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•••••••••

Former SEC-registered adviserCRD 312724SEC 801-120460IAPD
Legal name S••••••••• L••
Latest filing Nov 30, 2022
First filing on the tape Feb 4, 2021 · 5 filings
RAUM
$396,538
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$396,538 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 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$396,538 as of Nov 30, 2022
Feb 4, 2021$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Nov 30, 2022
Feb 4, 20210 then
Employees (5.A)2 as of Nov 30, 2022
Feb 4, 20212 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 30, 2022; 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
$28,324derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • 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$396,538100%
Individual clients
11reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
14reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • B••••• C••••• · Managing Member And Ceocontrol
        since 12/2020 · owns 50% to 75%
      • B•••••••• B••••••• · Managing Member And Chief Compliance Officercontrol
        since 12/2020 · owns 10% to 25%
      • B••••• D••••• J•••• · Member
        since 12/2020 · owns 5% to 10%
      • B••••• M••••••• C•••••• · Member
        since 12/2020 · owns 5% to 10%
      • H•••••••• M•••••• · Ceo
        since 02/2017 · owns 75% or more of F•••••• L••
      Entity owners
      • F•••••• L•• · Member
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 14
        Dec 13, 2021 to Mar 31, 2022
      • Individual clients · 0 to 11
        Dec 13, 2021 to Mar 31, 2022
      • Discretionary RAUM · $0 to $396,538
        Dec 13, 2021 to Mar 31, 2022
      • Individual RAUM · unset to 396538.0
        Dec 13, 2021 to Mar 31, 2022
      • RAUM · $0 to $396,538
        Dec 13, 2021 to Mar 31, 2022
      Signals
      2 dated events
      • Cullen Breen no longer registered at Stackhabit; no later IA registration on IAPD
        Dec 22, 2022 · Advisor departure · fact
      • Stackhabit filed its initial SEC registration (Form ADV)
        Feb 4, 2021 · 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