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••••• N••••• I••••••••• L••

Former SEC-registered adviserCRD 285600SEC 801-113600IAPD
Latest filing Jun 12, 2018
First filing on the tape Oct 18, 2016 · 4 filings
RAUM
n/a
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$0 as of Nov 8, 2017
Oct 18, 2016$0 then
HNW client RAUM$0 as of Jun 12, 2018
Nov 8, 2017$0 then
State-registered IARs (5.B.3)0 as of Jun 12, 2018
Oct 18, 20160 then
Employees (5.A)1 as of Jun 12, 2018
Oct 18, 20161 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 12, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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
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)
  • 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)
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
n/areported
Financial planning clients
n/areported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • O•••••• J•••• C••••••••• · Managing Member And Chief Compliance Officercontrol
        since 09/2016 · owns 75% or more
      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
      • Accounts · 0.0 to unset
        Nov 8, 2017 to Mar 24, 2018
      • Discretionary RAUM · 0.0 to unset
        Nov 8, 2017 to Mar 24, 2018
      • Non-discretionary RAUM · 0.0 to unset
        Nov 8, 2017 to Mar 24, 2018
      • RAUM · 0.0 to unset
        Nov 8, 2017 to Mar 24, 2018
      • Charity clients · unset to 0.0
        Oct 18, 2016 to Nov 8, 2017
      • Corporate clients · unset to 0.0
        Oct 18, 2016 to Nov 8, 2017
      • HNW clients · unset to 0.0
        Oct 18, 2016 to Nov 8, 2017
      • Individual clients · unset to 0.0
        Oct 18, 2016 to Nov 8, 2017
      • Pension plan clients · unset to 0.0
        Oct 18, 2016 to Nov 8, 2017
      • Pooled vehicle clients · unset to 0.0
        Oct 18, 2016 to Nov 8, 2017
      • HQ city · SCOTTSDALE to unset
        Oct 18, 2016 to Nov 8, 2017
      • HQ state · AZ to unset
        Oct 18, 2016 to Nov 8, 2017
      • Other offices · unset to 0.0
        Oct 18, 2016 to Nov 8, 2017
      • HNW RAUM · unset to 0.0
        Oct 18, 2016 to Nov 8, 2017
      • Individual RAUM · unset to 0.0
        Oct 18, 2016 to Nov 8, 2017
      • Pension RAUM · unset to 0.0
        Oct 18, 2016 to Nov 8, 2017
      • Pooled vehicle RAUM · unset to 0.0
        Oct 18, 2016 to Nov 8, 2017
      Signals
      1 dated events
      • S••••• N••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 18, 2016 · 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