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•••••••• W••••• M••••••••• I••••••••• S•
Latest filing Mar 24, 2021
First filing on the tape Oct 24, 2019 · 5 filings
RAUM
$53.1M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$53.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$53.1M as of Mar 24, 2021
Oct 24, 2019$0 then
HNW client RAUM$53.1M as of Mar 24, 2021
Oct 24, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 24, 2021
Oct 24, 20190 then
Employees (5.A)4 as of Mar 24, 2021
Oct 24, 20194 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 24, 2021; 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
- $13.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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, 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$53.1M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• C••••••• M•••• D•• M•• · Chief Compliance Officercontrolsince 10/2019 · owns less than 5%
- M•••• S••••••• J•••• · Chief Executive Officercontrolsince 08/2019 · owns less than 5%
- T••••••••• B•••••• · Directorcontrolsince 08/2019 · owns less than 5%
Entity owners
- B•••• S•••••••• I••••••••• S• · Shareholderdirect · owns 75% or more
- B•••• S•••••••• S• · Shareholderindirect · owns 75% or more of S•••••••• H•••••• I••••••••• S•
- P••••••• S• · Shareholderindirect · owns 25% to 50% of B•••• S•••••••• I••••••••• S•
- S•••••••• H•••••• I••••••••• S• · Shareholderindirect · owns 50% to 75% of B•••• S•••••••• I••••••••• S•
Related persons
Schedule D 7.A
- B•••• S•••••••• I••••••••• S•broker-dealerinvestment adviserpooled vehicle sponsorcustodiany
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 4Nov 4, 2020 to Mar 24, 2021
- HNW RAUM · $0 to $53.1MNov 4, 2020 to Mar 24, 2021
- Non-discretionary RAUM · $0 to $53.1MNov 4, 2020 to Mar 24, 2021
- RAUM · $0 to $53.1MNov 4, 2020 to Mar 24, 2021
- Financial planning clients · unset to 0Oct 24, 2019 to Dec 9, 2019
Signals
3 dated events
- A•••••• C•••• O••••• (Director) no longer on Schedule A of S•••••••• W••••• M••••••••• I••••••••• S• (listed 2019-10-24, absent 2019-12-09)Dec 9, 2019 · Control person left · inference
- V••••• B••••••• L•••• (Director) no longer on Schedule A of S•••••••• W••••• M••••••••• I••••••••• S• (listed 2019-10-24, absent 2019-12-09)Dec 9, 2019 · Control person left · inference
- S•••••••• W••••• M••••••••• I••••••••• S• filed its initial SEC registration (Form ADV)Oct 24, 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