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
F•••••••• S••••••• L••
Latest filing Mar 4, 2025
First filing on the tape Nov 29, 2021 · 9 filings
SEC status approved since Jan 7, 2022
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$56,005 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$1.3B as of Mar 4, 2025
Mar 30, 2023$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 4, 2025
Mar 30, 20234 then
Employees (5.A)7 as of Mar 4, 2025
Mar 30, 20237 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Mar 4, 2025; every figure names its basis
- RAUM per advisor
- $315MderivedRAUM 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
- $25.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $1.1B, 50 clientsreportedItem 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$1.3B100%
- Individuals$56,0050.0%
- Individual clients
- 1reported
- HNW clients
- n/areported
- Pension plan clients
- 49reported
- Charitable clients
- n/areported
- Accounts
- 50reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 50 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- J••• D••••• P••••••• to M•••• F•••••••• A•••••••Aug 12, 2025 · Other
- B•••• D•••• R•••••• to M•••• F•••••••• A•••••••Aug 12, 2025 · Other
- G••• C••• E••••• to M•••• F•••••••• A•••••••Aug 12, 2025 · Other
Joined, latest
- G••• C••• E••••• from S•••••••• W••••• M••••••••• L••May 1, 2024 · Other
- J••• D••••• P••••••• from S•••••••• W••••• M••••••••• L••Jan 10, 2022 · Other
- B•••• D•••• R•••••• from S•••••••• W••••• M••••••••• L••Jan 10, 2022 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for M•••• F•••••••• A•••••••Aug 12, 2025 · Pocatello, Id · Firm absorbed
- 3 joined from S•••••••• W••••• M••••••••• L••Mar 14, 2025 · Pocatello, Id
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••• G•••• C••• · Membercontrolsince 11/2021 · owns 25% to 50%
- P•••••••• J•••• D••••• · Chief Compliance Officercontrolsince 11/2021 · owns 25% to 50%
- R••••••• B••••• D•••• · Membercontrolsince 11/2021 · owns 25% to 50%
Related persons
Schedule D 7.A
- C•••••••• C•••••••• L••pooled vehicle sponsorn
- S•••••••• W••••• M••••••••• L••investment advisernRAUM $229M
Advisers that list F•••••••• S••••••• L•• as a related person
- 148779 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pocatello, Id · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Insurance-licensed employees · 2 to 3Mar 29, 2024 to Mar 4, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 4, 2025
- State-registered IARs · 3 to 4Mar 29, 2024 to Mar 4, 2025
- Discretionary RAUM · $1.0B to $1.3BMar 29, 2024 to Mar 4, 2025
- Individual RAUM · $58,239 to $56,005Mar 29, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $71.2M to $0Mar 29, 2024 to Mar 4, 2025
- Pension RAUM · $1.1B to $1.3BMar 29, 2024 to Mar 4, 2025
- RAUM · $1.1B to $1.3BMar 29, 2024 to Mar 4, 2025
- Accounts · 49 to 50Dec 8, 2023 to Mar 29, 2024
- Advisory employees · 2 to 1Dec 8, 2023 to Mar 29, 2024
- Individual clients · unset to 1.0Dec 8, 2023 to Mar 29, 2024
- Assets in custody · $1.0B to $1.1BDec 8, 2023 to Mar 29, 2024
- Insurance-licensed employees · 3 to 2Dec 8, 2023 to Mar 29, 2024
- State-registered IARs · 4 to 3Dec 8, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.0B to $1.0BDec 8, 2023 to Mar 29, 2024
- Individual RAUM · unset to 58239.0Dec 8, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $0 to $71.2MDec 8, 2023 to Mar 29, 2024
- Pension RAUM · $1.0B to $1.1BDec 8, 2023 to Mar 29, 2024
- RAUM · $1.0B to $1.1BDec 8, 2023 to Mar 29, 2024
- State-registered IARs · 1 to 4Jan 24, 2023 to Mar 30, 2023
- Discretionary RAUM · $102M to $1.0BJan 24, 2023 to Mar 30, 2023
- Pension RAUM · $102M to $1.0BJan 24, 2023 to Mar 30, 2023
- RAUM · $102M to $1.0BJan 24, 2023 to Mar 30, 2023
- Accounts · 2 to 49Jan 24, 2023 to Mar 30, 2023
- Advisory employees · 1 to 2Jan 24, 2023 to Mar 30, 2023
- Advisory activities · 5 to 4Jan 24, 2023 to Mar 30, 2023
- Pension plan clients · 2 to 49Jan 24, 2023 to Mar 30, 2023
- Assets in custody · $102M to $1.0BJan 24, 2023 to Mar 30, 2023
- Employees · 3 to 7Jan 24, 2023 to Mar 30, 2023
- Insurance-licensed employees · 1 to 3Jan 24, 2023 to Mar 30, 2023
- Financial planning clients · 0 to unsetJan 24, 2023 to Mar 30, 2023
- Assets in custody · unset to 101767177.0May 19, 2022 to Jan 24, 2023
- Custody of client assets · false to trueMay 19, 2022 to Jan 24, 2023
- Accounts · 0 to 2Dec 8, 2021 to May 19, 2022
- Pension plan clients · unset to 2.0Dec 8, 2021 to May 19, 2022
- Discretionary RAUM · $0 to $102MDec 8, 2021 to May 19, 2022
- Pension RAUM · unset to 101767177.0Dec 8, 2021 to May 19, 2022
- RAUM · $0 to $102MDec 8, 2021 to May 19, 2022
- Financial planning clients · unset to 0Nov 29, 2021 to Dec 8, 2021
Signals
8 dated events
- F•••••••• S••••••• L•• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $1.3B)Sep 2, 2025 · Left the SEC roster · derived
- G••• C••• E••••• left F•••••••• S••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-03-14)Aug 12, 2025 · Advisor changed firm · fact
- B•••• D•••• R•••••• left F•••••••• S••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-03-14)Aug 12, 2025 · Advisor changed firm · fact
- J••• D••••• P••••••• left F•••••••• S••••••• L•• for M•••• F•••••••• A••••••• (registered 2025-03-14)Aug 12, 2025 · Advisor changed firm · fact
- F•••••••• S••••••• L••'s advisors moved to M•••• F•••••••• A••••••• (Pocatello, ID): 3 of 3 registered, on the same dayAug 12, 2025 · Firm absorbed (people side) · derived
- 3 advisors left S•••••••• W••••• M••••••••• L•• (Pocatello, ID) for F•••••••• S••••••• L•• on the same dayMar 14, 2025 · Team lift-out · derived
- F•••••••• S••••••• L•• reported RAUM $1.0B, up 896% from $101.8M (2023-01-24 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- F•••••••• S••••••• L•• filed its initial SEC registration (Form ADV)Nov 29, 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