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••••••••• R••••••••• P•••••••

No RAUM reportedCRD 292489SEC 801-127326websiteIAPD
Legal name S••••••••• R••••••••• P••••••• L••
Latest filing Jan 16, 2026
First filing on the tape Jan 12, 2023 · 6 filings
SEC status approved since Feb 10, 2023
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$0 as of Jan 16, 2026
Feb 6, 2025$0 then
HNW client RAUM$0 as of Jan 16, 2026
Jan 2, 2024$0 then
State-registered IARs (5.B.3)1 as of Jan 16, 2026
Jan 2, 20241 then
Employees (5.A)1 as of Jan 16, 2026
Jan 2, 20241 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 16, 2026; every figure names its basis
Archetypes, each a printed rule
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
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
1.0derivedItem 5.A over advisors
Advisors per office
0.3derived3 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
otherreportedItem 5.E
Advisory activities
pension consulting, publications, 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)
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
350reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
private_client_share=0.0 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
NameBranchHere sinceIn industryPrior firms
M••• G•••••••••Irvine, Ca Mar 7, 201821 y4
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••••••• M••• · Principal, Chief Compliance Officercontrol
      since 01/2018 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Laguna Hills, CA1 employees
    • Scottsdale, AZ1 employees
    What changed
    consecutive filings, newest first
    • Accounts · unset to 0.0
      Jan 2, 2024 to Feb 6, 2025
    • Pension plan clients · 225 to 350
      Jan 2, 2024 to Feb 6, 2025
    • Financial planning clients · unset to
      Jan 2, 2024 to Feb 6, 2025
    • HQ city · unset to
      Jan 2, 2024 to Feb 6, 2025
    • HQ state · unset to
      Jan 2, 2024 to Feb 6, 2025
    • Discretionary RAUM · unset to 0.0
      Jan 2, 2024 to Feb 6, 2025
    • Non-discretionary RAUM · unset to 0.0
      Jan 2, 2024 to Feb 6, 2025
    • RAUM · unset to 0.0
      Jan 2, 2024 to Feb 6, 2025
    • Pension plan clients · 230 to 225
      Dec 19, 2023 to Jan 2, 2024
    • HQ city · LAGUNA HILLS to unset
      Dec 19, 2023 to Jan 2, 2024
    • HQ state · CA to unset
      Dec 19, 2023 to Jan 2, 2024
    • Other offices · 1 to 2
      Dec 19, 2023 to Jan 2, 2024
    Signals
    1 dated events
    • S••••••••• R••••••••• P••••••• filed its initial SEC registration (Form ADV)
      Jan 12, 2023 · 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•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    (310) 770-5944reportedpublic record, Form ADV, Jan 16, 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
    No RAUM reportedderiveda 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