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

S•••• I•••••

Former SEC-registered adviserTysons, VirginiaCRD 327634SEC 801-128652IAPD
Latest filing Mar 13, 2024
First filing on the tape Jul 31, 2023 · 4 filings
RAUM
$25,000
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$25,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
4 filings and snapshots on the tape
RAUM$25,000 as of Mar 13, 2024
Jul 31, 2023$0 then
HNW client RAUM: $0
State-registered IARs (5.B.3)1 as of Mar 13, 2024
Jul 31, 20231 then
Employees (5.A)1 as of Mar 13, 2024
Jul 31, 20231 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 13, 2024; every figure names its basis
RAUM per advisor
$25,000derivedRAUM over IAPD advisors; not a book size
Clients per advisor
2derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$12,500derivedRAUM 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 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
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, publicationsreportedItem 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)
  • 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
  • Individuals$25,000100%
Individual clients
2reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      • M••••• A•••• · Ceo & Ccocontrol
        since 09/2022 · 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
      • Accounts · 0 to 2
        Aug 23, 2023 to Mar 13, 2024
      • Advisory activities · 1 to 3
        Aug 23, 2023 to Mar 13, 2024
      • Charity clients · unset to 0.0
        Aug 23, 2023 to Mar 13, 2024
      • Corporate clients · unset to 0.0
        Aug 23, 2023 to Mar 13, 2024
      • HNW clients · unset to 0.0
        Aug 23, 2023 to Mar 13, 2024
      • Individual clients · unset to 2.0
        Aug 23, 2023 to Mar 13, 2024
      • Pension plan clients · unset to 0.0
        Aug 23, 2023 to Mar 13, 2024
      • Pooled vehicle clients · unset to 0.0
        Aug 23, 2023 to Mar 13, 2024
      • HNW RAUM · unset to 0.0
        Aug 23, 2023 to Mar 13, 2024
      • Individual RAUM · unset to 25000.0
        Aug 23, 2023 to Mar 13, 2024
      • Non-discretionary RAUM · $0 to $25,000
        Aug 23, 2023 to Mar 13, 2024
      • Pension RAUM · unset to 0.0
        Aug 23, 2023 to Mar 13, 2024
      • Pooled vehicle RAUM · unset to 0.0
        Aug 23, 2023 to Mar 13, 2024
      • RAUM · $0 to $25,000
        Aug 23, 2023 to Mar 13, 2024
      Signals
      1 dated events
      • S•••• I••••• filed its initial SEC registration (Form ADV)
        Jul 31, 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