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••••••• D••• L••
Latest filing Jan 27, 2026
First filing on the tape Sep 30, 2025 · 2 filings
SEC status approved since Sep 30, 2025
RAUM
$279M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$276M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$93.0M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$279M as of Jan 27, 2026
Sep 30, 2025$0 then
HNW client RAUM: $227M
State-registered IARs (5.B.3)3 as of Jan 27, 2026
Sep 30, 20253 then
Employees (5.A)4 as of Jan 27, 2026
Sep 30, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $93.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $521,633derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $13.6M, 1 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$227M81%
- Individuals$48.7M17%
- Pension and profit-sharing plans$3.4M1.2%
- Individual clients
- 79reported
- HNW clients
- 75reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 535reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13.6M for 1 clientsreported
- 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=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• T••• S•••••••Certified Financial Planner | Plano, Tx | Oct 2, 2025 | 25 y | 1 |
| S•••• J•••••• S•••••••Certified Financial Planner | Plano, Tx | Oct 2, 2025 | 19 y | 2 |
| B•••• J••••• D•••Certified Financial Planner | Plano, Tx | Oct 2, 2025 | 16 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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
- S••••• T••• S••••••• from C••••••••• F•••••••• N••••••Oct 2, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••• J••••• D••• from C••••••••• F•••••••• N••••••Oct 2, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••• J•••••• S••••••• from C••••••••• F•••••••• N••••••Oct 2, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C••••••••• F•••••••• N••••••Oct 2, 2025 · Plano, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• B••••• J••••• · Chief Compliance Officer And Financial Advisor And Financial Advisor And Financial Advisorcontrolsince 08/2025 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Plano, Tx · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Jan 27, 2026custody of client assets (Item 9.A): no on the filing of 2025-09-30, yes on the filing of 2026-01-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 0 to 535Sep 30, 2025 to Jan 27, 2026
- HNW clients · unset to 75.0Sep 30, 2025 to Jan 27, 2026
- Individual clients · unset to 79.0Sep 30, 2025 to Jan 27, 2026
- Assets in custody · unset to 13631825.0Sep 30, 2025 to Jan 27, 2026
- Custody of client assets · false to trueSep 30, 2025 to Jan 27, 2026
- Discretionary RAUM · $0 to $276MSep 30, 2025 to Jan 27, 2026
- HNW RAUM · unset to 226975609.0Sep 30, 2025 to Jan 27, 2026
- Individual RAUM · unset to 48699851.0Sep 30, 2025 to Jan 27, 2026
- Non-discretionary RAUM · $0 to $3.4MSep 30, 2025 to Jan 27, 2026
- Pension RAUM · unset to 3397976.0Sep 30, 2025 to Jan 27, 2026
- RAUM · $0 to $279MSep 30, 2025 to Jan 27, 2026
Signals
1 dated events
- 3 advisors left C••••••••• F•••••••• N•••••• (Plano, TX) for S••••••• D••• L•• within 5 daysOct 2, 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 email
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 972-327-3607reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (972) 327-3607reportedpublic record, Form ADV, Jan 27, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $93.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026