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•••• C•••• C•••••• M••••••••• L••
Latest filing Mar 3, 2025
First filing on the tape Jan 27, 2017 · 19 filings
SEC status approved since Feb 7, 2017
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM: $0
HNW client RAUM$0 as of Mar 3, 2025
Mar 29, 2018$0 then
State-registered IARs (5.B.3)2 as of Mar 3, 2025
Mar 29, 20180 then
Employees (5.A)2 as of Mar 3, 2025
Mar 29, 20184 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Mar 3, 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
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 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
- fixed feesreportedItem 5.E
- Advisory activities
- 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
- is an insurance broker or agent (6.A.6)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client securities (9.A.1.b)
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- A••• D•••• R••••••• to M•••• F•••••••• A•••••••Mar 31, 2026 · Other
- A•••• K•••• to M•••• F•••••••• A•••••••Mar 31, 2026 · Other
- D••••• V••••• to M•••• F•••••••• A•••••••Apr 4, 2022 · Other
- J••••• D• E•••••••• to M•••• F•••••••• A•••••••Apr 4, 2022 · Other
- T•••••• J•••• R•••• to M•••• F•••••••• A•••••••Apr 4, 2022 · Other
- N•••••••• L•••• B•••••• to B••••••• C•••••• A•••••••Apr 4, 2022 · Other
Joined, latest
- A•••• K•••• from M•••• F•••••••• A•••••••Jul 25, 2024 · Other
- N•••••••• L•••• B•••••• from W•••• F•••• A•••••••Oct 4, 2019 · Other
- A••• D•••• R••••••• from B••••••• C•••••• A•••••••Feb 1, 2019 · Other
- D••••• V••••• from B••••••• C•••••• A•••••••Apr 25, 2017 · Other
- J••••• D• E•••••••• from B••••••• C•••••• A•••••••Mar 31, 2017 · Other
- T•••••• J•••• R•••• from B••••••• C•••••• A•••••••Mar 30, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M•••• F•••••••• A•••••••Mar 31, 2026 · Boca Raton, Fl
- 2 left for M•••• F•••••••• A•••••••Apr 4, 2022 · Boca Raton, Fl
- 4 joined from B••••••• C•••••• A•••••••Jun 29, 2022 · Boca Raton, Fl · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J•••• D•••••• · Chief Compliance Officercontrolsince 11/2023 · owns less than 5%
- K•••• R•••• L•• · Chief Executive Officercontrolsince 12/2021 · owns less than 5%
- M•••••• K••• L••• · Presidentcontrolsince 12/2021 · owns less than 5%
- L••• C••••••• A• · Chief Operating Officersince 10/2022 · owns less than 5%
- M•••••••• M••••••• K•••• · Chief Financial Officersince 01/2023 · owns less than 5%
Entity owners
- M•••• H•••••••• L•• · Holding Company, Owner Of Investment Adviserdirect · owns 75% or more
- M•••• I••••••••• H•••••••• L•• · Holding Company Ownerindirect · owns 75% or more of M•••• H•••••••• L••
Related persons
Schedule D 7.A
- M•••• F•••••••• A•••••••investment advisernRAUM $24B
Advisers that list S•••• C•••• C•••••• M••••••••• L•• as a related person
- 142457 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boca Raton, Fl | 0 | 0 | 1 | ||
| Alpharetta, Ga · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Boca Raton, FL1 employees
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Mar 22, 2024 to Mar 3, 2025
- Advisory employees · 1 to 2Mar 22, 2024 to Mar 3, 2025
- Corporate clients · 53 to 0Mar 22, 2024 to Mar 3, 2025
- Assets in custody · $64.0M to $61.2MMar 22, 2024 to Mar 3, 2025
- Financial planning clients · 0 to 0Mar 22, 2024 to Mar 3, 2025
- State-registered IARs · 1 to 2Mar 22, 2024 to Mar 3, 2025
- Discretionary RAUM · unset to 0.0Mar 22, 2024 to Mar 3, 2025
- Non-discretionary RAUM · unset to 0.0Mar 22, 2024 to Mar 3, 2025
- RAUM · unset to 0.0Mar 22, 2024 to Mar 3, 2025
- Corporate clients · 0 to 53Nov 6, 2023 to Mar 21, 2024
- Assets in custody · $48.6M to $64.0MNov 6, 2023 to Mar 21, 2024
- Custody of client assets · true to falseNov 6, 2023 to Mar 21, 2024
- Employees · 3 to 2Nov 6, 2023 to Mar 21, 2024
- Insurance-licensed employees · 1 to 0Nov 6, 2023 to Mar 21, 2024
- State-registered IARs · 2 to 1Nov 6, 2023 to Mar 21, 2024
- Assets in custody · $248M to $48.6MJan 6, 2023 to Mar 28, 2023
- Employees · 2 to 3Jan 6, 2023 to Mar 28, 2023
- State-registered IARs · 1 to 2Jan 6, 2023 to Mar 28, 2023
- Assets in custody · unset to 248008797.0Feb 4, 2022 to Apr 1, 2022
- Custody of client assets · false to trueFeb 4, 2022 to Apr 1, 2022
- Advisory employees · 5 to 1Sep 9, 2021 to Feb 4, 2022
- Advisory activities · 3 to 1Sep 9, 2021 to Feb 4, 2022
- Employees · 5 to 2Sep 9, 2021 to Feb 4, 2022
- Insurance-licensed employees · 4 to 1Sep 9, 2021 to Feb 4, 2022
- HQ city · BOCA RATON to ALPHARETTASep 9, 2021 to Feb 4, 2022
- HQ state · FL to GASep 9, 2021 to Feb 4, 2022
- State-registered IARs · 0 to 1Sep 9, 2021 to Feb 4, 2022
- Advisory employees · 3 to 5Mar 28, 2019 to Mar 30, 2020
- Advisory activities · 1 to 3Mar 28, 2019 to Mar 30, 2020
- Employees · 4 to 5Mar 28, 2019 to Mar 30, 2020
- Charity clients · unset to 0.0Feb 1, 2017 to Mar 29, 2018
- Corporate clients · unset to 0.0Feb 1, 2017 to Mar 29, 2018
- HNW clients · unset to 0.0Feb 1, 2017 to Mar 29, 2018
- Individual clients · unset to 0.0Feb 1, 2017 to Mar 29, 2018
- Pension plan clients · unset to 0.0Feb 1, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 0.0Feb 1, 2017 to Mar 29, 2018
- HQ city · PRINCETON to BOCA RATONFeb 1, 2017 to Mar 29, 2018
- HQ state · NJ to FLFeb 1, 2017 to Mar 29, 2018
- Other offices · unset to 1.0Feb 1, 2017 to Mar 29, 2018
- HNW RAUM · unset to 0.0Feb 1, 2017 to Mar 29, 2018
Signals
19 dated events
- S•••• C•••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02)Apr 1, 2026 · Left the SEC roster · derived
- A•••• K•••• left S•••• C•••• C•••••• M••••••••• L•• for M•••• F•••••••• A••••••• (registered 2026-03-09)Mar 31, 2026 · Advisor changed firm · fact
- A••• D•••• R••••••• left S•••• C•••• C•••••• M••••••••• L•• for M•••• F•••••••• A••••••• (registered 2026-02-05)Mar 31, 2026 · Advisor changed firm · fact
- 2 advisors left S•••• C•••• C•••••• M••••••••• L•• (Boca Raton, FL) for M•••• F•••••••• A••••••• on the same dayMar 31, 2026 · Team lift-out · derived
- Douglas John Baxley (Chief Compliance Officer) appeared on Schedule A of S•••• C•••• C•••••• M••••••••• L••Nov 6, 2023 · Control person joined · fact
- Lee Douglas Blanton (Chief Financial Officer/Chief Investment Officer) no longer on Schedule A of S•••• C•••• C•••••• M••••••••• L•• (listed 2023-01-06, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- B••••••• C•••••• A•••••••'s advisors moved to S•••• C•••• C•••••• M••••••••• L•• (Boca Raton, FL): 4 of 4 registered, on the same dayJun 29, 2022 · Firm absorbed (people side) · derived
- D••••• V••••• left S•••• C•••• C•••••• M••••••••• L•• for M•••• F•••••••• A••••••• (registered 2022-01-20)Apr 4, 2022 · Advisor changed firm · fact
- T•••••• J•••• R•••• left S•••• C•••• C•••••• M••••••••• L•• for M•••• F•••••••• A••••••• (registered 2022-01-19)Apr 4, 2022 · Advisor changed firm · fact
- N•••••••• L•••• B•••••• left S•••• C•••• C•••••• M••••••••• L•• for B••••••• C•••••• A••••••• (registered 2019-10-04)Apr 4, 2022 · Advisor changed firm · fact
- J••••• D• E•••••••• left S•••• C•••• C•••••• M••••••••• L•• for M•••• F•••••••• A••••••• (registered 2022-01-18)Apr 4, 2022 · Advisor changed firm · fact
- 2 advisors left S•••• C•••• C•••••• M••••••••• L•• (Boca Raton, FL) for M•••• F•••••••• A••••••• on the same dayApr 4, 2022 · Team lift-out · derived
- Tyler D••••• V••••• (Managing Member And Cco) no longer on Schedule A of S•••• C•••• C•••••• M••••••••• L•• (listed 2021-09-09, absent 2022-02-04)Feb 4, 2022 · Control person left · inference
- James Timothy Ralph (Member) no longer on Schedule A of S•••• C•••• C•••••• M••••••••• L•• (listed 2021-09-09, absent 2022-02-04)Feb 4, 2022 · Control person left · inference
- Lee Rick Kent (Chief Executive Officer) appeared on Schedule A of S•••• C•••• C•••••• M••••••••• L••Feb 4, 2022 · Control person joined · fact
- Lee Douglas Blanton (Chief Financial Officer/Chief Investment Officer) appeared on Schedule A of S•••• C•••• C•••••• M••••••••• L••Feb 4, 2022 · Control person joined · fact
- Lynn Kay Mayhue (President) appeared on Schedule A of S•••• C•••• C•••••• M••••••••• L••Feb 4, 2022 · Control person joined · fact
- James Timothy Ralph (Member) appeared on Schedule A of S•••• C•••• C•••••• M••••••••• L••Feb 1, 2019 · Control person joined · fact
- S•••• C•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 27, 2017 · 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