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•••••••• I••••••••• L••
Legal name S•••••••• I••••••••• L••••••••• C••••••
Latest filing Mar 31, 2025
First filing on the tape Mar 18, 2019 · 23 filings
SEC status approved since Apr 25, 2019
RAUM
$68.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$68.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$34.2M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$68.3M as of Mar 31, 2025
Mar 30, 2020$102M then
HNW client RAUM$40.8M as of Mar 31, 2025
Mar 30, 2020$52.7M then
State-registered IARs (5.B.3)1 as of Mar 31, 2025
Mar 30, 20201 then
Employees (5.A)3 as of Mar 31, 2025
Mar 30, 20206 then
Private funds: no history
RAUM +0.5% over the last fiscal year-10.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2025; every figure names its basis
- RAUM per advisor
- $34.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $569,428derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -38%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $56.3MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$40.8M60%
- Individuals$27.5M40%
- Individual clients
- 100reported
- HNW clients
- 20reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 120reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• J•••••• Y••••• | Las Vegas, Nv | Jan 19, 2024 | 20 y | 4 |
| D•••• P••••• | Costa Mesa, Ca | Jan 1, 2026 | 13 y | 2 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D•••• P••••• from H•••••••• A•••••••• L••Jan 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- R••• J•••••• Y••••• from D••••• W••••• A•••••••Jan 19, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Y•••••• R•••• J•••••• · Principal And Chief Compliance Officercontrolsince 11/2017 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Las Vegas, Nv | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Newport Beach, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 193 to 120Oct 30, 2024 to Mar 31, 2025
- HNW clients · 19 to 20Oct 30, 2024 to Mar 31, 2025
- Individual clients · 174 to 100Oct 30, 2024 to Mar 31, 2025
- HQ city · unset to Oct 30, 2024 to Mar 31, 2025
- HQ state · unset to Oct 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $68.0M to $68.3MOct 30, 2024 to Mar 31, 2025
- HNW RAUM · $35.5M to $40.8MOct 30, 2024 to Mar 31, 2025
- Individual RAUM · $32.4M to $27.5MOct 30, 2024 to Mar 31, 2025
- RAUM · $68.0M to $68.3MOct 30, 2024 to Mar 31, 2025
- Legal name · S•••••••• I••••••••• L•• to S•••••••• I••••••••• L••••••••• C••••••Aug 15, 2024 to Oct 30, 2024
- Accounts · 180 to 193Jan 2, 2024 to Mar 8, 2024
- HNW clients · 20 to 19Jan 2, 2024 to Mar 8, 2024
- Individual clients · 160 to 174Jan 2, 2024 to Mar 8, 2024
- Assets in custody · 1468000.0 to unsetJan 2, 2024 to Mar 8, 2024
- HQ city · LAS VEGAS to unsetJan 2, 2024 to Mar 8, 2024
- HQ state · NV to unsetJan 2, 2024 to Mar 8, 2024
- Discretionary RAUM · $72.4M to $68.0MJan 2, 2024 to Mar 8, 2024
- HNW RAUM · $37.9M to $35.5MJan 2, 2024 to Mar 8, 2024
- Individual RAUM · $34.5M to $32.4MJan 2, 2024 to Mar 8, 2024
- RAUM · $72.4M to $68.0MJan 2, 2024 to Mar 8, 2024
- Accounts · 390 to 180Apr 4, 2023 to Dec 4, 2023
- HNW clients · 15 to 20Apr 4, 2023 to Dec 4, 2023
- Individual clients · 69 to 160Apr 4, 2023 to Dec 4, 2023
- Custody of client assets · true to falseApr 4, 2023 to Dec 4, 2023
- Discretionary RAUM · $73.8M to $72.4MApr 4, 2023 to Dec 4, 2023
- HNW RAUM · $38.9M to $37.9MApr 4, 2023 to Dec 4, 2023
- Individual RAUM · $34.9M to $34.5MApr 4, 2023 to Dec 4, 2023
- RAUM · $73.8M to $72.4MApr 4, 2023 to Dec 4, 2023
- Accounts · 420 to 390Mar 31, 2022 to Mar 31, 2023
- HNW clients · 23 to 15Mar 31, 2022 to Mar 31, 2023
- Individual clients · 209 to 69Mar 31, 2022 to Mar 31, 2023
- Employees · 2 to 3Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $93.6M to $73.8MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $48.3M to $38.9MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $45.3M to $34.9MMar 31, 2022 to Mar 31, 2023
- RAUM · $93.6M to $73.8MMar 31, 2022 to Mar 31, 2023
- Accounts · 486 to 420May 24, 2021 to Mar 31, 2022
- HNW clients · 26 to 23May 24, 2021 to Mar 31, 2022
- Individual clients · 240 to 209May 24, 2021 to Mar 31, 2022
- Assets in custody · $1.7M to $1.5MMay 24, 2021 to Mar 31, 2022
Signals
2 dated events
- S•••••••• I••••••••• L•• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $68.3M)Aug 1, 2025 · Left the SEC roster · derived
- S•••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Mar 18, 2019 · 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
- Firm profile
- linkedin.com/company/court-investment-services/aboutreportedpublic record, Form ADV, Sep 19, 2026
- Firm profile
- linkedin.com/company/silveroak-investments/aboutreportedpublic record, Form ADV, Sep 19, 2026
- Website
- COURTINVESTMENTS.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
- $34.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026