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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SEC-registered adviser
S••••• B•••• A••••••••• I••
Latest filing Mar 19, 2026
First filing on the tape Mar 28, 2012 · 19 filings
SEC status approved since Aug 11, 1975
RAUM
$5.5B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
7.8%
$431M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$5.5B as of Mar 19, 2026
Mar 28, 2012$3.4B then
HNW client RAUM$102M as of Mar 19, 2026
Mar 29, 2018$33.0M then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 28, 20130 then
Employees (5.A)17 as of Mar 19, 2026
Mar 28, 201318 then
Private funds: no history
RAUM +14% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- 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
- $8.5MderivedHNW RAUM over HNW clients
- Average account
- $5.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 63%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
- Financial planning clients
- 2,500reportedItem 5.H
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$2.8B71%
- State and municipal entities$653M16%
- Individuals$329M8.2%
- High-net-worth individuals$102M2.6%
- Corporations and businesses$62.8M1.6%
- Individual clients
- 883reported
- HNW clients
- 12reported
- Pension plan clients
- 49reported
- Charitable clients
- n/areported
- Accounts
- 1,091reported
- Financial planning clients
- 2,500reported
- Wrap fee programs
- $0 sponsored, $290M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.08 fund_share=0.0 institutional_share=0.63 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• W•••••• J••• · Chairperson Of The Boardcontrolsince 07/2022 · owns 75% or more
- W•••••• D••••••• H•••• · Executive Vice Presidentcontrolsince 01/2022 · owns 5% to 10%
- W•••••• P•••• W•••••• · Executive Vice Presidentcontrolsince 01/2022 · owns 5% to 10%
- W•••••• P••••• B•••• · Presidentcontrolsince 01/2020 · owns 5% to 10%
- G•••••••• R••• · Vice President/Chief Compliance Officersince 09/1995 · owns less than 5%
- N•••••• M••••••••• R•••••• · Vice Presidentsince 03/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,094 to 1,091Mar 19, 2025 to Mar 19, 2026
- Corporate clients · 7 to 6Mar 19, 2025 to Mar 19, 2026
- HNW clients · 10 to 12Mar 19, 2025 to Mar 19, 2026
- Individual clients · 890 to 883Mar 19, 2025 to Mar 19, 2026
- Pension plan clients · 51 to 49Mar 19, 2025 to Mar 19, 2026
- Discretionary RAUM · $4.8B to $5.4BMar 19, 2025 to Mar 19, 2026
- HNW RAUM · $81.0M to $102MMar 19, 2025 to Mar 19, 2026
- Individual RAUM · $304M to $329MMar 19, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $57.8M to $60.5MMar 19, 2025 to Mar 19, 2026
- Pension RAUM · $2.4B to $2.8BMar 19, 2025 to Mar 19, 2026
- RAUM · $4.8B to $5.5BMar 19, 2025 to Mar 19, 2026
- Wrap assets (manager) · $240M to $290MMar 19, 2025 to Mar 19, 2026
- Accounts · 1,059 to 1,094Mar 28, 2024 to Mar 19, 2025
- HNW clients · 9 to 10Mar 28, 2024 to Mar 19, 2025
- Individual clients · 854 to 890Mar 28, 2024 to Mar 19, 2025
- Pension plan clients · 54 to 51Mar 28, 2024 to Mar 19, 2025
- Employees · 16 to 17Mar 28, 2024 to Mar 19, 2025
- Financial planning clients · More than 500 to More than 500Mar 28, 2024 to Mar 19, 2025
- Discretionary RAUM · $4.1B to $4.8BMar 28, 2024 to Mar 19, 2025
- HNW RAUM · $66.0M to $81.0MMar 28, 2024 to Mar 19, 2025
- Individual RAUM · $261M to $304MMar 28, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $52.8M to $57.8MMar 28, 2024 to Mar 19, 2025
- Pension RAUM · $2.1B to $2.4BMar 28, 2024 to Mar 19, 2025
- RAUM · $4.2B to $4.8BMar 28, 2024 to Mar 19, 2025
- Wrap assets (manager) · $220M to $240MMar 28, 2024 to Mar 19, 2025
- Accounts · 1,043 to 1,059Mar 29, 2023 to Mar 28, 2024
- BD registered reps · 4 to 0Mar 29, 2023 to Mar 28, 2024
- Corporate clients · 6 to 7Mar 29, 2023 to Mar 28, 2024
- HNW clients · 6 to 9Mar 29, 2023 to Mar 28, 2024
- Individual clients · 840 to 854Mar 29, 2023 to Mar 28, 2024
- Pension plan clients · 55 to 54Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.6B to $4.1BMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $47.5M to $66.0MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $236M to $261MMar 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $35.7M to $52.8MMar 29, 2023 to Mar 28, 2024
- Pension RAUM · $1.9B to $2.1BMar 29, 2023 to Mar 28, 2024
- RAUM · $3.6B to $4.2BMar 29, 2023 to Mar 28, 2024
- Related broker-dealer · true to falseMar 29, 2023 to Mar 28, 2024
- Wrap assets (manager) · $187M to $220MMar 29, 2023 to Mar 28, 2024
- Accounts · 1,013 to 1,043Mar 30, 2022 to Mar 29, 2023
Signals
1 dated events
- J••• R••••••• W••••• (Chairperson Of The Board) appeared on Schedule A of S••••• B•••• A••••••••• I••Mar 29, 2023 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/stacey-braun-associates-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••B••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-226-7707reportedpublic record, Form ADV, Mar 19, 2026
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
- Other 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