DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

S••••• E••••••• I••

S••••• E•••••••, INC., CRD 11039

PARSIPPANY, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a508b613-94bf-8c02-71b2-fdda86338ac6

Data as of Jan 21, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 113
Dated events: 2
On other graphs: 1
Observed: Jan 12, 2012 to Jan 21, 2019
33 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

S••••• E••••••• I••

Intermediary · key crd, shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 0
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 0
High net worth clients: 0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• M•••••• C•••••	CHIEF OPERATIONS OFFICER	Na	yes	09/2007	Jan 12, 2012	Jan 21, 2019
G•••••• S••••••	PRESIDENT, CEO AND DIRECTOR	Na	yes	10/2016	Nov 23, 2016	Jan 21, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• F••••••••• L••	n/a	Bd affiliated wealth	$26B	Y	yes	n/a
S••••• R••• M••••••••• L••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	n/a	$3.0B	n/a	$2.4B	n/a	0	222	0	14

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••• F••••••••• L••	17	Dec 21, 2018	Jan 1, 2026	PARSIPPANY, NJ	Team lift out	RIA to ibd	25.4%
S••••• F•••••••• R•••••••• I••	2	Feb 9, 2018	Apr 3, 2006

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••• F•••••••• R•••••••• I••	16	Sep 20, 2018	Dec 1, 2017	PARSIPPANY, NJ	Team lift out	Other	25.0%

Relationships

showing 80 of 113

Affiliated with (5)

→ S••••• F••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
← S••••• F•••••••• R•••••••• I••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← S••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, broker-dealer, custodian, common control
factForm ADV
← S••••• F••••• W••••• C••••••••• I••

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Show 2 bookkeeping events

Occurred
Jan 21, 2019
••• Locked
Occurred
Jan 21, 2019
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a508b613-94bf-8c02-71b2-fdda86338ac6
First observed: Jan 12, 2012
Last observed: Jan 21, 2019 93 months 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.