DFX Intelligence

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S••••••• C••••••

Independent wealth managerSEC-registered· Naples, Florida

Independent wealth manager, based in Naples, Florida, reporting $110M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-09-22 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $110M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +0.4%
Private clients: 80%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-09-22 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 311428 · SEC 801-132631 · 4 filingsShow

CRD 311428SEC 801-132631Legal name S••••••• C••••••• L••First filing on the tape Mar 31, 2025, latest Sep 22, 2026SEC status approved since May 1, 2025IAPD

RAUM

$110M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

80%

$87.6M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$55.1M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

4 filings and snapshots on the tape

RAUM +0.4% over the last fiscal year · the tape starts Mar 31, 2025

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$110M as of Mar 17, 2026

Mar 31, 2025$110M then

HNW client RAUM$83.3M as of Mar 17, 2026

Mar 31, 2025$82.2M then

State-registered IARs (5.B.3)2 as of Mar 17, 2026

Mar 31, 20252 then

Employees (5.A)2 as of Mar 17, 2026

Mar 31, 20252 then

Private funds: no history

RAUM +0.4% over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Sep 22, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $55.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 15derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.9MderivedHNW RAUM over HNW clients
Average account: $1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +0.4%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +26%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

76% high-net-worth individuals, 19% other investment advisers, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow

High-net-worth individuals$83.3M76%
Other investment advisers$20.8M19%
Individuals$4.3M3.9%
Pension and profit-sharing plans$947,0670.9%
Corporations and businesses$747,7910.7%

Individual clients: 12reported
HNW clients: 17reported
Pension plan clients: 1reported
Charitable clients: 0reported
Accounts: 100reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 80% private clients, 19% pooled funds, 1% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

R••••• D•••• D••• from P••• S••••• C••••••• L••
Nov 10, 2023 · Other
D••••• G••••• S•••••• from S•••••• N••••••• • C••••••• I•••••••••
Mar 26, 2021 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
D••••• G••••• S••••••	Naples, Fl	Mar 26, 2021	19 y	1
R••••• D•••• D•••Certified Financial Planner	St. Louis, Mo	Nov 10, 2023	19 y	3

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••••• D•••••• G••••• · Managing Member/Chief Compliance Officercontrol
since 08/2020 · owns 50% to 75%
P••••• D•••••• G••••• · Member
since 10/2021 · owns 10% to 25%
R••••• M•••••• · Member
since 10/2021 · owns 10% to 25%

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
Naples, Fl · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · 0 to 0
Mar 17, 2026 to Sep 22, 2026
Succession · false to unset
Mar 17, 2026 to Sep 22, 2026
Accounts · 25 to 100
Nov 14, 2025 to Mar 17, 2026
HNW clients · 18 to 17
Nov 14, 2025 to Mar 17, 2026
Individual clients · 5 to 12
Nov 14, 2025 to Mar 17, 2026

Full history · 14 changes

Pension plan clients · 0 to 1
Nov 14, 2025 to Mar 17, 2026
Discretionary RAUM · $110M to $110M
Nov 14, 2025 to Mar 17, 2026
HNW RAUM · $82.2M to $83.3M
Nov 14, 2025 to Mar 17, 2026
Individual RAUM · $2.8M to $4.3M
Nov 14, 2025 to Mar 17, 2026
Pension RAUM · $0 to $947,067
Nov 14, 2025 to Mar 17, 2026
RAUM · $110M to $110M
Nov 14, 2025 to Mar 17, 2026
Assets in custody · 83503588.0 to unset
Mar 31, 2025 to Nov 14, 2025
Custody of client assets · true to false
Mar 31, 2025 to Nov 14, 2025
Financial planning clients · 0 to 0
Mar 31, 2025 to Nov 14, 2025

Signals

No event on the tape.

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 22, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $55.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026