DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

F•••••• S••••• C••••••

Wealth manager with institutional or fund businessSEC-registeredwebsite

Wealth manager with institutional or fund business, reporting $27.8M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$27.8M
Advisors
0
RAUM change, 1 year
+79%
Private clients
32%
of RAUM, $8.9M
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 13 Mar 2026, RAUM $15.5M to $27.8M (+79.3%) on the Form ADV filed 13 Mar 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 324765 · SEC 801-127340 · 5 filingsShow
CRD 324765SEC 801-127340Legal name F•••••• S••••• M••••••••• L••First filing on the tape Jan 13, 2023, latest Mar 13, 2026SEC status approved since Feb 17, 2023IAPD
RAUM
$27.8M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
32%
$8.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape

RAUM +79% over the last fiscal year · the tape starts Jan 13, 2023

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$27.8M as of Mar 13, 2026
Mar 25, 2024$6.3M then
HNW client RAUM$8.9M as of Mar 13, 2026
Mar 25, 2024$2.3M then
State-registered IARs (5.B.3)1 as of Mar 13, 2026
Mar 25, 20241 then
Employees (5.A)1 as of Mar 13, 2026
Mar 25, 20241 then
Private funds: no history
RAUM +79% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShow
  • Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$27.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
117derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$76,215derivedHNW RAUM over HNW clients
Average account
$161,584derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
+79%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+10%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

40% pooled investment vehicles, 32% high-net-worth individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow
  • Pooled investment vehicles$11.1M40%
  • High-net-worth individuals$8.9M32%
  • Corporations and businesses$7.8M28%
Individual clients
0reported
HNW clients
117reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
172reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
RAUM: 32% private clients, 40% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••••• D••••• J••• R••••• · Ceo & Ccocontrol
        since 05/2021 · owns less than 5%
      • M•••••••• D••••• J••• R••••• · Ceocontrol
        since 08/2020 · owns 75% or more of F•••••• S••••• A••••••• U•• I•••
      Entity owners
      • F•••••• S••••• A••••••• U•• I••• · Owner
        direct · owns 75% or more
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      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
      • Accounts · 135 to 172
        Mar 11, 2025 to Mar 13, 2026
      • Corporate clients · 21 to 37
        Mar 11, 2025 to Mar 13, 2026
      • HNW clients · 106 to 117
        Mar 11, 2025 to Mar 13, 2026
      • Pooled vehicle clients · 8 to 18
        Mar 11, 2025 to Mar 13, 2026
      • HNW RAUM · $6.6M to $8.9M
        Mar 11, 2025 to Mar 13, 2026
      Full history · 32 changes
      • Non-discretionary RAUM · $15.5M to $27.8M
        Mar 11, 2025 to Mar 13, 2026
      • Pooled vehicle RAUM · $4.8M to $11.1M
        Mar 11, 2025 to Mar 13, 2026
      • RAUM · $15.5M to $27.8M
        Mar 11, 2025 to Mar 13, 2026
      • Accounts · 42 to 135
        Mar 25, 2024 to Mar 11, 2025
      • Corporate clients · 0 to 21
        Mar 25, 2024 to Mar 11, 2025
      • HNW clients · 38 to 106
        Mar 25, 2024 to Mar 11, 2025
      • Pooled vehicle clients · 3 to 8
        Mar 25, 2024 to Mar 11, 2025
      • Financial planning clients · unset to
        Mar 25, 2024 to Mar 11, 2025
      • HQ city · unset to
        Mar 25, 2024 to Mar 11, 2025
      • HQ state · unset to
        Mar 25, 2024 to Mar 11, 2025
      • HNW RAUM · $2.3M to $6.6M
        Mar 25, 2024 to Mar 11, 2025
      • Non-discretionary RAUM · $6.3M to $15.5M
        Mar 25, 2024 to Mar 11, 2025
      • Pooled vehicle RAUM · $3.8M to $4.8M
        Mar 25, 2024 to Mar 11, 2025
      • RAUM · $6.3M to $15.5M
        Mar 25, 2024 to Mar 11, 2025
      • Accounts · 0 to 42
        Jan 17, 2023 to Mar 25, 2024
      • Charity clients · unset to 0.0
        Jan 17, 2023 to Mar 25, 2024
      • Corporate clients · unset to 0.0
        Jan 17, 2023 to Mar 25, 2024
      • HNW clients · unset to 38.0
        Jan 17, 2023 to Mar 25, 2024
      • Individual clients · unset to 0.0
        Jan 17, 2023 to Mar 25, 2024
      • Pension plan clients · unset to 0.0
        Jan 17, 2023 to Mar 25, 2024
      • Pooled vehicle clients · unset to 3.0
        Jan 17, 2023 to Mar 25, 2024
      • HNW RAUM · unset to 2270850.0
        Jan 17, 2023 to Mar 25, 2024
      • Individual RAUM · unset to 0.0
        Jan 17, 2023 to Mar 25, 2024
      • Non-discretionary RAUM · $0 to $6.3M
        Jan 17, 2023 to Mar 25, 2024
      • Pension RAUM · unset to 0.0
        Jan 17, 2023 to Mar 25, 2024
      • Pooled vehicle RAUM · unset to 3772339.0
        Jan 17, 2023 to Mar 25, 2024
      • RAUM · $0 to $6.3M
        Jan 17, 2023 to Mar 25, 2024
      Signals
      1 dated events
      • ••• Locked
        Jan 13, 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.
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 13, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 13, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.