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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SEC-registered adviser
S•••• C••• F••••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Sep 25, 2024 · 10 filings
SEC status approved since Nov 4, 2024
RAUM
$145M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$145M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$72.5M
derived; firm RAUM over IAPD count
Employees
3
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$145M as of Aug 21, 2026
Jul 28, 2025$145M then
HNW client RAUM$28.0M as of Aug 21, 2026
Jul 28, 2025$28.0M then
State-registered IARs (5.B.3)3 as of Aug 21, 2026
Jul 28, 20253 then
Employees (5.A)3 as of Aug 21, 2026
Jul 28, 20253 then
Private funds: no history
Practice profile
derived from the filing of Sep 2, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $72.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 119derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $383,598derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$117M81%
- High-net-worth individuals$28.0M19%
- Individual clients
- 225reported
- HNW clients
- 12reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 378reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• S••••• S••••••• | Kirkland , Wa | Sep 9, 2026 | 31 y | 4 |
| B•••• M••••• K••••••Certified Financial Planner | Henderson, Nv | Sep 9, 2026 | 25 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- G•••••• S•••• H••••••• to H••••••• P••• C•••••• L••Jun 27, 2024 · RIA to a state-registered adviser
Joined, latest
- B•••• M••••• K•••••• from C••••• I••••••••• G••••Sep 9, 2026 · RIA to RIA
- M•••••• S••••• S••••••• from B••••••••• W••••• A•••••••• L••Apr 16, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• C••••••• M•••• · Managing Member, Chief Compliance Officercontrolsince 06/2016 · 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 |
|---|---|---|---|---|---|
| Henderson, Nv | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250Aug 21, 2026 to Sep 2, 2026
- HQ city · to unsetAug 21, 2026 to Sep 2, 2026
- HQ state · to unsetAug 21, 2026 to Sep 2, 2026
- Succession · false to unsetAug 21, 2026 to Sep 2, 2026
- Accounts · 237 to 378Oct 20, 2025 to Dec 3, 2025
- Individual clients · 366 to 225Oct 20, 2025 to Dec 3, 2025
- Individual clients · 225 to 366Aug 6, 2025 to Oct 20, 2025
- Other offices · 0 to 2Aug 6, 2025 to Oct 20, 2025
- Accounts · 456 to 237Oct 31, 2024 to Jul 28, 2025
- HNW clients · 25 to 12Oct 31, 2024 to Jul 28, 2025
- Financial planning clients · 101-250 to 101-250Oct 31, 2024 to Jul 28, 2025
- HQ city · unset to Oct 31, 2024 to Jul 28, 2025
- HQ state · unset to Oct 31, 2024 to Jul 28, 2025
- Discretionary RAUM · $130M to $145MOct 31, 2024 to Jul 28, 2025
- HNW RAUM · $65.0M to $28.0MOct 31, 2024 to Jul 28, 2025
- Individual RAUM · $65.0M to $117MOct 31, 2024 to Jul 28, 2025
- RAUM · $130M to $145MOct 31, 2024 to Jul 28, 2025
Signals
2 dated events
- S•••• C••• F••••••••• L•• filed its initial SEC registration (Form ADV)Sep 25, 2024 · First SEC registration · fact
- G•••••• S•••• H••••••• left S•••• C••• F••••••••• L•• for H••••••• P••• C•••••• L•• (registered 2025-11-25)Jun 27, 2024 · Advisor changed firm · 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 email
- carolyn@southcovefinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 206-914-4132reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- southcovefinancial.com/advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206-914-4132reportedpublic record, Form ADV, Sep 2, 2026
- Team page
- southcovefinancial.com/advisorsreportedpublished by the firm, firm site, Sep 16, 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
- $72.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026