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S••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

S••••

S•••• INVESTMENTS LLC, CRD 226550

NEW YORK, NY

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Search this name across graphsid dfx:ria:469e7423-7f95-0c31-e50c-2ad8bb9132d6

Data as of Sep 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 19
On other graphs: 0
Observed: May 8, 2015 to Sep 9, 2026
64 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=13.0
Regulatory AUM: $4.9BItem 5.F on the latest filing (2026-09-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $251M
Private client RAUM: $4.9BderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••••••• L•••••••••	Certified Financial Planner	Homestead, FL \| BROAD BROOK, CT	1	11	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••• B••••••• A•••	CHIEF EXECUTIVE OFFICER	Na	yes	10/2024	Sep 9, 2026	Sep 9, 2026
R•••• K••••••••• D•••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2024	Sep 9, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••• C•••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 11 of 13

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$4.9B	$4.2B	18.1%	$2.6B	23.5%	124	120	0	0

Relationships

Registered with (2)

← S•••••••• L•••••••••Advisorregistration: current employment
Oct 30, 2025 to presentfactForm ADV
← John Michael RandallAdvisorregistration: previous registration
Sep 17, 2015 to Jul 19, 2017factForm ADV

Controls (3)

← K••••• B••••••• A•••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
May 8, 2015 to Oct 31, 2024factForm ADV
← R•••• K••••••••• D•••••

Dated events

Occurred
Oct 18, 2024
Control person left
Kim Liza Landsman (Chief Executive Officer) no longer on Schedule A of Stash (listed 2024-03-28, absent 2024-10-18)
Form ADVobserved 6 days ago
Occurred
Oct 18, 2024
Control person joined
Alex Brandon Krieg (Chief Executive Officer) appeared on Schedule A of Stash
Form ADVobserved 6 days ago
Occurred
Mar 28, 2024
Regulatory AUM changed
Stash reported RAUM $3.3B, up 28% from $2.6B (2023-12-14 to 2024-03-28)
Form ADVobserved 6 days ago
$733M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:469e7423-7f95-0c31-e50c-2ad8bb9132d6
First observed: May 8, 2015
Last observed: Sep 9, 2026 12 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.