DFX Intelligence

Data Factory

F••••••••• S••••• D•• S••••• F•••••••• • A•••••••••: 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 adviserindependent wealth managerSEC registeredRAUM 100m 1b

F••••••••• S••••• D•• S••••• F•••••••• • A•••••••••

S••••• F•••••••• & ASSOCIATES, CRD 109022

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:a70eb4f6-1aac-8a87-2b7c-79400814e9e1

Data as of Feb 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Feb 29, 2012 to Feb 24, 2026
23 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=2.0
Regulatory AUM: $160MItem 5.F on the latest filing (2026-02-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $160MderivedItem 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••••• F••••••••	Certified Financial Planner\|Chartered Financial Consultant	Basking Ridge, NJ	0	38	n/a	yes

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
F••••••••• S•••••	CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER	E	yes	08/1974	Feb 29, 2012	Jun 12, 2024
G••••••• A•••	Member	Na	no	03/2014	Mar 31, 2014

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
F•••••••• F•••••••• G••••• 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

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	$160M	$139M	15.2%	$103M	15.7%	4	4	0	0

Relationships

Registered with (5)

← S••••• F••••••••Advisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← Keith M ChasenAdvisorregistration: previous registration
May 1, 2013 to May 20, 2013factForm ADV
← TARA L JAKUBIKAdvisorregistration: previous registration
Jan 21, 2013 to May 7, 2013factForm ADV
← CATHERINE ANGELA MANISCALCO AVERY

Dated events

Occurred
Mar 31, 2014
Succession filed (Item 4)
F••••••••• S••••• D•• S••••• F•••••••• • A••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a70eb4f6-1aac-8a87-2b7c-79400814e9e1
First observed: Feb 29, 2012
Last observed: Feb 24, 2026 7 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.

2025	Feb 24, 2026	$160M	$0	4	2	0	n/a	n/a
2024	Feb 13, 2025	$139M	$0	4	2	0	n/a	n/a
2023	Mar 1, 2024	$120M	$0	4	2	0	n/a	n/a
2022	Mar 31, 2023	$103M	$0	4	2	0	n/a	n/a
2021	Mar 30, 2022	$121M	$0	4	2	0	n/a	n/a
2020	Mar 31, 2021	$104M	$0	4	2	0	n/a	n/a
2019	Mar 10, 2020	$101M	$0	2	2	0	n/a	n/a
2018	Mar 25, 2019	$125M	$0	4	2	0	n/a	n/a
2017	Mar 29, 2018	$125M	$0	3	2	0	n/a	n/a
2016	May 3, 2017	$115M	$0	3	2	n/a	n/a	n/a
2015	Feb 24, 2016	$113M	$0	3	2	n/a	n/a	n/a
2014	Mar 25, 2015	$111M	$0	2	2	n/a	n/a	n/a
2013	Mar 31, 2014	$104M	$0	1	1	n/a	n/a	n/a
2012	Mar 26, 2013	$100M	$0	3	1	n/a	n/a	n/a
2011	Feb 29, 2012	$90.6M	$0	n/a	n/a	n/a	n/a	n/a