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•••••• F••••••••• L••
Latest filing Jun 2, 2026
First filing on the tape Nov 13, 2018 · 33 filings
SEC status approved since Dec 11, 2018
RAUM
$169M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$169M
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
2
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$169M as of Jun 2, 2026
Mar 27, 2019$156M then
HNW client RAUM$54.4M as of Feb 27, 2024
Mar 27, 2019$125M then
State-registered IARs (5.B.3)1 as of Jun 2, 2026
Mar 27, 20191 then
Employees (5.A)9 as of Jun 2, 2026
Mar 27, 20191 then
Private funds2 as of Jun 2, 2026
Mar 14, 20222 then
RAUM +1.4% over the last fiscal year-2.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $169MderivedRAUM 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
- $84.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 9.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.4%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $169M, 2 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$169M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $169M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• A•••••••• K•• S•• B•••••• | Roseville, Ca | Feb 3, 2020 | 16 y | 4 |
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
- E••• J• C••••••••• to M••••••• F••••••••Nov 15, 2019 · RIA to a state-registered adviser
Joined, latest
- S•••••• A•••••••• K•• S•• B•••••• from N••••••••• M••••• I••••••••• S•••••••••Feb 3, 2020 · Other
- E••• J• C••••••••• from U••••••• C••••••• L••Feb 9, 2019 · RIA to a newly registered adviser
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| J•••• P••••••• B• L• | Hedge Fund | $37.5M | 269 | Apr 19, 2021 |
| J•••• P••••••• A• L• | Hedge Fund | $8.9M | 34 | Apr 19, 2021 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• M••• · Vice President, Chief Compliance Officer, And Office Operationscontrolsince 07/2019 · owns less than 5%
- S••••••• M••••••• L••••••• · Managing Membercontrolsince 04/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Apr 1, 2026employees (Item 5.A) moved from 15.0 to 9.0 (-40.0%) between the annual amendments of 2025-03-28 and 2026-04-01; the peer median change was 0.0% (393 comparable advisers, 5.0th percentile of changes)peers: asset managers, $100M to $500M (393) · 4.6% percentile
What changed
consecutive filings, newest first
- Assets in custody · $166M to $169MJul 31, 2025 to Apr 1, 2026
- Employees · 14 to 9Jul 31, 2025 to Apr 1, 2026
- Discretionary RAUM · $166M to $169MJul 31, 2025 to Apr 1, 2026
- Pooled vehicle RAUM · $166M to $169MJul 31, 2025 to Apr 1, 2026
- RAUM · $166M to $169MJul 31, 2025 to Apr 1, 2026
- Assets in custody · $166M to $166MMar 28, 2025 to Jul 31, 2025
- Employees · 15 to 14Mar 28, 2025 to Jul 31, 2025
- Financial planning clients · unset to Mar 28, 2025 to Jul 31, 2025
- Discretionary RAUM · $166M to $166MMar 28, 2025 to Jul 31, 2025
- Pooled vehicle RAUM · $166M to $166MMar 28, 2025 to Jul 31, 2025
- RAUM · $166M to $166MMar 28, 2025 to Jul 31, 2025
- Accounts · 359 to 2Mar 16, 2024 to Mar 28, 2025
- Advisory employees · 1 to 3Mar 16, 2024 to Mar 28, 2025
- Advisory activities · 2 to 3Mar 16, 2024 to Mar 28, 2025
- HNW clients · 34 to 0Mar 16, 2024 to Mar 28, 2025
- Individual clients · 323 to 0Mar 16, 2024 to Mar 28, 2025
- Assets in custody · $136M to $166MMar 16, 2024 to Mar 28, 2025
- Employees · 4 to 15Mar 16, 2024 to Mar 28, 2025
- Other offices · 0 to 3Mar 16, 2024 to Mar 28, 2025
- Discretionary RAUM · $182M to $166MMar 16, 2024 to Mar 28, 2025
- HNW RAUM · 54359022.0 to unsetMar 16, 2024 to Mar 28, 2025
- Individual RAUM · 81145919.0 to unsetMar 16, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $46.4M to $166MMar 16, 2024 to Mar 28, 2025
- RAUM · $182M to $166MMar 16, 2024 to Mar 28, 2025
- Accounts · 340 to 359Feb 23, 2023 to Feb 27, 2024
- Advisory employees · 2 to 1Feb 23, 2023 to Feb 27, 2024
- HNW clients · 35 to 34Feb 23, 2023 to Feb 27, 2024
- Individual clients · 303 to 323Feb 23, 2023 to Feb 27, 2024
- Assets in custody · $182M to $136MFeb 23, 2023 to Feb 27, 2024
- Discretionary RAUM · $182M to $182MFeb 23, 2023 to Feb 27, 2024
- HNW RAUM · $55.4M to $54.4MFeb 23, 2023 to Feb 27, 2024
- Individual RAUM · $78.9M to $81.1MFeb 23, 2023 to Feb 27, 2024
- Pooled vehicle RAUM · $47.3M to $46.4MFeb 23, 2023 to Feb 27, 2024
- RAUM · $182M to $182MFeb 23, 2023 to Feb 27, 2024
- Accounts · 347 to 340Mar 14, 2022 to Feb 23, 2023
- HNW clients · 31 to 35Mar 14, 2022 to Feb 23, 2023
- Individual clients · 316 to 303Mar 14, 2022 to Feb 23, 2023
- Assets in custody · $173M to $182MMar 14, 2022 to Feb 23, 2023
- Discretionary RAUM · $184M to $182MMar 14, 2022 to Feb 23, 2023
- HNW RAUM · $50.2M to $55.4MMar 14, 2022 to Feb 23, 2023
Signals
2 dated events
- M••• M•••••• (Chief Compliance Officer/ Vp Of Operations) appeared on Schedule A of S•••••• F••••••••• L••Aug 6, 2019 · Control person joined · fact
- S•••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Nov 13, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••• F••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 916-663-6723reportedpublic record, Form ADV, Jun 2, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $169Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026