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Former SEC-registered adviser

S••••• A•••••••• L••

Former SEC-registered adviserDallas, TexasCRD 323937SEC 801-128156IAPD
Latest filing Oct 3, 2025
First filing on the tape May 15, 2023 · 10 filings
SEC status approved since Jun 14, 2023
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$0 as of Oct 3, 2025
Jan 17, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 3, 2025
Mar 28, 20240 then
Employees (5.A)8 as of Oct 3, 2025
Mar 28, 20249 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 3, 2025; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
fixed fees, otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
      • C•••• M••••••• R••• · Managercontrol
        since 08/2023 · owns less than 5%
      • D•••••• J•••••• G••• · Presidentcontrol
        since 10/2022 · owns less than 5%
      • G•••••• A••••••••• H••••••• · General Counselcontrol
        since 10/2023 · owns less than 5%
      • M••••••• D••• L•• · Chief Compliance Officercontrol
        since 10/2023 · owns less than 5%
      • P•••• B•••••••• B•••••• · Manager And Chief Operating Officercontrol
        since 10/2022 · owns less than 5%
      • R••••••••• V••••• G•••••••• · Shareholdercontrol
        since 01/2022 · owns 50% to 75% of S••••• E••••••••• I•••
      Entity owners
      • S••••• E••••••••• I••• · Sole Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · unset to
        Mar 31, 2025 to May 27, 2025
      • Advisory activities · 2 to 1
        Jan 17, 2025 to Mar 31, 2025
      • Employees · 9 to 8
        Jan 17, 2025 to Mar 31, 2025
      • HQ city · DUBLIN to DALLAS
        Jan 17, 2025 to Mar 31, 2025
      • HQ state · OH to TX
        Jan 17, 2025 to Mar 31, 2025
      • Accounts · unset to 0.0
        Jul 31, 2024 to Jan 17, 2025
      • Discretionary RAUM · unset to 0.0
        Jul 31, 2024 to Jan 17, 2025
      • Non-discretionary RAUM · unset to 0.0
        Jul 31, 2024 to Jan 17, 2025
      • RAUM · unset to 0.0
        Jul 31, 2024 to Jan 17, 2025
      • Advisory employees · 0 to 5
        Oct 9, 2023 to Mar 28, 2024
      • Advisory activities · 4 to 2
        Oct 9, 2023 to Mar 28, 2024
      • Employees · 8 to 9
        Oct 9, 2023 to Mar 28, 2024
      Signals
      8 dated events
      • S••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20)
        Jan 2, 2026 · Left the SEC roster · derived
      • Edward Matthew Kopko (Senior Vice President) no longer on Schedule A of S••••• A•••••••• L•• (listed 2023-10-09, absent 2024-03-28)
        Mar 28, 2024 · Control person left · inference
      • Lee Don Mcardle (Chief Compliance Officer) appeared on Schedule A of S••••• A•••••••• L••
        Oct 9, 2023 · Control person joined · fact
      • Harrison Alexandra Gaiser (General Counsel) appeared on Schedule A of S••••• A•••••••• L••
        Oct 9, 2023 · Control person joined · fact
      • Garfield Robert Roach (Chief Compliance Officer) no longer on Schedule A of S••••• A•••••••• L•• (listed 2023-08-25, absent 2023-10-09)
        Oct 9, 2023 · Control person left · inference
      • Kunjummen Rachel Paulose (General Counsel, Secretary) no longer on Schedule A of S••••• A•••••••• L•• (listed 2023-05-15, absent 2023-08-23)
        Aug 23, 2023 · Control person left · inference
      • Ryan Matthew Cole (Manager) appeared on Schedule A of S••••• A•••••••• L••
        Aug 23, 2023 · Control person joined · fact
      • S••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        May 15, 2023 · 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