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•••••••• I•••••••••
Legal name S•••••••• I••••••••• L••••••
Latest filing Mar 30, 2026
First filing on the tape Mar 7, 2017 · 17 filings
SEC status approved since Mar 22, 2017
RAUM
$176,870
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$176,870 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$176,870
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
17 filings and snapshots on the tape
RAUM$176,870 as of Mar 30, 2026
Mar 10, 2018$4.8M then
HNW client RAUM$0 as of Mar 30, 2026
Mar 10, 2018$2.9M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 10, 20181 then
Employees (5.A)1 as of Mar 30, 2026
Mar 10, 20181 then
Private funds1 as of Mar 31, 2025
Mar 10, 20181 then
RAUM -97% over the last fiscal year-70% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $176,870derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $88,435derivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -97%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -71%derived
- 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
- 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$176,870100%
- Individual clients
- 2reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• L••••• S•••••• | Bentleyville, Oh | Feb 12, 2026 | 10 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- T••••• L••••• S•••••• from O••••••••• • C•• I•••May 15, 2017 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• I••••••••• G•••• I• | Hedge Fund | $2.3M | 8 | Mar 10, 2018 |
Owners and control persons
Schedule A and B, latest filing
- S••••••• T•••••• L••••• · Managing Member, Managing Principal, Chief Investment Officer And Chief Compliance Officercontrolsince 02/2017 · 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
- Discretionary RAUM · $211,425 to $176,870Feb 10, 2026 to Mar 30, 2026
- Individual RAUM · $211,425 to $176,870Feb 10, 2026 to Mar 30, 2026
- RAUM · $211,425 to $176,870Feb 10, 2026 to Mar 30, 2026
- Accounts · 18 to 2Mar 31, 2025 to Feb 10, 2026
- Advisory activities · 2 to 1Mar 31, 2025 to Feb 10, 2026
- HNW clients · 2 to 0Mar 31, 2025 to Feb 10, 2026
- Individual clients · 5 to 2Mar 31, 2025 to Feb 10, 2026
- Pooled vehicle clients · 1 to 0Mar 31, 2025 to Feb 10, 2026
- Private funds · 1 to unsetMar 31, 2025 to Feb 10, 2026
- Discretionary RAUM · $6.8M to $211,425Mar 31, 2025 to Feb 10, 2026
- HNW RAUM · $4.0M to $0Mar 31, 2025 to Feb 10, 2026
- Individual RAUM · $391,753 to $211,425Mar 31, 2025 to Feb 10, 2026
- Pooled vehicle RAUM · $2.4M to $0Mar 31, 2025 to Feb 10, 2026
- RAUM · $6.8M to $211,425Mar 31, 2025 to Feb 10, 2026
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- HQ city · unset to Mar 29, 2024 to Mar 31, 2025
- HQ state · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $7.1M to $6.8MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $4.3M to $4.0MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $465,446 to $391,753Mar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $2.3M to $2.4MMar 29, 2024 to Mar 31, 2025
- RAUM · $7.1M to $6.8MMar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $6.4M to $7.1MMar 27, 2023 to Mar 29, 2024
- HNW RAUM · $4.0M to $4.3MMar 27, 2023 to Mar 29, 2024
- Individual RAUM · $395,533 to $465,446Mar 27, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $2.1M to $2.3MMar 27, 2023 to Mar 29, 2024
- RAUM · $6.4M to $7.1MMar 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $7.6M to $6.4MJan 9, 2023 to Mar 27, 2023
- HNW RAUM · $4.8M to $4.0MJan 9, 2023 to Mar 27, 2023
- Individual RAUM · $485,779 to $395,533Jan 9, 2023 to Mar 27, 2023
- Pooled vehicle RAUM · $2.4M to $2.1MJan 9, 2023 to Mar 27, 2023
- RAUM · $7.6M to $6.4MJan 9, 2023 to Mar 27, 2023
- Accounts · 17 to 18Mar 4, 2021 to Feb 2, 2022
- Individual clients · 4 to 5Mar 4, 2021 to Feb 2, 2022
- Discretionary RAUM · $5.6M to $7.6MMar 4, 2021 to Feb 2, 2022
- HNW RAUM · $3.2M to $4.8MMar 4, 2021 to Feb 2, 2022
- Individual RAUM · $417,263 to $485,779Mar 4, 2021 to Feb 2, 2022
- Pooled vehicle RAUM · $2.0M to $2.4MMar 4, 2021 to Feb 2, 2022
- RAUM · $5.6M to $7.6MMar 4, 2021 to Feb 2, 2022
- Accounts · 18 to 17Feb 24, 2021 to Mar 4, 2021
Signals
1 dated events
- S•••••••• I••••••••• filed its initial SEC registration (Form ADV)Mar 7, 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.
How to reach
public business contact points only, each with its source
- Website
- S••••••••.INTERNATIONALreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 216 932 6500reportedpublic record, Form ADV, Mar 30, 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
- $176,870derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026