedule A of S••••••• S••••••• L••Jan 26, 2022 · Control person joined · fact
- J. Raymond Chiarello (Chief Compliance Officer And Chief Financial Officer) no longer on Schedule A of S••••••• S••••••• L•• (listed 2021-03-01, absent 2022-01-26)Jan 26, 2022 · Control person left · inference
- Sue Carolyn Brown (Member) no longer on Schedule A of S••••••• S••••••• L•• (listed 2020-06-30, absent 2021-03-01)Mar 1, 2021 · Control person left · inference
- Danny Vickers (Chief Executive Officer) no longer on Schedule A of S••••••• S••••••• L•• (listed 2019-03-18, absent 2019-12-20)Dec 20, 2019 · Control person left · inference
- S••••••• S••••••• L•• filed its initial SEC registration (Form ADV)Jun 3, 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.
How to reach
public business contact points only, each with its source
- Website
- H••••://WWW.S•••••••••.COMreportedpublic record, Form ADV, Sep 18, 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
- 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