DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••••• I••••••••• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Mar 23, 2017 · 21 filings
SEC status approved since Apr 5, 2017
RAUM
$307M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
87%
$267M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$153M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$307M as of Mar 23, 2026
Mar 26, 2018$90.1M then
HNW client RAUM$264M as of Mar 23, 2026
Mar 26, 2018$86.5M then
State-registered IARs (5.B.3)1 as of Mar 23, 2026
Mar 26, 20180 then
Employees (5.A)3 as of Mar 23, 2026
Mar 26, 20182 then
Private funds: no history
RAUM +26% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 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
- RAUM per advisor
- $153MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.1MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +52%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $56.3M, 18 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$264M86%
- Charitable organizations$21.6M7.0%
- Corporations and businesses$18.7M6.1%
- Individuals$2.4M0.8%
- Pension and profit-sharing plans$10.0%
- Individual clients
- 6reported
- HNW clients
- 29reported
- Pension plan clients
- 1reported
- Charitable clients
- 4reported
- Accounts
- 133reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $56.3M for 18 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.07 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 |
|---|---|---|---|---|
| S•••• A••• R•••• | Stuart, Fl | May 3, 2021 | 13 y | 0 |
| M•••• C•••••• W•••• | Stuart, Fl | May 26, 2026 | 10 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• S••••• A••• · Managing Membercontrolsince 03/2017 · owns 75% or more
- Z••••• J••••• E•••••••• · Member/Chief Compliance Officercontrolsince 01/2019 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Stuart, Fl · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- West Palm Beach, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 23, 2026HNW RAUM per HNW client of $9,108,552 against a peer median of $2,402,920 (4942 comparable advisers, 99.0th percentile, 4.5 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 125 to 133Mar 25, 2025 to Mar 23, 2026
- Corporate clients · 5 to 9Mar 25, 2025 to Mar 23, 2026
- HNW clients · 17 to 29Mar 25, 2025 to Mar 23, 2026
- Assets in custody · $49.8M to $56.3MMar 25, 2025 to Mar 23, 2026
- Discretionary RAUM · $230M to $291MMar 25, 2025 to Mar 23, 2026
- HNW RAUM · $216M to $264MMar 25, 2025 to Mar 23, 2026
- Individual RAUM · $3.9M to $2.4MMar 25, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $13.5M to $15.8MMar 25, 2025 to Mar 23, 2026
- RAUM · $244M to $307MMar 25, 2025 to Mar 23, 2026
- Accounts · 118 to 125Mar 26, 2024 to Mar 25, 2025
- HNW clients · 16 to 17Mar 26, 2024 to Mar 25, 2025
- Assets in custody · $44.0M to $49.8MMar 26, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $207M to $230MMar 26, 2024 to Mar 25, 2025
- HNW RAUM · $194M to $216MMar 26, 2024 to Mar 25, 2025
- Individual RAUM · $3.2M to $3.9MMar 26, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $12.5M to $13.5MMar 26, 2024 to Mar 25, 2025
- RAUM · $220M to $244MMar 26, 2024 to Mar 25, 2025
- Accounts · 113 to 118Mar 28, 2023 to Mar 26, 2024
- Advisory employees · 2 to 3Mar 28, 2023 to Mar 26, 2024
- Charity clients · 3 to 4Mar 28, 2023 to Mar 26, 2024
- Corporate clients · 4 to 5Mar 28, 2023 to Mar 26, 2024
- Assets in custody · $30.2M to $44.0MMar 28, 2023 to Mar 26, 2024
- Employees · 2 to 3Mar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $180M to $207MMar 28, 2023 to Mar 26, 2024
- HNW RAUM · $173M to $194MMar 28, 2023 to Mar 26, 2024
- Individual RAUM · $2.8M to $3.2MMar 28, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $11.8M to $12.5MMar 28, 2023 to Mar 26, 2024
- RAUM · $192M to $220MMar 28, 2023 to Mar 26, 2024
- Accounts · 96 to 113Mar 28, 2022 to Mar 27, 2023
- Charity clients · 2 to 3Mar 28, 2022 to Mar 27, 2023
- HNW clients · 14 to 16Mar 28, 2022 to Mar 27, 2023
- Assets in custody · $40.9M to $30.2MMar 28, 2022 to Mar 27, 2023
- Financial planning clients · 11-25 to 0Mar 28, 2022 to Mar 27, 2023
- Discretionary RAUM · $167M to $180MMar 28, 2022 to Mar 27, 2023
- HNW RAUM · $158M to $173MMar 28, 2022 to Mar 27, 2023
- Individual RAUM · $3.1M to $2.8MMar 28, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $6.5M to $11.8MMar 28, 2022 to Mar 27, 2023
- RAUM · $173M to $192MMar 28, 2022 to Mar 27, 2023
- Accounts · 80 to 96May 3, 2021 to Mar 28, 2022
Signals
2 dated events
- E•••••••• J•••• Z•••• (Member/Chief Compliance Officer) appeared on Schedule A of S•••••• I••••••••• M••••••••• L••Jan 28, 2019 · Control person joined · fact
- S•••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 23, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••• I••••••••• M••••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 561-623-8305reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 772-324-5640reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S••••••INVESTMENT.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (772) 324-5640reportedpublic record, Form ADV, Mar 23, 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
- $153Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026