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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S•••••• F•••••••• A••••••• S•••••••• L••
Latest filing May 8, 2026
First filing on the tape Nov 3, 2021 · 18 filings
SEC status approved since Dec 6, 2021
RAUM
$158M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
100%
$158M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$52.8M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$158M as of May 8, 2026
Feb 10, 2022$122M then
HNW client RAUM$133M as of May 8, 2026
Feb 10, 2022$83.7M then
State-registered IARs (5.B.3)3 as of May 8, 2026
Feb 10, 20222 then
Employees (5.A)5 as of May 8, 2026
Feb 10, 20222 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of May 8, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $52.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $889,588derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.2%derived
- Compensation
- percentage of assets, hourly, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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$133M84%
- Individuals$25.7M16%
- Individual clients
- 119reported
- HNW clients
- 59reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 178reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H••••• W•••••• M••••••• | Dallas, Tx | Dec 6, 2021 | 43 y | 2 |
| S•••• S•••••• S••••••Certified Financial Planner | Dallas, Tx | Dec 6, 2021 | 31 y | 2 |
| I•• M•••••• O•••••Certified Financial Planner | Dallas, Tx | Apr 10, 2024 | 11 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- I•• M•••••• O••••• from C••••••• M••••••••• I••••••••• A•••••••• L••Apr 10, 2024 · Other
- S•••• S•••••• S•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 6, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- H••••• W•••••• M••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 6, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 6, 2022 · Dallas, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O•••••• I••• M•••••• · Ownercontrolsince 04/2024 · owns 25% to 50%
- S••••••• S••••• S•••••• · Managing Member & Chief Compliance Officercontrolsince 11/2018 · owns 75% or more
Related persons
Schedule D 7.A
- S•••••• C••• L••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 163 to 178Mar 17, 2025 to Mar 18, 2026
- HNW clients · 38 to 59Mar 17, 2025 to Mar 18, 2026
- Individual clients · 125 to 119Mar 17, 2025 to Mar 18, 2026
- Employees · 6 to 5Mar 17, 2025 to Mar 18, 2026
- Discretionary RAUM · $116M to $133MMar 17, 2025 to Mar 18, 2026
- HNW RAUM · $101M to $133MMar 17, 2025 to Mar 18, 2026
- Individual RAUM · $37.6M to $25.7MMar 17, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $22.5M to $25.3MMar 17, 2025 to Mar 18, 2026
- RAUM · $139M to $158MMar 17, 2025 to Mar 18, 2026
- Accounts · 159 to 163Jan 16, 2025 to Mar 17, 2025
- Advisory employees · 2 to 3Jan 16, 2025 to Mar 17, 2025
- HNW clients · 35 to 38Jan 16, 2025 to Mar 17, 2025
- Individual clients · 124 to 125Jan 16, 2025 to Mar 17, 2025
- Employees · 5 to 6Jan 16, 2025 to Mar 17, 2025
- Financial planning clients · 0 to 0Jan 16, 2025 to Mar 17, 2025
- State-registered IARs · 2 to 3Jan 16, 2025 to Mar 17, 2025
- Discretionary RAUM · $108M to $116MJan 16, 2025 to Mar 17, 2025
- HNW RAUM · $92.6M to $101MJan 16, 2025 to Mar 17, 2025
- Individual RAUM · $34.7M to $37.6MJan 16, 2025 to Mar 17, 2025
- Non-discretionary RAUM · $19.7M to $22.5MJan 16, 2025 to Mar 17, 2025
- RAUM · $127M to $139MJan 16, 2025 to Mar 17, 2025
- Accounts · 503 to 159Mar 15, 2023 to Mar 25, 2024
- HNW clients · 27 to 35Mar 15, 2023 to Mar 25, 2024
- Individual clients · 120 to 124Mar 15, 2023 to Mar 25, 2024
- Commission compensation · false to trueMar 15, 2023 to Mar 25, 2024
- Assets in custody · 107205753.0 to unsetMar 15, 2023 to Mar 25, 2024
- Custody of client assets · true to falseMar 15, 2023 to Mar 25, 2024
- Employees · 2 to 5Mar 15, 2023 to Mar 25, 2024
- Discretionary RAUM · $88.3M to $108MMar 15, 2023 to Mar 25, 2024
- HNW RAUM · $42.7M to $92.6MMar 15, 2023 to Mar 25, 2024
- Individual RAUM · $64.5M to $34.7MMar 15, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $18.9M to $19.7MMar 15, 2023 to Mar 25, 2024
- RAUM · $107M to $127MMar 15, 2023 to Mar 25, 2024
- Wrap assets (manager) · 0.0 to unsetMar 15, 2023 to Mar 25, 2024
- Wrap assets (sponsor) · 0.0 to unsetMar 15, 2023 to Mar 25, 2024
- Accounts · 398 to 503Jan 9, 2023 to Mar 15, 2023
- Charity clients · unset to 0.0Jan 9, 2023 to Mar 15, 2023
- Corporate clients · unset to 0.0Jan 9, 2023 to Mar 15, 2023
- HNW clients · 32 to 27Jan 9, 2023 to Mar 15, 2023
- Individual clients · 119 to 120Jan 9, 2023 to Mar 15, 2023
Signals
3 dated events
- Michael Ian O'Shea (Owner) appeared on Schedule A of S•••••• F•••••••• A••••••• S•••••••• L••Oct 30, 2024 · Control person joined · fact
- 2 advisors left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (Dallas, TX) for S•••••• F•••••••• A••••••• S•••••••• L•• on the same dayApr 6, 2022 · Team lift-out · derived
- S•••••• F•••••••• A••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Nov 3, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 972-250-0009reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 972-267-9655reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- s•••••••••.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 972-267-9655reportedpublic record, Form ADV, May 8, 2026
- Contact form
- s•••••••••.netreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $52.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026