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••••• F••••••••

Former SEC-registered adviserHunt Valley, MarylandCRD 281050SEC 801-120644website IAPD

Legal name S••••• I••••••••• A•••••••• I•••

Latest filing May 27, 2025

First filing on the tape Feb 26, 2021 · 19 filings

SEC status approved since Mar 29, 2021

RAUM

$255M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

98%

$250M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$255M as of May 27, 2025

Feb 16, 2022$144M then

HNW client RAUM$224M as of May 27, 2025

Feb 16, 2022$104M then

State-registered IARs (5.B.3)6 as of May 27, 2025

Feb 16, 20226 then

Employees (5.A)8 as of May 27, 2025

Feb 16, 202211 then

Private funds: no history

RAUM +30% over the last fiscal year+21% a year over threeIARs 5 to 6offices 0 to 3

Practice profile

derived from the filing of May 27, 2025; every figure names its basis

RAUM per advisor: $42.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 42derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.7MderivedHNW RAUM over HNW clients
Average account: $437,438derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 1.5derived4 offices incl. principal (1.F.5)
RAUM growth, one year: +30%derivedbetween the last two annual amendments
Advisor growth, one year: +20%derivedItem 5.B.3 between annual amendments
Client growth, one year: +9.6%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program: $255MreportedItem 5.I
Custody: $131M, 213 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)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$224M88%
Individuals$26.1M10%
Corporations and businesses$4.6M1.8%

Individual clients: 118reported
HNW clients: 133reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 583reported
Financial planning clients: 51-100reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $131M for 213 clientsreported
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

6 left, 0 joined in 12 months

net -6 in 12 months0 left in 90 days0 joined in 90 days6 left over 36 months

Left, latest

H••••• H•••• T••••• to L•• F•••••••• L••
Sep 29, 2025 · RIA to affiliated broker-dealer or bank
A•••• R• A•••• to L•• F•••••••• L••
Sep 29, 2025 · RIA to affiliated broker-dealer or bank
M•••••• J••• A••••• to L•• F•••••••• L••
Sep 29, 2025 · RIA to affiliated broker-dealer or bank
C••••••••• M• P••••••••• to L•• F•••••••• L••
Sep 29, 2025 · RIA to affiliated broker-dealer or bank
J••• S•••••• R••••• to L•• F•••••••• L••
Sep 29, 2025 · RIA to affiliated broker-dealer or bank
L••••• M•••• R••• to L•• F•••••••• L••
Sep 29, 2025 · RIA to affiliated broker-dealer or bank

Joined, latest

C••••••••• M• P••••••••• from S••••• M••••••• C•••••• A•••••••• L••
Aug 17, 2022 · Other
H••••• H•••• T••••• from W• G••••••• S••••••••• I•••
Aug 29, 2016 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

5 left for L•• F•••••••• L••
Sep 29, 2025 · Hunt Valley, Md · Firm absorbed

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A••••• A••••• R• · Owner, Chief Executive Officer, Chief Compliance Officercontrol
since 08/2023 · owns less than 5%
A••••• A••••• R• · Owner, Chief Executive Officer, Chief Compliance Officercontrol
since 08/2023 · owns 75% or more of S••••• F•••••••• G••••• I••

Entity owners

S••••• F•••••••• G••••• I•• · Owner
direct · 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
New Freedom, Pa	0	0	1
Hunt Valley, Md · principal	0	0	5

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · 51-100 to 51-100
Feb 7, 2025 to May 27, 2025
Other offices · 0 to 3
Feb 7, 2025 to May 27, 2025
Accounts · 519 to 583
Jun 27, 2024 to Feb 7, 2025
Advisory employees · 8 to 6
Jun 27, 2024 to Feb 7, 2025
Corporate clients · unset to 9.0
Jun 27, 2024 to Feb 7, 2025
HNW clients · 98 to 133
Jun 27, 2024 to Feb 7, 2025
Individual clients · 131 to 118
Jun 27, 2024 to Feb 7, 2025
Assets in custody · $92.9M to $131M
Jun 27, 2024 to Feb 7, 2025
Employees · 9 to 8
Jun 27, 2024 to Feb 7, 2025
State-registered IARs · 5 to 6
Jun 27, 2024 to Feb 7, 2025
Discretionary RAUM · $197M to $255M
Jun 27, 2024 to Feb 7, 2025
HNW RAUM · $164M to $224M
Jun 27, 2024 to Feb 7, 2025
Individual RAUM · $28.2M to $26.1M
Jun 27, 2024 to Feb 7, 2025
RAUM · $197M to $255M
Jun 27, 2024 to Feb 7, 2025
Accounts · 499 to 519
Oct 4, 2023 to Feb 23, 2024
Advisory employees · 6 to 8
Oct 4, 2023 to Feb 23, 2024
BD registered reps · 5 to 6
Oct 4, 2023 to Feb 23, 2024
Corporate clients · 8.0 to unset
Oct 4, 2023 to Feb 23, 2024
HNW clients · 71 to 98
Oct 4, 2023 to Feb 23, 2024
Individual clients · 158 to 131
Oct 4, 2023 to Feb 23, 2024
Assets in custody · $58.2M to $92.9M
Oct 4, 2023 to Feb 23, 2024
Insurance-licensed employees · 0 to 1
Oct 4, 2023 to Feb 23, 2024
State-registered IARs · 6 to 5
Oct 4, 2023 to Feb 23, 2024
Discretionary RAUM · $154M to $197M
Oct 4, 2023 to Feb 23, 2024
HNW RAUM · $106M to $164M
Oct 4, 2023 to Feb 23, 2024
Individual RAUM · $40.5M to $28.2M
Oct 4, 2023 to Feb 23, 2024
RAUM · $154M to $197M
Oct 4, 2023 to Feb 23, 2024
BD registered reps · 7 to 5
Apr 27, 2023 to Aug 27, 2023
Employees · 11 to 9
Apr 27, 2023 to Aug 27, 2023
Insurance-licensed employees · 1 to 0
Apr 27, 2023 to Aug 27, 2023
Accounts · 450 to 499
Nov 18, 2022 to Mar 6, 2023
BD registered reps · 6 to 7
Nov 18, 2022 to Mar 6, 2023
Corporate clients · 4 to 8
Nov 18, 2022 to Mar 6, 2023
HNW clients · 76 to 71
Nov 18, 2022 to Mar 6, 2023
Individual clients · 126 to 158
Nov 18, 2022 to Mar 6, 2023
Assets in custody · unset to 58219719.0
Nov 18, 2022 to Mar 6, 2023
Custody of client assets · false to true
Nov 18, 2022 to Mar 6, 2023
Financial planning clients · 26-50 to 51-100
Nov 18, 2022 to Mar 6, 2023
Other offices · 1 to 0
Nov 18, 2022 to Mar 6, 2023
Discretionary RAUM · $144M to $154M
Nov 18, 2022 to Mar 6, 2023

Signals

11 dated events

S••••• F•••••••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $255.0M)
Dec 20, 2025 · Left the SEC roster · derived
J••• S•••••• R••••• left S••••• F•••••••• for L•• F•••••••• L•• (registered 2025-09-26)
Sep 29, 2025 · Advisor changed firm · fact
C••••••••• M• P••••••••• left S••••• F•••••••• for L•• F•••••••• L•• (registered 2025-09-26)
Sep 29, 2025 · Advisor changed firm · fact
A•••• R• A•••• left S••••• F•••••••• for L•• F•••••••• L•• (registered 2023-07-24)
Sep 29, 2025 · Advisor changed firm · fact
M•••••• J••• A••••• left S••••• F•••••••• for L•• F•••••••• L•• (registered 2025-09-26)
Sep 29, 2025 · Advisor changed firm · fact
S••••• F••••••••'s advisors moved to L•• F•••••••• L•• (Hunt Valley, MD): 6 of 6 registered, on the same day
Sep 29, 2025 · Firm absorbed (people side) · derived
L••••• M•••• R••• left S••••• F•••••••• for L•• F•••••••• L•• (registered 2025-09-26)
Sep 29, 2025 · Advisor changed firm · fact
H••••• H•••• T••••• left S••••• F•••••••• for L•• F•••••••• L•• (registered 2025-09-26)
Sep 29, 2025 · Advisor changed firm · fact
Joseph Thomas Graham (President) no longer on Schedule A of S••••• F•••••••• (listed 2023-04-27, absent 2023-08-27)
Aug 27, 2023 · Control person left · inference
R Alvin Anton (Chief Compliance Officer) appeared on Schedule A of S••••• F••••••••
Apr 27, 2023 · Control person joined · fact
S••••• F•••••••• filed its initial SEC registration (Form ADV)
Feb 26, 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.

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