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•• I••••••••• M••••••••• L••
Latest filing Mar 16, 2026
First filing on the tape May 2, 2024 · 10 filings
SEC status approved since May 31, 2024
RAUM
$138M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$27.7M
derived; firm RAUM over IAPD count
Employees
5
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$138M as of Mar 16, 2026
Jan 31, 2025$84.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 16, 2026
Jan 31, 20256 then
Employees (5.A)5 as of Mar 16, 2026
Jan 31, 20256 then
Private funds: no history
RAUM +65% over the last fiscal yearIARs 6 to 5
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
- RAUM per advisor
- $27.7MderivedRAUM 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
- $138MderivedRAUM 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
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +65%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- Investment companies$138M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••• M•••• M• · Managing Member & Chief Executive Officercontrolsince 04/2024 · owns 25% to 50%
- B••••• M••••••• A•••• · Chief Compliance Officersince 04/2024 · owns 5% to 10%
- F••••••• N•••••• M•••••• · President & Chief Investment Officersince 04/2024 · owns 25% to 50%
- G••••• M••••••• H••••• · Portfolio Manager & Analystsince 04/2024 · owns 5% to 10%
- L••••••• R•••••• J••• · Portfolio Manager & Analystsince 04/2024 · owns 5% to 10%
- Z••••••••• A••••••• A• · Shareholdersince 04/2024 · owns 5% to 10%
Related persons
Schedule D 7.A
- S•••••••• W••••• P•••••••• L•••investment advisernRAUM $1.6B
Advisers that list S•• I••••••••• M••••••••• L•• as a related person
- 148586 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Independence, Oh · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 16, 2026RAUM (Item 5.F) moved from $84,090,781 to $138,428,164 (+65.0%) between the annual amendments of 2025-01-31 and 2026-03-16; the peer median change was +4.0% (1148 comparable advisers, 93.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 93% percentile
What changed
consecutive filings, newest first
- Advisory employees · 6 to 5Dec 19, 2025 to Mar 16, 2026
- Employees · 6 to 5Dec 19, 2025 to Mar 16, 2026
- Insurance-licensed employees · 6 to 5Dec 19, 2025 to Mar 16, 2026
- State-registered IARs · 6 to 5Dec 19, 2025 to Mar 16, 2026
- Discretionary RAUM · $84.1M to $138MDec 19, 2025 to Mar 16, 2026
- RAUM · $84.1M to $138MDec 19, 2025 to Mar 16, 2026
- Financial planning clients · 0 to 0Oct 1, 2024 to Jan 31, 2025
- Discretionary RAUM · $80.7M to $84.1MOct 1, 2024 to Jan 31, 2025
- RAUM · $80.7M to $84.1MOct 1, 2024 to Jan 31, 2025
- Accounts · 0 to 1Sep 24, 2024 to Oct 1, 2024
- Discretionary RAUM · $0 to $80.7MSep 24, 2024 to Oct 1, 2024
- RAUM · $0 to $80.7MSep 24, 2024 to Oct 1, 2024
Signals
1 dated events
- S•• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 2, 2024 · 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
- Principal office phone
- 216-800-9000reportedpublic record, Form ADV, Mar 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $27.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026