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••••••••

Former SEC-registered adviserVenice, CaliforniaCRD 300433SEC 801-114803IAPD
Legal name S•••••• F••••••••• L••
Latest filing Jul 24, 2020
First filing on the tape Feb 6, 2019 · 11 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
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$0 as of Dec 2, 2019
Feb 6, 2019$0 then
HNW client RAUM$0 as of Jul 24, 2020
Feb 6, 2019$0 then
State-registered IARs (5.B.3)1 as of Jul 24, 2020
Feb 6, 20190 then
Employees (5.A)5 as of Jul 24, 2020
Feb 6, 20194 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 24, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
1,292derivedindividual 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
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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
fixed feesreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
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
1,292reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • G•••••• S•••• · Ceocontrol
    since 11/2019 · owns less than 5%
  • M•••••• G•••• R••• · Ccocontrol
    since 11/2018 · owns less than 5%
  • G•••••• S•••• · Ownercontrol
    since 08/2016 · owns F of S•••••• I•••
Entity owners
  • S•••••• I••• · Owner And Managing Member
    direct · owns 75% or more
  • O•••••• V••••••• · Shareholder
    indirect · owns F of S•••••• I•••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 0.0 to unset
    Dec 2, 2019 to Mar 30, 2020
  • Advisory employees · 2 to 1
    Dec 2, 2019 to Mar 30, 2020
  • Individual clients · 0 to 1,292
    Dec 2, 2019 to Mar 30, 2020
  • Employees · 4 to 5
    Dec 2, 2019 to Mar 30, 2020
  • State-registered IARs · 2 to 1
    Dec 2, 2019 to Mar 30, 2020
  • Discretionary RAUM · 0.0 to unset
    Dec 2, 2019 to Mar 30, 2020
  • Non-discretionary RAUM · 0.0 to unset
    Dec 2, 2019 to Mar 30, 2020
  • RAUM · 0.0 to unset
    Dec 2, 2019 to Mar 30, 2020
  • Employees · 5 to 4
    Oct 4, 2019 to Dec 2, 2019
  • Employees · 4 to 5
    May 20, 2019 to Sep 4, 2019
  • Insurance-licensed employees · 0 to 1
    May 20, 2019 to Sep 4, 2019
  • State-registered IARs · 0 to 2
    May 20, 2019 to Sep 4, 2019
Signals
3 dated events
  • K••• A•••••• (Owner) no longer on Schedule A of S••••••• F•••••••• (listed 2020-06-30, absent 2020-07-24)
    Jul 24, 2020 · Control person left · inference
  • Benjamin Lionel Tapiero (Investment And Operations Officer) no longer on Schedule A of S••••••• F•••••••• (listed 2019-12-02, absent 2020-03-30)
    Mar 30, 2020 · Control person left · inference
  • S••••••• F•••••••• filed its initial SEC registration (Form ADV)
    Feb 6, 2019 · 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