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••••• A•••••••

Former SEC-registered adviserLehi, UtahCRD 293200SEC 801-112883IAPD
Legal name S••••• F•••••••• L••
Latest filing Jun 25, 2020
First filing on the tape Mar 20, 2018 · 12 filings
RAUM
$13.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$13.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$13.8M as of Mar 31, 2020
Mar 28, 2019$27.3M then
HNW client RAUM$2.4M as of Mar 31, 2020
Mar 28, 2019$6.1M then
State-registered IARs (5.B.3)2 as of Mar 31, 2020
Mar 28, 20192 then
Employees (5.A)2 as of Mar 31, 2020
Mar 28, 20192 then
Private funds: no history
RAUM -50% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jun 25, 2020; every figure names its basis
RAUM per advisor
$6.9MderivedRAUM 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
$18,021derivedRAUM 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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-50%derivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$11.3M82%
  • High-net-worth individuals$2.4M18%
Individual clients
323reported
HNW clients
n/areported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
763reported
Financial planning clients
51-100reported
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••• J•••••• J•••• · Owner, Partnercontrol
      since 02/2018 · owns 50% to 75%
    • S••••••• E•••••• A••••••• · Owner, Chief Compliance Officercontrol
      since 02/2018 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • S••••• R••••••••• F•••• L••
      pooled vehicle sponsorn
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 307 to 763
      Sep 4, 2019 to Mar 31, 2020
    • HNW clients · 0.0 to unset
      Sep 4, 2019 to Mar 31, 2020
    • Individual clients · 307 to 323
      Sep 4, 2019 to Mar 31, 2020
    • Financial planning clients · 26-50 to 51-100
      Sep 4, 2019 to Mar 31, 2020
    • Discretionary RAUM · $9.9M to $13.8M
      Sep 4, 2019 to Mar 31, 2020
    • HNW RAUM · unset to 2425000.0
      Sep 4, 2019 to Mar 31, 2020
    • Individual RAUM · $9.9M to $11.3M
      Sep 4, 2019 to Mar 31, 2020
    • RAUM · $9.9M to $13.8M
      Sep 4, 2019 to Mar 31, 2020
    • Accounts · 673 to 307
      Mar 28, 2019 to Aug 29, 2019
    • Business name · S••••• F•••••••• to S••••• A•••••••
      Mar 28, 2019 to Aug 29, 2019
    • HNW clients · 8 to 0
      Mar 28, 2019 to Aug 29, 2019
    • Individual clients · 665 to 307
      Mar 28, 2019 to Aug 29, 2019
    • Discretionary RAUM · $12.8M to $9.9M
      Mar 28, 2019 to Aug 29, 2019
    • HNW RAUM · 6099000.0 to unset
      Mar 28, 2019 to Aug 29, 2019
    • Individual RAUM · $21.2M to $9.9M
      Mar 28, 2019 to Aug 29, 2019
    • Non-discretionary RAUM · $14.5M to $0
      Mar 28, 2019 to Aug 29, 2019
    • RAUM · $27.3M to $9.9M
      Mar 28, 2019 to Aug 29, 2019
    • Accounts · 353 to 673
      Sep 11, 2018 to Mar 28, 2019
    • HNW clients · 0 to 8
      Sep 11, 2018 to Mar 28, 2019
    • Individual clients · 353 to 665
      Sep 11, 2018 to Mar 28, 2019
    • Financial planning clients · 0 to 26-50
      Sep 11, 2018 to Mar 28, 2019
    • Discretionary RAUM · $0 to $12.8M
      Sep 11, 2018 to Mar 28, 2019
    • HNW RAUM · unset to 6099000.0
      Sep 11, 2018 to Mar 28, 2019
    • Individual RAUM · unset to 21215000.0
      Sep 11, 2018 to Mar 28, 2019
    • Non-discretionary RAUM · $22.0M to $14.5M
      Sep 11, 2018 to Mar 28, 2019
    • RAUM · $22.0M to $27.3M
      Sep 11, 2018 to Mar 28, 2019
    • Individual clients · 715 to 353
      Aug 15, 2018 to Sep 11, 2018
    • Employees · 5 to 2
      Aug 15, 2018 to Sep 11, 2018
    • Accounts · unset to 353.0
      Jun 14, 2018 to Aug 14, 2018
    • Advisory employees · 1 to 2
      Jun 14, 2018 to Aug 14, 2018
    • Individual clients · 0 to 715
      Jun 14, 2018 to Aug 14, 2018
    • Commission compensation · true to false
      Jun 14, 2018 to Aug 14, 2018
    • State-registered IARs · 0 to 2
      Jun 14, 2018 to Aug 14, 2018
    • Discretionary RAUM · unset to 0.0
      Jun 14, 2018 to Aug 14, 2018
    • Non-discretionary RAUM · unset to 22000000.0
      Jun 14, 2018 to Aug 14, 2018
    • RAUM · unset to 22000000.0
      Jun 14, 2018 to Aug 14, 2018
    Signals
    1 dated events
    • S••••• F•••••••• filed its initial SEC registration (Form ADV)
      Mar 20, 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.
    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