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 adviserDallas, TexasCRD 299308SEC 801-114303IAPD
Legal name S••••••••• A•••••••• L••
Latest filing Sep 13, 2019
First filing on the tape Oct 18, 2018 · 23 filings
RAUM
$3.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$3.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
21 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$3.1M as of Sep 13, 2019
Oct 18, 2018$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)21 as of Sep 13, 2019
Oct 18, 20181 then
Employees (5.A)23 as of Sep 13, 2019
Oct 18, 20183 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 13, 2019; every figure names its basis
RAUM per advisor
$147,280derivedRAUM 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
$93,724derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
21.0derived1 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$3.1M100%
Individual clients
33reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
33reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
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
  • E••••••• L•••• K•• · Chief Compliance Officercontrol
    since 10/2018 · owns less than 5%
  • G•••••• J••••••• J•••• · Ceocontrol
    since 10/2018 · owns less than 5%
  • Y••••• M••••••• A•••• · Presidentcontrol
    since 10/2018 · owns less than 5%
  • E••••••• L•••• K•• · Membercontrol
    since 10/2018 · owns 25% to 50% of F•••••••• I••••••••• G••••• L••
  • G•••••• J••••••• J•••• · Membercontrol
    since 08/2017 · owns 50% to 75% of S••••• P•••••••• • W•••• L••
  • Y••••• M••••••• A•••• · Membercontrol
    since 07/2003 · owns 50% to 75% of S••••• P•••••••• • W•••• L••
Entity owners
  • F•••••••• I••••••••• G••••• L•• · Member
    direct · owns 25% to 50%
  • S••••• P•••••••• • W•••• L•• · Member
    direct · owns 50% to 75%
  • F•••••••• I••••••••• G••••• L•• · Active
    indirect · owns 25% to 50% of F•••••••• I••••••••• G••••• L••
  • S••••• P•••••••• • W•••• L•• · Active
    indirect · owns 50% to 75% of S••••• P•••••••• • W•••• L••
Related persons
Schedule D 7.A
No related person reported.
Advisers that list S••••••••• A••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 0 to 33
    Apr 23, 2019 to Jun 10, 2019
  • Advisory employees · 29 to 21
    Apr 23, 2019 to Jun 10, 2019
  • Individual clients · unset to 33.0
    Apr 23, 2019 to Jun 10, 2019
  • Employees · 31 to 23
    Apr 23, 2019 to Jun 10, 2019
  • State-registered IARs · 29 to 21
    Apr 23, 2019 to Jun 10, 2019
  • Discretionary RAUM · $0 to $3.1M
    Apr 23, 2019 to Jun 10, 2019
  • Individual RAUM · unset to 3092879.0
    Apr 23, 2019 to Jun 10, 2019
  • RAUM · $0 to $3.1M
    Apr 23, 2019 to Jun 10, 2019
  • Advisory employees · 22 to 29
    Apr 8, 2019 to Apr 10, 2019
  • Employees · 22 to 31
    Apr 8, 2019 to Apr 10, 2019
  • State-registered IARs · 20 to 29
    Apr 8, 2019 to Apr 10, 2019
  • Advisory activities · 6 to 5
    Feb 28, 2019 to Mar 7, 2019
  • Advisory employees · 21 to 22
    Mar 7, 2019 to Mar 7, 2019
  • Employees · 21 to 22
    Mar 7, 2019 to Mar 7, 2019
  • State-registered IARs · 18 to 20
    Mar 7, 2019 to Mar 7, 2019
  • Advisory employees · 18 to 21
    Feb 19, 2019 to Feb 28, 2019
  • Employees · 20 to 21
    Feb 19, 2019 to Feb 28, 2019
  • State-registered IARs · 15 to 18
    Feb 19, 2019 to Feb 28, 2019
  • Advisory employees · 1 to 18
    Feb 5, 2019 to Feb 19, 2019
  • Employees · 3 to 20
    Feb 5, 2019 to Feb 19, 2019
  • State-registered IARs · 1 to 15
    Feb 5, 2019 to Feb 19, 2019
  • Advisory activities · 5 to 6
    Nov 6, 2018 to Jan 24, 2019
Signals
2 dated events
  • S••••••••• A••••••• reported 15 state-registered advisory representatives, up from 1 (2019-02-05 to 2019-02-19)
    Feb 19, 2019 · Advisor headcount change · derived
  • S••••••••• A••••••• filed its initial SEC registration (Form ADV)
    Oct 18, 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