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••••• C•••••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Nov 14, 2024 · 6 filings
SEC status approved since Dec 16, 2024
RAUM
$423M
reported, Item 5.F
Discretionary
8.9%
of RAUM
Private clients
4.4%
$18.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$423M
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
6 filings and snapshots on the tape
RAUM$423M as of Mar 30, 2026
Feb 26, 2025$0 then
HNW client RAUM$17.3M as of Mar 30, 2026
Apr 15, 2025$17.3M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Feb 26, 20251 then
Employees (5.A)1 as of Mar 30, 2026
Feb 26, 20252 then
Private funds: no history
RAUM +1.0% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $423MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 8derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $12.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 8.9%derivedof RAUM
- Institutional
- 4.5%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
- +1.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +33%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 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
- Charitable organizations$18.9M50%
- High-net-worth individuals$17.3M46%
- Individuals$1.3M3.5%
- Individual clients
- 5reported
- HNW clients
- 3reported
- Pension plan clients
- 0reported
- Charitable clients
- 4reported
- Accounts
- 33reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.04 fund_share=0.0 institutional_share=0.04 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
- C••••••••• J•••••••• M•••• · Managing Member And Ccocontrolsince 09/2024 · owns 50% to 75%
- C••••••••• A•••• · Membercontrolsince 11/2024 · owns 25% to 50%
Related persons
Schedule D 7.A
- C••••••••• I••••••••• C••••••••• L••investment advisernRAUM $14B
- C••••••••• I••••••••• S•••••••• L••investment advisernRAUM $150M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 30, 2026discretionary share of RAUM moved from 100.0% to 9.0% between the annual amendments of 2025-04-15 and 2026-03-30peers: other advisers, $100M to $500M (212)
What changed
consecutive filings, newest first
- Accounts · 26 to 33Apr 15, 2025 to Mar 30, 2026
- Charity clients · 3 to 4Apr 15, 2025 to Mar 30, 2026
- Individual clients · 3 to 5Apr 15, 2025 to Mar 30, 2026
- Discretionary RAUM · $419M to $37.5MApr 15, 2025 to Mar 30, 2026
- HNW RAUM · $17.3M to $17.3MApr 15, 2025 to Mar 30, 2026
- Individual RAUM · $1.2M to $1.3MApr 15, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $0 to $386MApr 15, 2025 to Mar 30, 2026
- RAUM · $419M to $423MApr 15, 2025 to Mar 30, 2026
- Accounts · 0 to 26Feb 26, 2025 to Apr 15, 2025
- Advisory employees · 2 to 1Feb 26, 2025 to Apr 15, 2025
- Charity clients · unset to 3.0Feb 26, 2025 to Apr 15, 2025
- Corporate clients · unset to 0.0Feb 26, 2025 to Apr 15, 2025
- HNW clients · unset to 3.0Feb 26, 2025 to Apr 15, 2025
- Individual clients · unset to 3.0Feb 26, 2025 to Apr 15, 2025
- Pension plan clients · unset to 0.0Feb 26, 2025 to Apr 15, 2025
- Pooled vehicle clients · unset to 0.0Feb 26, 2025 to Apr 15, 2025
- Employees · 2 to 1Feb 26, 2025 to Apr 15, 2025
- Financial planning clients · 0 to 0Feb 26, 2025 to Apr 15, 2025
- Discretionary RAUM · $0 to $419MFeb 26, 2025 to Apr 15, 2025
- HNW RAUM · unset to 17316924.0Feb 26, 2025 to Apr 15, 2025
- Individual RAUM · unset to 1244879.0Feb 26, 2025 to Apr 15, 2025
- Pension RAUM · unset to 0.0Feb 26, 2025 to Apr 15, 2025
- Pooled vehicle RAUM · unset to 0.0Feb 26, 2025 to Apr 15, 2025
- RAUM · $0 to $419MFeb 26, 2025 to Apr 15, 2025
- Related adviser · false to trueNov 18, 2024 to Nov 25, 2024
Signals
1 dated events
- S••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 14, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• C•••••• A•••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- 484-908-9118reportedpublic record, Form ADV, Mar 30, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $423Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026