DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

S•••• C•••••• I•••

Former SEC-registered adviserCRD 289275SEC 801-111081IAPD
Latest filing May 9, 2019
First filing on the tape Aug 2, 2017 · 8 filings
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
10
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$0 as of Jan 4, 2019
Jan 9, 2018$0 then
HNW client RAUM$0 as of Jan 4, 2019
Jan 9, 2018$0 then
State-registered IARs (5.B.3)1 as of Jan 4, 2019
Jan 9, 20181 then
Employees (5.A)10 as of Jan 4, 2019
Jan 9, 20189 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of May 9, 2019; 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
10.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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)
  • compensates persons for client referrals (8.G.1)
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
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      • B•••••••• J•••• F••••••• · Chief Executive Officer, President And Chief Compliance Officercontrol
        since 03/2014 · owns 50% to 75%
      • C••••••• J•••• P•••••• · Chief Marketing Officercontrol
        since 08/2015 · owns less than 5%
      • S••••• G•••••••• N•• · Chief Technology Officercontrol
        since 05/2014 · owns 10% to 25%
      • Y••••••• A••••••••• N•• · Chief Experience Officercontrol
        since 03/2014 · owns 10% to 25%
      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
      • Employees · 9 to 10
        Oct 16, 2018 to Jan 4, 2019
      • Charity clients · unset to 0.0
        Sep 28, 2017 to Jan 9, 2018
      • Corporate clients · unset to 0.0
        Sep 28, 2017 to Jan 9, 2018
      • HNW clients · unset to 0.0
        Sep 28, 2017 to Jan 9, 2018
      • Individual clients · unset to 0.0
        Sep 28, 2017 to Jan 9, 2018
      • Pension plan clients · unset to 0.0
        Sep 28, 2017 to Jan 9, 2018
      • Pooled vehicle clients · unset to 0.0
        Sep 28, 2017 to Jan 9, 2018
      • Employees · 8 to 9
        Sep 28, 2017 to Jan 9, 2018
      • State-registered IARs · 0 to 1
        Sep 28, 2017 to Jan 9, 2018
      • Other offices · unset to 0.0
        Sep 28, 2017 to Jan 9, 2018
      • HNW RAUM · unset to 0.0
        Sep 28, 2017 to Jan 9, 2018
      • Individual RAUM · unset to 0.0
        Sep 28, 2017 to Jan 9, 2018
      • Pension RAUM · unset to 0.0
        Sep 28, 2017 to Jan 9, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Sep 28, 2017 to Jan 9, 2018
      • Advisory employees · 2 to 1
        Aug 14, 2017 to Sep 28, 2017
      • Employees · 9 to 8
        Aug 14, 2017 to Sep 28, 2017
      Signals
      1 dated events
      • S•••• C•••••• I••• filed its initial SEC registration (Form ADV)
        Aug 2, 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