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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SEC-registered adviser
S• A•••••• N••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Nov 11, 2021 · 15 filings
SEC status approved since Dec 13, 2021
RAUM
$272M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$272M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$136M
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
15 filings and snapshots on the tape
RAUM$272M as of Mar 31, 2026
Mar 21, 2022$126M then
HNW client RAUM$253M as of Mar 31, 2026
Mar 21, 2022$0 then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 21, 20221 then
Employees (5.A)2 as of Mar 31, 2026
Mar 21, 20221 then
Private funds: no history
RAUM +64% over the last fiscal year+39% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $136MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 93derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $471,432derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +64%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$253M93%
- Individuals$18.9M7.0%
- Individual clients
- 65reported
- HNW clients
- 120reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 576reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $272M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- K•••• J•••• F•••• from P••••• W••••• M••••••••• L••Jan 29, 2024 · Other
- J••• O••• H••••• from N•••Dec 20, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J•••• O••• · Managing Member & Chief Compliance Officercontrolsince 11/2021 · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Plano, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Mar 31, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $165,157,385 to $271,544,841, advisors 2 to 2, private clients 0 to 185, offices 0 to 0 (2025-03-30 to 2026-03-31)peers: independent wealth managers, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 0.0% to 100.0% between the annual amendments of 2025-03-30 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
- account count surgeChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 364.0 to 576.0 (+58.0%) between the annual amendments of 2025-03-30 and 2026-03-31; the peer median change was +5.0% (3687 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 96% percentile
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $165,157,385 to $271,544,841 (+64.0%) between the annual amendments of 2025-03-30 and 2026-03-31; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 0.0% to 93.0% between the annual amendments of 2025-03-30 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 100.0% to 0.0% between the annual amendments of 2025-03-30 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 364 to 576Mar 30, 2025 to Mar 31, 2026
- HNW clients · 0 to 120Mar 30, 2025 to Mar 31, 2026
- Individual clients · 0 to 65Mar 30, 2025 to Mar 31, 2026
- Insurance-licensed employees · 1 to 2Mar 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $159M to $271MMar 30, 2025 to Mar 31, 2026
- HNW RAUM · $0 to $253MMar 30, 2025 to Mar 31, 2026
- Individual RAUM · $0 to $18.9MMar 30, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $6.0M to $875,759Mar 30, 2025 to Mar 31, 2026
- RAUM · $165M to $272MMar 30, 2025 to Mar 31, 2026
- Wrap assets (manager) · $116M to $272MMar 30, 2025 to Mar 31, 2026
- Accounts · 1 to 364Oct 13, 2024 to Mar 30, 2025
- Financial planning clients · 0 to 0Oct 13, 2024 to Mar 30, 2025
- Discretionary RAUM · $105M to $159MOct 13, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $0 to $6.0MOct 13, 2024 to Mar 30, 2025
- RAUM · $105M to $165MOct 13, 2024 to Mar 30, 2025
- Wrap assets (manager) · $100M to $116MOct 13, 2024 to Mar 30, 2025
- Advisory employees · 1 to 2Mar 25, 2023 to Mar 26, 2024
- Employees · 1 to 2Mar 25, 2023 to Mar 26, 2024
- State-registered IARs · 1 to 2Mar 25, 2023 to Mar 26, 2024
- Discretionary RAUM · $102M to $105MMar 25, 2023 to Mar 26, 2024
- RAUM · $102M to $105MMar 25, 2023 to Mar 26, 2024
- Wrap assets (manager) · $96.2M to $100MMar 25, 2023 to Mar 26, 2024
- Discretionary RAUM · $126M to $102MDec 7, 2022 to Mar 25, 2023
- RAUM · $126M to $102MDec 7, 2022 to Mar 25, 2023
- Wrap assets (manager) · $43.6M to $96.2MDec 7, 2022 to Mar 25, 2023
- Wrap assets (manager) · unset to 43562000.0Jul 6, 2022 to Dec 7, 2022
- Wrap assets (sponsor) · unset to 0.0Jul 6, 2022 to Dec 7, 2022
- Accounts · 0 to 1Jan 8, 2022 to Mar 21, 2022
- Discretionary RAUM · $0 to $126MJan 8, 2022 to Mar 21, 2022
- RAUM · $0 to $126MJan 8, 2022 to Mar 21, 2022
- Business name · S• A••••••• N•••••• to S• A•••••• N••••••• L••Nov 11, 2021 to Jan 6, 2022
- Legal name · S• A••••••• N••••••, LLC to S• A•••••• N••••••• L••Nov 11, 2021 to Jan 6, 2022
Signals
2 dated events
- S• A•••••• N••••••• L•• reported RAUM $271.5M, up 64% from $165.2M (2025-03-30 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- S• A••••••• N•••••• filed its initial SEC registration (Form ADV)Nov 11, 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
- Website
- skadvisornetwork.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (214) 851-8564reportedpublic record, Form ADV, Mar 31, 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
- $136Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026