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
D•• S•••••• F•••••••• • I•••••••• S•••••••
Legal name S•••••• A••••••• S•••••••• I•••
Latest filing May 28, 2026
First filing on the tape Feb 28, 2018 · 27 filings
SEC status approved since Mar 30, 2018
RAUM
$81.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$81.2M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$20.3M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$81.2M as of May 28, 2026
Mar 19, 2019$94.0M then
HNW client RAUM$56.3M as of May 28, 2026
Mar 19, 2019$47.7M then
State-registered IARs (5.B.3)4 as of May 28, 2026
Mar 19, 20195 then
Employees (5.A)4 as of May 28, 2026
Mar 19, 20195 then
Private funds: no history
RAUM +11% over the last fiscal year-12% a year over threeIARs 5 to 4offices 0 to 1
Practice profile
derived from the filing of May 28, 2026; every figure names its basis
- RAUM per advisor
- $20.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $240,952derivedRAUM 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
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.2%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, selection of other advisers, educational seminarsreportedItem 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)
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$56.3M69%
- Individuals$24.9M31%
- Individual clients
- 113reported
- HNW clients
- 24reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 337reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• C••••••••• O•••• | Greenwich, Ct | Jan 3, 2018 | 20 y | 2 |
| C••• H• L•••••• | Carlsbad, Ca | Jun 15, 2021 | 13 y | 0 |
| D•••••• M• M••• | Carlsbad, Ca | Oct 17, 2025 | 10 y | 0 |
| A••••• A•• F••••• | Carlsbad, Ca | Dec 12, 2025 | 35 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- R••••• P•••• O•••••••• to P•••••• W••••• M••••••••• L••Jan 5, 2024 · RIA to RIA
- H••• L•••• to L••••••••• A••••••• S•••••••• I•••Jan 2, 2020 · RIA to a state-registered adviser
Joined, latest
- A••••• A•• F••••• from S•••••• F•••••••• • I•••••••• S•••••••Dec 12, 2025 · Other
- H••• L•••• from S•••••• F•••••••• • I•••••••• S•••••••Jan 3, 2018 · Other
- R••••• P•••• O•••••••• from S•••••• F•••••••• • I•••••••• S•••••••Jan 3, 2018 · Other
- S•••• C••••••••• O•••• from S•••••• F•••••••• • I•••••••• S•••••••Jan 3, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from S•••••• F•••••••• • I•••••••• S•••••••May 23, 2018 · Carlsbad, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• D••••••• M•••• · Chief Compliance Officercontrolsince 11/2018 · owns less than 5%
- O••••• S••••• C••••••••• · Owner & Presidentcontrolsince 06/2016 · owns 75% or more
Related persons
Schedule D 7.A
- D•• S•••••• F•••••••• • I•••••••• S•••••••LP sponsornRAUM $81.2M
Advisers that list D•• S•••••• F•••••••• • I•••••••• S••••••• as a related person
- 289985 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Carlsbad, Ca · principal | 4 | 2 | 0 | ||
| Greenwich, Ct | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 5 to 6Apr 8, 2026 to May 28, 2026
- Accounts · 354 to 337Feb 11, 2026 to Mar 30, 2026
- HNW clients · 23 to 24Feb 11, 2026 to Mar 30, 2026
- Individual clients · 109 to 113Feb 11, 2026 to Mar 30, 2026
- Financial planning clients · 251-500 to 101-250Feb 11, 2026 to Mar 30, 2026
- Discretionary RAUM · $0 to $81.2MFeb 11, 2026 to Mar 30, 2026
- HNW RAUM · $54.1M to $56.3MFeb 11, 2026 to Mar 30, 2026
- Individual RAUM · $24.9M to $24.9MFeb 11, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $79.0M to $0Feb 11, 2026 to Mar 30, 2026
- RAUM · $79.0M to $81.2MFeb 11, 2026 to Mar 30, 2026
- Other offices · 2 to 1Oct 16, 2025 to Feb 11, 2026
- Wrap assets (manager) · 0.0 to unsetOct 16, 2025 to Feb 11, 2026
- Wrap assets (sponsor) · 0.0 to unsetOct 16, 2025 to Feb 11, 2026
- Accounts · 381 to 354Aug 14, 2025 to Oct 16, 2025
- Advisory employees · 5 to 4Aug 14, 2025 to Oct 16, 2025
- HNW clients · 19 to 23Aug 14, 2025 to Oct 16, 2025
- Individual clients · 124 to 109Aug 14, 2025 to Oct 16, 2025
- Employees · 5 to 4Aug 14, 2025 to Oct 16, 2025
- State-registered IARs · 5 to 4Aug 14, 2025 to Oct 16, 2025
- HNW RAUM · $44.3M to $54.1MAug 14, 2025 to Oct 16, 2025
- Individual RAUM · $29.0M to $24.9MAug 14, 2025 to Oct 16, 2025
- Non-discretionary RAUM · $73.3M to $79.0MAug 14, 2025 to Oct 16, 2025
- RAUM · $73.3M to $79.0MAug 14, 2025 to Oct 16, 2025
- Related adviser · true to falseAug 14, 2025 to Oct 16, 2025
- Financial planning clients · 251-500 to 251-500Feb 20, 2025 to Jul 25, 2025
- Other offices · 0 to 2Feb 20, 2025 to Jul 25, 2025
- Accounts · 552 to 381Mar 20, 2024 to Feb 20, 2025
- HNW clients · 23 to 19Mar 20, 2024 to Feb 20, 2025
- Individual clients · 162 to 124Mar 20, 2024 to Feb 20, 2025
- HNW RAUM · $50.2M to $44.3MMar 20, 2024 to Feb 20, 2025
- Individual RAUM · $39.2M to $29.0MMar 20, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $89.4M to $73.3MMar 20, 2024 to Feb 20, 2025
- RAUM · $89.4M to $73.3MMar 20, 2024 to Feb 20, 2025
- Accounts · 780 to 552Feb 7, 2024 to Mar 20, 2024
- HNW clients · 34 to 23Feb 7, 2024 to Mar 20, 2024
- Individual clients · 89 to 162Feb 7, 2024 to Mar 20, 2024
- HNW RAUM · $69.5M to $50.2MFeb 7, 2024 to Mar 20, 2024
- Individual RAUM · $47.9M to $39.2MFeb 7, 2024 to Mar 20, 2024
- Non-discretionary RAUM · $117M to $89.4MFeb 7, 2024 to Mar 20, 2024
- RAUM · $117M to $89.4MFeb 7, 2024 to Mar 20, 2024
Signals
4 dated events
- D•• S•••••• F•••••••• • I•••••••• S••••••• no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $81.2M)Jul 1, 2026 · Left the SEC roster · derived
- R••••• P•••• O•••••••• left D•• S•••••• F•••••••• • I•••••••• S••••••• for P•••••• W••••• M••••••••• L•• (registered 2023-11-29)Jan 5, 2024 · Advisor changed firm · fact
- M•••• D•••••• M••• (Chief Compliance Officer) appeared on Schedule A of D•• S•••••• F•••••••• • I•••••••• S•••••••Jan 2, 2019 · Control person joined · fact
- D•• S•••••• F•••••••• • I•••••••• S••••••• filed its initial SEC registration (Form ADV)Feb 28, 2018 · 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••••••ADVISORY.COMreportedpublic record, Form ADV, Sep 19, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $20.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026