DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S••••••• L•••

No RAUM reportedCRD 339681SEC 801-135065websiteIAPD
Legal name T••• I•••
Latest filing Sep 16, 2026
First filing on the tape Dec 11, 2025 · 3 filings
SEC status 120-day approval since Mar 23, 2026
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$0 as of Jul 20, 2026
Dec 11, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 20, 2026
Dec 11, 20250 then
Employees (5.A)11 as of Jul 20, 2026
Dec 11, 202511 then
Private funds: no history
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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
fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= 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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••• A•••••• · Chief Compliance Officer / Chief Executive Officer / Chief Investment Officercontrol
        since 11/2025 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      2 against comparable advisers; where to look, not conclusions
      • compensation changedChange between filings · filing Sep 16, 2026
        subscription fees (Item 5.E.3): yes on the filing of 2026-07-20, no on the filing of 2026-09-16
        peers: other advisers, under $100M (664)
      • business activity changedChange between filings · filing Sep 16, 2026
        portfolio management for pooled vehicles (Item 5.G.4): yes on the filing of 2026-07-20, no on the filing of 2026-09-16
        peers: other advisers, under $100M (664)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Financial planning clients · to unset
        Jul 20, 2026 to Sep 16, 2026
      • HQ city · to unset
        Jul 20, 2026 to Sep 16, 2026
      • HQ state · to unset
        Jul 20, 2026 to Sep 16, 2026
      • Related adviser · false to unset
        Jul 20, 2026 to Sep 16, 2026
      • Related bank · false to unset
        Jul 20, 2026 to Sep 16, 2026
      • Related broker-dealer · false to unset
        Jul 20, 2026 to Sep 16, 2026
      • Related insurance company · false to unset
        Jul 20, 2026 to Sep 16, 2026
      • Succession · false to unset
        Jul 20, 2026 to Sep 16, 2026
      • Business name · T••••••• to S••••••• L•••
        Dec 11, 2025 to Jul 20, 2026
      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
      Website
      s•••••••••.coreportedpublic record, Form ADV, Sep 16, 2026
      Principal office phone
      3479242009reportedpublic record, Form ADV, 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
      No RAUM reportedderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026