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••••••• S••••••••• L••
Latest filing May 4, 2023
First filing on the tape Apr 24, 2020 · 10 filings
RAUM
$1.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.1M as of Mar 30, 2023
Mar 18, 2021$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2023
Mar 18, 20211 then
Employees (5.A)13 as of Mar 30, 2023
Mar 18, 202113 then
Private funds: no history
RAUM +4.4% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of May 4, 2023; every figure names its basis
- RAUM per advisor
- $1.1MderivedRAUM 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
- $973derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 13.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.4%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $1.1MreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.1M100%
- Individual clients
- 1,080reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,080reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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
- K••• M•••••• K••• to T•••••••• S••••••••• I•••Dec 31, 2023 · Other
Joined, latest
- K••• M•••••• K••• from S•••••• S•••••••••May 28, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• A••••• · Vice President, Operationscontrolsince 02/2020 · owns less than 5%
- R••••••• S••••• A••••• · Ceo/President/Secretary/Treasurercontrolsince 04/2023 · owns less than 5%
- K•••• K•••• M•••••• · Chief Compliance Officersince 03/2020 · owns less than 5%
Entity owners
- B••••••• F•••••••• I••• · Memberdirect · owns 75% or more
- O•••• F••••••••• I••• · Ownerindirect · owns 75% or more of B••••••• F•••••••• I•••
- O••••• I••• · Ownerindirect · owns 75% or more of O••••••••• H•••••••• L••
- O••••••••• H•••••••• L•• · Ownerindirect · owns 75% or more of O•••• F••••••••• I•••
- U••••• H••••••••• S•••••••• I•• · Ownerindirect · owns 75% or more of O••••• I•••
- U••••••••• G•••• I••••••••• · Ownerindirect · owns 75% or more of U••••• H••••••••• S•••••••• I•• · public reporting company
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 932 to 1,080Sep 23, 2022 to Mar 30, 2023
- BD registered reps · 1 to 0Sep 23, 2022 to Mar 30, 2023
- Individual clients · 932 to 1,080Sep 23, 2022 to Mar 30, 2023
- Insurance-licensed employees · 1 to 0Sep 23, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.0M to $1.1MSep 23, 2022 to Mar 30, 2023
- Individual RAUM · $1.0M to $1.1MSep 23, 2022 to Mar 30, 2023
- RAUM · $1.0M to $1.1MSep 23, 2022 to Mar 30, 2023
- Wrap assets (manager) · $1.0M to $0Sep 23, 2022 to Mar 30, 2023
- Wrap assets (sponsor) · $1.0M to $0Sep 23, 2022 to Mar 30, 2023
- Accounts · 0 to 932Mar 18, 2021 to Mar 29, 2022
- BD registered reps · 0 to 1Mar 18, 2021 to Mar 29, 2022
- Individual clients · 0 to 932Mar 18, 2021 to Mar 29, 2022
- Discretionary RAUM · $0 to $1.0MMar 18, 2021 to Mar 29, 2022
- Individual RAUM · $0 to $1.0MMar 18, 2021 to Mar 29, 2022
- RAUM · $0 to $1.0MMar 18, 2021 to Mar 29, 2022
- Wrap assets (manager) · $0 to $1.0MMar 18, 2021 to Mar 29, 2022
- Wrap assets (sponsor) · $0 to $1.0MMar 18, 2021 to Mar 29, 2022
- Advisory employees · 5 to 1Feb 11, 2021 to Mar 18, 2021
- Individual clients · unset to 0.0Feb 11, 2021 to Mar 18, 2021
- Insurance-licensed employees · 0 to 1Feb 11, 2021 to Mar 18, 2021
- State-registered IARs · 0 to 1Feb 11, 2021 to Mar 18, 2021
- Individual RAUM · unset to 0.0Feb 11, 2021 to Mar 18, 2021
Signals
6 dated events
- K••• M•••••• K••• left S••••••• S••••••••• L•• for T•••••••• S••••••••• I••• (registered 2022-06-17)Dec 31, 2023 · Advisor changed firm · fact
- A••••• S•••• R•••••• (Ceo/President/Secretary/Treasurer) appeared on Schedule A of S••••••• S••••••••• L••May 4, 2023 · Control person joined · fact
- Sean Engelking (President) no longer on Schedule A of S••••••• S••••••••• L•• (listed 2022-03-29, absent 2022-09-23)Sep 23, 2022 · Control person left · inference
- Phillip Shaun Mulreed (Chief Operating Officer) no longer on Schedule A of S••••••• S••••••••• L•• (listed 2022-03-29, absent 2022-09-23)Sep 23, 2022 · Control person left · inference
- Phillip Shaun Mulreed (Chief Operating Officer) appeared on Schedule A of S••••••• S••••••••• L••Mar 29, 2022 · Control person joined · fact
- S••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Apr 24, 2020 · 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