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••••• A•• C•••••• W••••• A•••••••
Legal name S••••• A•• C•••••• W••••• A•••••••• L••
Latest filing Apr 10, 2026
First filing on the tape May 22, 2025 · 6 filings
SEC status approved since May 19, 2025
RAUM
$183M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$182M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$45.9M
derived; firm RAUM over IAPD count
Employees
4
4 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$183M as of Apr 10, 2026
May 22, 2025$0 then
HNW client RAUM$151M as of Apr 10, 2026
Aug 28, 2025$126M then
State-registered IARs (5.B.3)4 as of Apr 10, 2026
May 22, 20252 then
Employees (5.A)4 as of Apr 10, 2026
May 22, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 10, 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
- RAUM per advisor
- $45.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $427,610derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $37.8M, 44 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$151M83%
- Individuals$30.4M17%
- Corporations and businesses$1.2M0.7%
- Charitable organizations$375,3580.2%
- Individual clients
- 141reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 429reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $37.8M for 44 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• D•••• S•••••Certified Financial Planner, Personal Financial Specialist | High Point, Nc | May 23, 2025 | 34 y | 3 |
| W••••• C••• C••••••Personal Financial Specialist | High Point, Nc | May 29, 2025 | 29 y | 2 |
| J••••• D•••• S••••• | High Point, Nc | May 29, 2025 | 20 y | 1 |
| K••• W••••••• S•••••Certified Financial Planner | High Point, Nc | Sep 21, 2025 | 11 y | 0 |
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
- W••••• C••• C•••••• from T•• W••••• G••••• L••May 29, 2025 · RIA to a newly registered adviser
- J••••• D•••• S••••• from T•• W••••• G••••• L••May 29, 2025 · RIA to a newly registered adviser
- J•••• D•••• S••••• from T•• W••••• G••••• L••May 23, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from T•• W••••• G••••• L••Jul 16, 2025 · High Point, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• J••••• D•••• · Managing Member/Ccocontrolsince 06/2025 · 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 |
|---|---|---|---|---|---|
| High Point, Nc · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Individual clients · 49 to 141Feb 18, 2026 to Mar 12, 2026
- Assets in custody · unset to 37813653.0Feb 18, 2026 to Mar 12, 2026
- Custody of client assets · false to trueFeb 18, 2026 to Mar 12, 2026
- Employees · 3 to 4Feb 18, 2026 to Mar 12, 2026
- State-registered IARs · 2 to 4Feb 18, 2026 to Mar 12, 2026
- Discretionary RAUM · $164M to $183MFeb 18, 2026 to Mar 12, 2026
- HNW RAUM · $126M to $151MFeb 18, 2026 to Mar 12, 2026
- Individual RAUM · $35.9M to $30.4MFeb 18, 2026 to Mar 12, 2026
- RAUM · $164M to $183MFeb 18, 2026 to Mar 12, 2026
- Accounts · 393 to 429Feb 18, 2026 to Mar 12, 2026
- Advisory employees · 2 to 4Feb 18, 2026 to Mar 12, 2026
- Charity clients · unset to 6.0Feb 18, 2026 to Mar 12, 2026
- HNW clients · 38 to 53Feb 18, 2026 to Mar 12, 2026
- Financial planning clients · 0 to 0Aug 28, 2025 to Sep 18, 2025
- Accounts · 0 to 393May 22, 2025 to Aug 28, 2025
- HNW clients · unset to 38.0May 22, 2025 to Aug 28, 2025
- Individual clients · unset to 49.0May 22, 2025 to Aug 28, 2025
- Discretionary RAUM · $0 to $164MMay 22, 2025 to Aug 28, 2025
- HNW RAUM · unset to 126322664.0May 22, 2025 to Aug 28, 2025
- Individual RAUM · unset to 35940675.0May 22, 2025 to Aug 28, 2025
- RAUM · $0 to $164MMay 22, 2025 to Aug 28, 2025
Signals
1 dated events
- 3 advisors left T•• W••••• G••••• L•• (High Point, NC) for S••••• A•• C•••••• W••••• A••••••• on the same dayJul 16, 2025 · Team lift-out · 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 phone
- 336-889-3013reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 336-889-5021reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 336-889-3013reportedpublic record, Form ADV, Apr 10, 2026
- Contact form
- 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
- $45.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026