DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

S••••• F•••••••• M••••••••• L••

CRD 105310

PARSIPPANY, NJ

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Search this name across graphsid dfx:ria:f876625a-9c7f-1fc9-30b4-76b9c9f1547f

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 5
On other graphs: 0
Observed: Dec 23, 2011 to Mar 27, 2026
80 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=0.94 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.2B••• Locked
Discretionary RAUM: $1.2B
Private client RAUM: $1.1Bderived••• Locked
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor: $98.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••••• E•••• T•••••	n/a	PARSIPPANY, NJ	22	34	n/a	no
V•••••••• N•• S•••••••	Certified Financial Planner	PARSIPPANY, NJ	18	18

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••• K••••••• M••••••	PARTNER AND PRESIDENT	C	yes	01/2015	Mar 27, 2026	Mar 27, 2026
H•••••• S••••• K•••	PARTNER, WEALTH MANAGEMENT	A	yes	05/2019	Mar 27, 2026	Mar 27, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Sterling	Va	United States	3	no
Naples	FL	United States	2	no
n/a	n/a	n/a	1	no
Miami	FL	United States	0	no

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

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	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.2B	n/a	n/a	$840M	11.9%	17	n/a	5	n/a

Relationships

Registered with (20)

← R••• T•••••Advisorregistration: current employment
Jan 23, 2026 to presentfactForm ADV
← R••••• A••• B•••••Advisorregistration: current employment
Apr 15, 2022 to presentfactForm ADV
← G••••• C••••••••• D••Advisorregistration: current employment
Mar 25, 2022 to presentfactForm ADV
← J•••• S••••• K••••

Dated events

Occurred
Mar 28, 2024
Advisor changed firm
Gabriella Alvarenga left S••••• F•••••••• M••••••••• L•• for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-11-19)
Form ADVobserved 7 days ago
Occurred
Jun 14, 2023
Advisor changed firm
Stephanie Anastasia Carreras left S••••• F•••••••• M••••••••• L•• for Calamos Wealth Management Llc (registered 2023-07-06)
Form ADVobserved 7 days ago
Occurred
Jun 27, 2022
Control person joined
Benito Jose Rodriguez (Chief Operating Officer) appeared on Schedule A of S••••• F•••••••• M••••••••• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f876625a-9c7f-1fc9-30b4-76b9c9f1547f
First observed: Dec 23, 2011
Last observed: Mar 27, 2026 5 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.