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•••••• P•••••••• M••••••••• L••

Former SEC-registered adviserIndianapolis, IndianaCRD 173077SEC 801-80337IAPD
Latest filing Aug 19, 2016
First filing on the tape Sep 9, 2014 · 7 filings
RAUM
$2.5M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$2.5M as of Mar 30, 2016
Mar 25, 2015$2.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 30, 2016
Mar 25, 20153 then
Employees (5.A)3 as of Mar 30, 2016
Mar 25, 20153 then
Private funds: no history
RAUM +6.2% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Aug 19, 2016; every figure names its basis
RAUM per advisor
$825,000derivedRAUM 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
$91,667derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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
  • 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)
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
27reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••••• J•••••• G••••• · Chief Compliance Officercontrol
    since 08/2016 · owns less than 5%
  • S••••••• W••••••• S••••• · Managing Directorcontrol
    since 09/2014 · owns less than 5%
  • S••••••• J•••••• G••••• · Membercontrol
    since 08/2016 · owns 25% to 50% of S•••••• Holding Company, LLC
  • S••••••• W••••••• S••••• · Membercontrol
    since 09/2014 · owns 50% to 75% of S•••••• Holding Company, LLC
Entity owners
  • S•••••• H•••••• C••••••••• · Member
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Related adviser · true to false
    Mar 30, 2016 to Aug 19, 2016
  • Accounts · 33 to 27
    Mar 25, 2015 to Mar 30, 2016
  • Discretionary RAUM · $2.3M to $2.5M
    Mar 25, 2015 to Mar 30, 2016
  • RAUM · $2.3M to $2.5M
    Mar 25, 2015 to Mar 30, 2016
  • Accounts · 0 to 33
    Oct 7, 2014 to Mar 25, 2015
  • Discretionary RAUM · $0 to $2.3M
    Oct 7, 2014 to Mar 25, 2015
  • RAUM · $0 to $2.3M
    Oct 7, 2014 to Mar 25, 2015
  • Advisory employees · 1 to 3
    Oct 6, 2014 to Oct 7, 2014
  • Employees · 1 to 3
    Oct 6, 2014 to Oct 7, 2014
  • Insurance-licensed employees · 0 to 2
    Oct 6, 2014 to Oct 7, 2014
  • State-registered IARs · 1 to 3
    Oct 6, 2014 to Oct 7, 2014
  • Accounts · unset to 0.0
    Sep 9, 2014 to Oct 6, 2014
  • Employees · 2 to 1
    Sep 9, 2014 to Oct 6, 2014
  • State-registered IARs · 2 to 1
    Sep 9, 2014 to Oct 6, 2014
  • Discretionary RAUM · unset to 0.0
    Sep 9, 2014 to Oct 6, 2014
  • Non-discretionary RAUM · unset to 0.0
    Sep 9, 2014 to Oct 6, 2014
  • RAUM · unset to 0.0
    Sep 9, 2014 to Oct 6, 2014
Signals
1 dated events
  • S•••••• P•••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Sep 9, 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