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••• F••• X•• G•• L••

Former SEC-registered adviserSan Diego, CaliforniaCRD 294638SEC 801-113104IAPD
Latest filing Mar 30, 2020
First filing on the tape Mar 31, 2018 · 6 filings
RAUM
n/a
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
34
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 29, 20190 then
Employees (5.A)34 as of Mar 30, 2020
Mar 29, 201933 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$251M, 1 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$251M for 1 clientsreported
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
      • M•••• C•••• P• · Membercontrol
        since 01/2019 · owns 25% to 50%
      • M•••••••• M••••• K••••• · Chief Compliance Officercontrol
        since 12/2019 · owns less than 5%
      • S••••••••• M•••• A•••• · Authorized Representativecontrol
        since 06/2012 · owns less than 5%
      • B•••••••• D•••• C••••••• · Managercontrol
        since 01/2016 · owns 50% to 75% of W•••• S••••• L••
      • M•••• C•••• P• · Membercontrol
        since 01/2019 · owns 25% to 50% of S•••••••• V•••• P•••••••
      • M•••• C•••• P• · Managercontrol
        since 12/2011 · owns 75% or more of C•••• L••
      • S•••••• R•••••• G••• · Trusteecontrol
        since 09/1997 · owns F of R••••• S••••• T•••• D•••• 9••••••
      • S••••••••• M•••• A•••• · Managercontrol
        since 01/2014 · owns F of M•• L•••••• P••••••• I•• L•
      • S••••••••• M•••• A•••• · General Partnercontrol
        since 06/2012 · owns F of M•• L•••••• P•••••••• L•
      Entity owners
      • C•••• L•• · Member
        direct · owns 25% to 50%
      • M•• L•••••• P•••••••• L• · Member
        direct · owns 25% to 50%
      • S•••••••• V•••• P••••••• · Manager
        direct · owns less than 5%
      • C•••• L•• · Member
        indirect · owns 25% to 50% of S•••••••• V•••• P•••••••
      • M•• L•••••• P••••••• I•• L• · Member
        indirect · owns 25% to 50% of S•••••••• V•••• P•••••••
      • R••••• S••••• T•••• D•••• 9•••••• · Member
        direct · owns 10% to 25%
      • W•••• S••••• L•• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Advisers that list S••• F••• X•• G•• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Nashville, TN1 employees
      What changed
      consecutive filings, newest first
      • Assets in custody · $254M to $251M
        Apr 30, 2019 to Mar 30, 2020
      • Employees · 33 to 34
        Apr 30, 2019 to Mar 30, 2020
      • Assets in custody · $256M to $254M
        Mar 29, 2019 to Apr 30, 2019
      • Employees · 26 to 33
        Oct 25, 2018 to Mar 29, 2019
      • Other offices · 0 to 1
        Oct 25, 2018 to Mar 29, 2019
      • Assets in custody · $273M to $256M
        Mar 31, 2018 to Jul 6, 2018
      Signals
      3 dated events
      • Denise Susanne Fota (Director Of Administration & Financial Reporting And Chief Compliance Officer) no longer on Schedule A of S••• F••• X•• G•• L•• (listed 2019-03-29, absent 2019-04-30)
        Apr 30, 2019 · Control person left · inference
      • K••••• M•••• M••••••• (Senior Project Manager - Legal & Corporate And Chief Compliance Officer) appeared on Schedule A of S••• F••• X•• G•• L••
        Apr 30, 2019 · Control person joined · fact
      • S••• F••• X•• G•• L•• filed its initial SEC registration (Form ADV)
        Mar 31, 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•••.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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026