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•••••• M•••••••••
Legal name S••••• C•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape May 27, 2025 · 4 filings
SEC status approved since Jun 26, 2025
RAUM
$107M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
99%
$106M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$53.7M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$107M as of Mar 27, 2026
May 27, 2025$0 then
HNW client RAUM$78.3M as of Mar 27, 2026
Nov 3, 2025$74.9M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
May 27, 20251 then
Employees (5.A)3 as of Mar 27, 2026
May 27, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 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
- $53.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $262,790derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- High-net-worth individuals$78.3M73%
- Individuals$27.7M26%
- Charitable organizations$1.4M1.3%
- Individual clients
- 102reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 409reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••••• E••• S•••••••Certified Financial Planner, Chartered Financial Consultant | Hockessin, De | Jan 27, 2026 | 30 y | 5 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- L••••••• E••• S••••••• from O•••• W•••••• I•••Jan 27, 2026 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• P••••• J•••• · Chief Compliance Officercontrolsince 05/2025 · owns 5% to 10%
- S••••••• P••••• J••• · Chief Executive Officercontrolsince 05/2025 · 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 |
|---|---|---|---|---|---|
| Jupiter, Fl | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $92.8M to $106MJan 27, 2026 to Mar 27, 2026
- HNW RAUM · $74.9M to $78.3MJan 27, 2026 to Mar 27, 2026
- Individual RAUM · $30.6M to $27.7MJan 27, 2026 to Mar 27, 2026
- Non-discretionary RAUM · $13.7M to $1.7MJan 27, 2026 to Mar 27, 2026
- RAUM · $107M to $107MJan 27, 2026 to Mar 27, 2026
- Accounts · 503 to 409Jan 27, 2026 to Mar 27, 2026
- Advisory employees · 1 to 2Jan 27, 2026 to Mar 27, 2026
- HNW clients · 51 to 56Jan 27, 2026 to Mar 27, 2026
- Individual clients · 91 to 102Jan 27, 2026 to Mar 27, 2026
- Employees · 2 to 3Jan 27, 2026 to Mar 27, 2026
- State-registered IARs · 1 to 2Jan 27, 2026 to Mar 27, 2026
- Accounts · 0 to 503May 27, 2025 to Nov 3, 2025
- HNW clients · unset to 51.0May 27, 2025 to Nov 3, 2025
- Individual clients · unset to 91.0May 27, 2025 to Nov 3, 2025
- Financial planning clients · 0 to 51-100May 27, 2025 to Nov 3, 2025
- Discretionary RAUM · $0 to $92.8MMay 27, 2025 to Nov 3, 2025
- HNW RAUM · unset to 74930017.0May 27, 2025 to Nov 3, 2025
- Individual RAUM · unset to 30574418.0May 27, 2025 to Nov 3, 2025
- Non-discretionary RAUM · $0 to $13.7MMay 27, 2025 to Nov 3, 2025
- RAUM · $0 to $107MMay 27, 2025 to Nov 3, 2025
Signals
No event on the tape.
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
- 302-235-1284reportedpublic record, Form ADV, Mar 27, 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
- $53.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026