DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S•••• B•••••• C••••••• • Y•••• S••••••••• C•••

CRD 107400

CLINTON, NJ

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Search this name across graphsid dfx:ria:d8aa440a-73e5-1051-50e8-5401a1a465d5

Data as of Mar 30, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 29, 2012 to Mar 30, 2023
13 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $172M••• Locked
Discretionary RAUM: $0
Private client RAUM: $172Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••• D••••••• A••	CHIEF COMPLIANCE OFFICER	Na	yes	08/2004	Mar 29, 2012	Mar 30, 2023
S••••••••• B••••• A••	VICE PRESIDENT	Na	yes	05/1995	Mar 29, 2012	Mar 30, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S• P•••••••	n/a	Former SEC adviser	$27.5M	N	yes	n/a
B•••• S•••••••••	n/a	n/a	n/a	Y	yes	n/a
D•••••• A• M•••••

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$172M	$230M	-25.1%	$177M	-0.9%	3	4	0	0

Relationships

Affiliated with (2)

← S• P•••••••Registered adviserother investment adviser, common control
factForm ADV
→ S• P•••••••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (3)

← S••••••••• B••••• A••OwnerVICE PRESIDENT, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← Y••••• M••••••• D••••••OwnerPRESIDENT, ownership code E, individual

Dated events

Occurred
Jan 18, 2023
Advisor changed firm
Daniel John Hanley left S•••• B•••••• C••••••• • Y•••• S••••••••• C••• for Princeton Global Asset Management Llc (registered 2023-01-30)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d8aa440a-73e5-1051-50e8-5401a1a465d5
First observed: Mar 29, 2012
Last observed: Mar 30, 2023 42 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.