DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
S••••• F•••••••• R•••••••• I••
Latest filing Jul 23, 2018
First filing on the tape Feb 14, 2012 · 25 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
222
76 advisory (5.B.1)
Offices
14
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: $0
State-registered IARs (5.B.3)70 as of Mar 30, 2018
Mar 28, 201370 then
Employees (5.A)222 as of Mar 30, 2018
Mar 28, 201375 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 80 to 70
Practice profile
derived from the filing of Jul 23, 2018; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.2derivedItem 5.A over advisors
- Advisors per office
- 4.7derived15 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planningreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- S•••••• G••••• to S••••• E••••••• I••Sep 27, 2018 · Other
- N•••• Z••••••• to S••••• E••••••• I••Sep 27, 2018 · Other
- J••• R• D•••• to S••••• E••••••• I••Sep 27, 2018 · Other
- M•••••• M•••••••• to S••••• F••••• W••••• C••••••••• I••Sep 25, 2018 · Other
- B•••• A••••• N•••• to S••••• E••••••• I••Sep 25, 2018 · Other
- T••• S•••• W•••• to S••••• E••••••• I••Sep 20, 2018 · Other
- M••••• J•••• M••••••• to S••••• E••••••• I••Sep 20, 2018 · Other
- V••••• D••••••• M•••••••• to S••••• E••••••• I••Sep 20, 2018 · Other
- S•••••••• R••••• S•••• to S••••• F••••• W••••• C••••••••• I••Sep 20, 2018 · Other
- K•••• K•••••• to S••••• E••••••• I••Sep 20, 2018 · Other
- B•••• S•••••• to S••••• E••••••• I••Sep 20, 2018 · Other
- R••• A••• H•••••• to S••••• E••••••• I••Sep 20, 2018 · Other
- G••••• L• R•••••• to S••••• E••••••• I••Sep 20, 2018 · Other
- S•••• T••••••• to S••••• E••••••• I••Sep 20, 2018 · Other
- B•••• E••••• B••••••• to S••••• E••••••• I••Sep 20, 2018 · Other
Joined, latest
- L•••••• N••••• K••••• from F•••• H•••••• A•••••••• I••Nov 2, 2017 · Other
- M••• A•••••••• G•••• from S••••• E••••••• I••Oct 11, 2017 · Other
- N•••• Z••••••• from S•••• A••••• W••••• M••••••••• L••Jun 5, 2017 · Other
- S•••••• G••••• from C••••• F••••••••• W••••• P•••••••• L••Jan 20, 2017 · Other
- J••••• B••••••• E•••• from N••••••••• M••••• I••••••••• S•••••••••Aug 17, 2016 · Other
- J••• A••••• F•••• from S••••• E••••••• I••Apr 5, 2016 · Other
- A••••• T••••• C•••• from S••••• E••••••• I••Mar 31, 2016 · Other
- J••• R• D•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 17, 2015 · Other
- V•••••• J••• N•••••••• from S••••• E••••••• I••Feb 13, 2015 · Other
- T••• S•••• W•••• from N••••••••• M••••• I••••••••• S•••••••••May 30, 2014 · Other
- M•••••• T••••• S••••••• from S••••• E••••••• I••May 5, 2014 · Other
- K•••• R•••• from S••••• E••••••• I••Jun 17, 2013 · Other
- A•••• M•••• H•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 21, 2012 · Other
- K•••• K•••••• from N••••••••• M••••• I••••••••• S•••••••••Sep 15, 2011 · Other
- L•••• C••••• H•••••• from S••••• E••••••• I••Aug 13, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for S••••• F••••• W••••• C••••••••• I••Sep 20, 2018 · Parsippany, Nj
- 16 left for S••••• E••••••• I••Sep 20, 2018 · Parsippany, Nj
- 2 left for K••••• A••••••• S•••••••• L••Feb 9, 2018 · Parsippany, Nj
- 2 joined from S••••• E••••••• I••Feb 9, 2018 · Parsippany, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• M••••••• W•••••• · Directorcontrolsince 07/1997 · owns 5% to 10%
- G•••••• S•••••• · President, Chief Executive Officer & Directorcontrolsince 10/2016 · owns less than 5%
- L••••••••• M••••• · Vp Chief Legal Officercontrolsince 09/2014 · owns less than 5%
- P••••••••• J•••• M•••••• · Directorcontrolsince 06/2009 · owns 5% to 10%
- R••••• J•••••• F•••••• · Vp Financial Planningcontrolsince 01/1997 · owns less than 5%
- S••••• S••••••••• R••••• · Directorcontrolsince 03/1982 · owns 5% to 10%
- S••••• J•••••• W•••••• · Directorcontrolsince 12/1985 · owns 10% to 25%
- S•••••••• M•••• D•••••• · Vp Chief Financial Officercontrolsince 09/2015 · owns less than 5%
- W••••••• S••••• · Chairman Of The Board, Chief Investment Officercontrolsince 11/1982 · owns 10% to 25%
- W••••• C••••• B•••• · Chief Compliance Officercontrolsince 06/2017 · owns less than 5%
- A•••••• F•••• · Shareholdersince 01/2008 · owns 5% to 10%
- B•••••• M••••••• C••••• · Vp Chief Operations Officersince 09/2007 · owns less than 5%
- O•••••• M•••• J••• · Shareholdersince 09/2015 · owns less than 5%
Related persons
Schedule D 7.A
- S••••• E••••••• I••broker-dealerinvestment adviserreal estaten
- S••••• R••• M••••••••• I•••real estaten
Advisers that list S••••• F•••••••• R•••••••• I•• as a related person
Offices
Schedule D 1.F, the 25 largest
- White Plains, NY4 employees
- Red Bank, NJ3 employees
- Hoboken, NJ2 employees
- Kingston, NJ2 employees
- Mount Pleasant, SC1 employees
- Fairfield, CT1 employees
- Madison, NJ1 employees
- Randolph, NJ1 employees
- Somerville, NJ1 employees
- Manalapan, NJ1 employees
- West Palm Beach, FL1 employees
- New York, NY1 employees
- Hamilton Square, NJ1 employees
- Clinton, NJ1 employees
What changed
consecutive filings, newest first
- Advisory employees · 80 to 76Sep 14, 2017 to Mar 30, 2018
- BD registered reps · 80 to 118Sep 14, 2017 to Mar 30, 2018
- Employees · 250 to 222Sep 14, 2017 to Mar 30, 2018
- Financial planning clients · 101-250 to 51-100Sep 14, 2017 to Mar 30, 2018
- State-registered IARs · 80 to 70Sep 14, 2017 to Mar 30, 2018
- Other offices · unset to 14.0Sep 14, 2017 to Mar 30, 2018
- HNW RAUM · unset to 0.0Sep 14, 2017 to Mar 30, 2018
- Individual RAUM · unset to 0.0Sep 14, 2017 to Mar 30, 2018
- Pension RAUM · unset to 0.0Sep 14, 2017 to Mar 30, 2018
- Pooled vehicle RAUM · unset to 0.0Sep 14, 2017 to Mar 30, 2018
- Advisory employees · 75 to 80Oct 14, 2014 to Mar 26, 2015
- BD registered reps · 75 to 80Oct 14, 2014 to Mar 26, 2015
- Employees · 235 to 250Oct 14, 2014 to Mar 26, 2015
- Insurance-licensed employees · 1 to 0Oct 14, 2014 to Mar 26, 2015
- State-registered IARs · 70 to 80Oct 14, 2014 to Mar 26, 2015
- Employees · 75 to 235Mar 28, 2013 to Mar 31, 2014
- Advisory employees · unset to 75.0Jul 25, 2012 to Mar 28, 2013
- BD registered reps · unset to 75.0Jul 25, 2012 to Mar 28, 2013
- Employees · unset to 75.0Jul 25, 2012 to Mar 28, 2013
- State-registered IARs · unset to 70.0Jul 25, 2012 to Mar 28, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- S••••• F•••••••• R•••••••• I•• · Private Equityshared crd · intermediary
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026