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••••••• I••

Former SEC-registered adviserCRD 307197SEC 801-128710websiteIAPD
Latest filing Mar 11, 2024
First filing on the tape Mar 4, 2020 · 12 filings
SEC status approved since Sep 29, 2023
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM: $0
HNW client RAUM$0 as of Mar 11, 2024
Mar 8, 2021$0 then
State-registered IARs (5.B.3)1 as of Mar 11, 2024
Mar 8, 20211 then
Employees (5.A)2 as of Mar 11, 2024
Mar 8, 20211 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 11, 2024; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 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
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
yesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E••••• A•••••• B•••• · Ceocontrol
        since 11/2019 · owns 75% or more
      • W••••••••• R••••• · Chief Compliance Officercontrol
        since 02/2024 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Round Rock, Tx000
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0.0 to unset
        Sep 28, 2023 to Mar 11, 2024
      • Discretionary RAUM · 0.0 to unset
        Sep 28, 2023 to Mar 11, 2024
      • Non-discretionary RAUM · 0.0 to unset
        Sep 28, 2023 to Mar 11, 2024
      • RAUM · 0.0 to unset
        Sep 28, 2023 to Mar 11, 2024
      • Assets in custody · unset to 0.0
        Sep 28, 2023 to Sep 28, 2023
      • Custody of client assets · false to true
        Sep 28, 2023 to Sep 28, 2023
      • Employees · 1 to 2
        Aug 18, 2021 to Jun 2, 2022
      • Charity clients · unset to 0.0
        Jul 7, 2020 to Mar 8, 2021
      • Corporate clients · unset to 0.0
        Jul 7, 2020 to Mar 8, 2021
      • HNW clients · unset to 0.0
        Jul 7, 2020 to Mar 8, 2021
      • Individual clients · unset to 0.0
        Jul 7, 2020 to Mar 8, 2021
      • Pension plan clients · unset to 0.0
        Jul 7, 2020 to Mar 8, 2021
      • Pooled vehicle clients · unset to 0.0
        Jul 7, 2020 to Mar 8, 2021
      • HNW RAUM · unset to 0.0
        Jul 7, 2020 to Mar 8, 2021
      • Individual RAUM · unset to 0.0
        Jul 7, 2020 to Mar 8, 2021
      • Pension RAUM · unset to 0.0
        Jul 7, 2020 to Mar 8, 2021
      • Pooled vehicle RAUM · unset to 0.0
        Jul 7, 2020 to Mar 8, 2021
      • Wrap assets (manager) · 1.0 to unset
        Jun 16, 2020 to Jul 7, 2020
      • Wrap assets (sponsor) · 1.0 to unset
        Jun 16, 2020 to Jul 7, 2020
      Signals
      4 dated events
      • S••••••• I•• no longer on the SEC adviser roster (last listed 2025-03-06)
        May 2, 2025 · Left the SEC roster · derived
      • Roland Wiederaenders no longer registered at S••••••• I••; no later IA registration on IAPD
        Mar 21, 2025 · Advisor departure · fact
      • Roland Wiederaenders (Chief Compliance Officer) appeared on Schedule A of S••••••• I••
        Mar 11, 2024 · Control person joined · fact
      • S••••••• I•• filed its initial SEC registration (Form ADV)
        Mar 4, 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