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••••••••• C••••••• F•••••••• S••••••• L••
Latest filing Jan 20, 2026
First filing on the tape Aug 20, 2025 · 2 filings
SEC status approved since Aug 14, 2025
RAUM
$175M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
95%
$166M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$43.7M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$175M as of Jan 20, 2026
Aug 20, 2025$106M then
HNW client RAUM$110M as of Jan 20, 2026
Aug 20, 2025$52.0M then
State-registered IARs (5.B.3)4 as of Jan 20, 2026
Aug 20, 20254 then
Employees (5.A)4 as of Jan 20, 2026
Aug 20, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 20, 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
- 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
- RAUM per advisor
- $43.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $195,763derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $2.0M, 114 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$110M63%
- Individuals$55.7M32%
- Pension and profit-sharing plans$8.2M4.7%
- Charitable organizations$270,5560.2%
- Individual clients
- 167reported
- HNW clients
- 62reported
- Pension plan clients
- 18reported
- Charitable clients
- n/areported
- Accounts
- 892reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.0M for 114 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•• S•• D••••Certified Financial Planner | Spokane, Wa | Dec 12, 2024 | 12 y | 2 |
| N••• G•••••• S•••••Certified Financial Planner | Spokane, Wa | Dec 12, 2024 | 10 y | 1 |
| E•••• R••••• H•••Certified Financial Planner | Spokane, Wa | Dec 12, 2024 | 38 y | 1 |
| T••• M•••••• K•••••Certified Financial Planner | Spokane, Wa | Jun 20, 2025 | 21 y | 3 |
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
- T••• M•••••• K••••• from S•••••• W••••• A•••••••• L••Jun 20, 2025 · RIA to RIA
- E•••• R••••• H••• from S••••••••• C••••••• F•••••••• S•••••••• L••Dec 12, 2024 · Other
- A•• S•• D•••• from S••••••••• C••••••• F•••••••• S•••••••• L••Dec 12, 2024 · Other
- N••• G•••••• S••••• from S••••••••• C••••••• F•••••••• S•••••••• L••Dec 12, 2024 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from S••••••••• C••••••• F•••••••• S•••••••• L••Apr 19, 2025 · Spokane, Wa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• A••• S•• · Managing Member & Ccocontrolsince 05/2024 · owns less than 5%
- S•••••• N•••• G•••••• · Managing Membercontrolsince 05/2024 · owns 5% to 10%
Entity owners
- S••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Spokane, Wa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 701 to 892Aug 20, 2025 to Jan 20, 2026
- HNW clients · 25 to 62Aug 20, 2025 to Jan 20, 2026
- Individual clients · 219 to 167Aug 20, 2025 to Jan 20, 2026
- Pension plan clients · unset to 18.0Aug 20, 2025 to Jan 20, 2026
- Assets in custody · $409,978 to $2.0MAug 20, 2025 to Jan 20, 2026
- Financial planning clients · 0 to 101-250Aug 20, 2025 to Jan 20, 2026
- Other offices · 0 to 1Aug 20, 2025 to Jan 20, 2026
- Discretionary RAUM · $105M to $166MAug 20, 2025 to Jan 20, 2026
- HNW RAUM · $52.0M to $110MAug 20, 2025 to Jan 20, 2026
- Individual RAUM · $54.2M to $55.7MAug 20, 2025 to Jan 20, 2026
- Non-discretionary RAUM · $1.6M to $8.2MAug 20, 2025 to Jan 20, 2026
- Pension RAUM · unset to 8196712.0Aug 20, 2025 to Jan 20, 2026
- RAUM · $106M to $175MAug 20, 2025 to Jan 20, 2026
Signals
1 dated events
- S••••••••• C••••••• F•••••••• S•••••••• L••'s advisors moved to S••••••••• C••••••• F•••••••• S••••••• L•• (Spokane, WA): 3 of 3 registered, on the same dayApr 19, 2025 · Firm absorbed (people side) · derived
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 email
- k•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 509-443-0845reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/89975908/admin/page-posts/publishedreportedpublic record, Form ADV, Sep 18, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 509-443-0845reportedpublic record, Form ADV, Jan 20, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- s•••••••••.comreportedpublished 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
- $43.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026