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••• A••••••• L••
Latest filing Jan 23, 2026
First filing on the tape Mar 31, 2022 · 11 filings
SEC status approved since May 2, 2022
RAUM
$198M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$187M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$198M as of Jan 23, 2026
Feb 14, 2023$108M then
HNW client RAUM$138M as of Jan 23, 2026
Feb 14, 2023$74.3M then
State-registered IARs (5.B.3)4 as of Jan 23, 2026
Feb 14, 20231 then
Employees (5.A)4 as of Jan 23, 2026
Feb 14, 20232 then
Private funds: no history
RAUM +7.1% over the last fiscal year+22% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jan 23, 2026; every figure names its basis
- RAUM per advisor
- $49.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $396,917derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$138M70%
- Individuals$48.5M24%
- Pension and profit-sharing plans$7.4M3.7%
- Corporations and businesses$3.7M1.9%
- Individual clients
- 124reported
- HNW clients
- 58reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 499reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- 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
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- G•••••• D••••• B•••• to A•••••• W••••• M••••••••• L••Feb 9, 2026 · RIA to RIA
- J••• S•••••••• to A•••••• W••••• M••••••••• L••Feb 9, 2026 · RIA to RIA
- A••••• P•••••• B•••• to A•••••• W••••• M••••••••• L••Feb 9, 2026 · RIA to RIA
- R•••••• M•••••• S•••••••• to A•••••• W••••• M••••••••• L••Feb 9, 2026 · RIA to RIA
Joined, latest
- A••••• P•••••• B•••• from U••••• C•••••• F•••••••• A•••••••Dec 1, 2022 · Affiliated broker-dealer or bank to independent RIA
- R•••••• M•••••• S•••••••• from U••••• C•••••• F•••••••• A•••••••Mar 15, 2022 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for A•••••• W••••• M••••••••• L••Feb 9, 2026 · Indianapolis, In · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• J••• · Managing Member & Chief Compliance Officercontrolsince 05/2021 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Boulder, Co | 0 | 0 | 4 |
Offices
Schedule D 1.F, the 25 largest
- Grand Prairie, TX1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 454 to 499Apr 1, 2025 to Jan 23, 2026
- Corporate clients · 5 to 4Apr 1, 2025 to Jan 23, 2026
- HNW clients · 57 to 58Apr 1, 2025 to Jan 23, 2026
- Individual clients · 118 to 124Apr 1, 2025 to Jan 23, 2026
- Pension plan clients · 3 to 4Apr 1, 2025 to Jan 23, 2026
- Discretionary RAUM · $185M to $198MApr 1, 2025 to Jan 23, 2026
- HNW RAUM · $137M to $138MApr 1, 2025 to Jan 23, 2026
- Individual RAUM · $40.8M to $48.5MApr 1, 2025 to Jan 23, 2026
- Pension RAUM · $4.5M to $7.4MApr 1, 2025 to Jan 23, 2026
- RAUM · $185M to $198MApr 1, 2025 to Jan 23, 2026
- Accounts · 397 to 454Apr 17, 2024 to Apr 1, 2025
- Corporate clients · 4 to 5Apr 17, 2024 to Apr 1, 2025
- HNW clients · 46 to 57Apr 17, 2024 to Apr 1, 2025
- Individual clients · 110 to 118Apr 17, 2024 to Apr 1, 2025
- Pension plan clients · 2 to 3Apr 17, 2024 to Apr 1, 2025
- Financial planning clients · 0 to 26-50Apr 17, 2024 to Apr 1, 2025
- HQ city · unset to Apr 17, 2024 to Apr 1, 2025
- HQ state · unset to Apr 17, 2024 to Apr 1, 2025
- Discretionary RAUM · $148M to $185MApr 17, 2024 to Apr 1, 2025
- HNW RAUM · $98.2M to $137MApr 17, 2024 to Apr 1, 2025
- Individual RAUM · $42.7M to $40.8MApr 17, 2024 to Apr 1, 2025
- Pension RAUM · $4.4M to $4.5MApr 17, 2024 to Apr 1, 2025
- RAUM · $148M to $185MApr 17, 2024 to Apr 1, 2025
- Accounts · 286 to 397Feb 8, 2024 to Feb 13, 2024
- Advisory activities · 1 to 2Feb 8, 2024 to Feb 13, 2024
- Corporate clients · 3 to 4Feb 8, 2024 to Feb 13, 2024
- HNW clients · 42 to 46Feb 8, 2024 to Feb 13, 2024
- Individual clients · 62 to 110Feb 8, 2024 to Feb 13, 2024
- Pension plan clients · 1 to 2Feb 8, 2024 to Feb 13, 2024
- Financial planning clients · unset to 0Feb 8, 2024 to Feb 13, 2024
- Discretionary RAUM · $108M to $148MFeb 8, 2024 to Feb 13, 2024
- HNW RAUM · $74.3M to $98.2MFeb 8, 2024 to Feb 13, 2024
- Individual RAUM · $30.1M to $42.7MFeb 8, 2024 to Feb 13, 2024
- Pension RAUM · $2.6M to $4.4MFeb 8, 2024 to Feb 13, 2024
- RAUM · $108M to $148MFeb 8, 2024 to Feb 13, 2024
- Other offices · 1 to 2Jan 2, 2024 to Feb 8, 2024
- Other offices · 0 to 1Sep 26, 2023 to Jan 2, 2024
- Advisory employees · 2 to 4Feb 14, 2023 to Feb 16, 2023
- Employees · 2 to 4Feb 14, 2023 to Feb 16, 2023
- State-registered IARs · 1 to 4Feb 14, 2023 to Feb 16, 2023
Signals
7 dated events
- S••• A••••••• L•• no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $198.1M)Mar 2, 2026 · Left the SEC roster · derived
- A••••• P•••••• B•••• left S••• A••••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2026-01-06)Feb 9, 2026 · Advisor changed firm · fact
- J••• S•••••••• left S••• A••••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2026-01-05)Feb 9, 2026 · Advisor changed firm · fact
- G•••••• D••••• B•••• left S••• A••••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2026-01-06)Feb 9, 2026 · Advisor changed firm · fact
- R•••••• M•••••• S•••••••• left S••• A••••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2026-01-09)Feb 9, 2026 · Advisor changed firm · fact
- S••• A••••••• L••'s advisors moved to A•••••• W••••• M••••••••• L•• (Indianapolis, IN): 3 of 4 registered, on the same dayFeb 9, 2026 · Firm absorbed (people side) · derived
- S••• A••••••• L•• filed its initial SEC registration (Form ADV)Mar 31, 2022 · 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