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••••• F•••••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Dec 23, 2011 · 80 filings
SEC status approved since Jan 15, 1988
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$1.1B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$98.0M
derived; firm RAUM over IAPD count
Employees
17
12 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
80 filings and snapshots on the tape
RAUM$1.2B as of Mar 27, 2026
Mar 29, 2012$313M then
HNW client RAUM$917M as of Mar 27, 2026
Mar 19, 2018$505M then
State-registered IARs (5.B.3)12 as of Mar 27, 2026
Apr 1, 201310 then
Employees (5.A)17 as of Mar 27, 2026
Apr 1, 201311 then
Private funds: no history
RAUM n/a over the last fiscal year+12% a year over three
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $98.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $608,720derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.0derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $79.2M, 79 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$917M78%
- Individuals$190M16%
- Corporations and businesses$42.0M3.6%
- Pension and profit-sharing plans$23.2M2.0%
- Charitable organizations$3.8M0.3%
- Individual clients
- 369reported
- HNW clients
- 320reported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 1,932reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $79.2M for 79 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• E•••• T••••• | Parsippany, Nj | Apr 2, 2004 | 34 y | 0 |
| V•••••••• N•• S•••••••Certified Financial Planner | Parsippany, Nj | Jun 19, 2008 | 18 y | 0 |
| S•••••• A••••• C•••• | Parsippany, Nj | Oct 15, 2012 | 37 y | 1 |
| S•••• K••• H•••••Certified Financial Planner | Parsippany, Nj | Oct 22, 2013 | 17 y | 1 |
| E•••••• Y•••••••• Y•••••Chartered Financial Analyst | Sterling, Va | Feb 10, 2014 | 17 y | 2 |
| D••••• D••••••• D••••••Certified Financial Planner | Parsippany, Nj | Sep 1, 2015 | 11 y | 0 |
| A••••• Y•••••Chartered Financial Analyst | Parsippany, Nj | Dec 4, 2015 | 12 y | 0 |
| J•••• S••••• K•••• | Naples, Fl | May 22, 2018 | 26 y | 2 |
| C••••••••• S• B•••• | Naples, Fl | May 22, 2018 | 17 y | 2 |
| G••••• C••••••••• D••Certified Financial Planner | Miami, Fl | Mar 25, 2022 | 16 y | 4 |
| R••••• A••• B•••••Chartered Financial Analyst | Parsippany, Nj | Apr 15, 2022 | 14 y | 0 |
| R••• T••••• | Parsippany, Nj | Jan 23, 2026 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- G•••••••• A•••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 28, 2024 · RIA to wirehouse
- S•••••••• A•••••••• C••••••• to C•••••• W••••• M••••••••• L••Jun 14, 2023 · RIA to RIA
- F•••• A•••••• F•••••••• to W••••••••• A••••••••• L•••••Sep 25, 2018 · RIA to RIA
- J••••• T••••• D••••• to B•• W••••• A•••••••• L••Aug 7, 2017 · Other
- M•••••• S••• M••••••• to F••••• I•••••••••Aug 15, 2016 · Other
- C••••••••• A•••••• C•••••• to F•••• C•••••• L••May 4, 2016 · Other
- K•••••• B•••••••• M••••••• to R•••••••• I•••••••••Nov 8, 2013 · Other
- D•••••• E••• B••••••• to C•••••••• G••••• M•••••• I•••Feb 20, 2007 · Other
Joined, latest
- G•••••••• A•••••••• from U•• F•••••••• S••••••• I•••Jul 12, 2023 · Wirehouse to independent RIA
- G••••• C••••••••• D•• from U•• F•••••••• S••••••• I•••Mar 25, 2022 · Wirehouse to independent RIA
- J•••• S••••• K•••• from T• A••••••••• I••••••••• M••••••••• L••May 22, 2018 · RIA to RIA
- C••••••••• S• B•••• from T• A••••••••• I•••May 22, 2018 · Other
- S•••••••• A•••••••• C••••••• from T• A••••••••• I••••••••• M••••••••• L••Apr 19, 2016 · Other
- J••••• T••••• D••••• from A••••• A•• P••••••• S•••••••Sep 15, 2015 · Other
- M•••••• S••• M••••••• from T• A••••••••• I••••••••• M••••••••• L••Aug 22, 2014 · Other
- E•••••• Y•••••••• Y••••• from S••••• M••••••••• U••• L••Feb 10, 2014 · Other
- S•••• K••• H••••• from S•••••••• A••••••• L••Oct 22, 2013 · Other
- C••••••••• A•••••• C•••••• from H••• S••••••••• •••• I•••May 10, 2013 · Other
- S•••••• A••••• C•••• from L••••••••• F••••••••• L••Oct 15, 2012 · Other
- K•••••• B•••••••• M••••••• from R•••••••• I•••••••••Sep 17, 2012 · Other
- D•••••• E••• B••••••• from T• A••••••••• I•••Nov 20, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• K••••••• M•••••• · Partner And Presidentcontrolsince 01/2015 · owns 25% to 50%
- H•••••• S••••• K••• · Partner, Wealth Managementcontrolsince 05/2019 · owns 5% to 10%
- R••••••••• J•••• B••••• · Chief Operating Officercontrolsince 06/2022 · owns less than 5%
- S•••••• L••••• A•• · Chief Financial Officercontrolsince 09/2015 · owns less than 5%
- T•••••• S••••••• E•••• · Chief Investment Strategist, Chief Compliance Officer, And Partnercontrolsince 05/2007 · owns 10% to 25%
- Y•••••• E••••••• Y•••••••• · Chief Executive Officer, Chief Investment Officer, And Partnercontrolsince 01/2015 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Parsippany, Nj · principal | 12 | 1 | 0 | ||
| Sterling, Va | 3 | 0 | 0 | ||
| Naples, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Sterling, VA3 employees
- Naples, FL2 employees
- , 1 employees
- Miami, FL
What changed
consecutive filings, newest first
- Accounts · 1,907 to 1,932Sep 26, 2025 to Mar 27, 2026
- Advisory employees · 13 to 12Sep 26, 2025 to Mar 27, 2026
- Corporate clients · 10 to 9Sep 26, 2025 to Mar 27, 2026
- HNW clients · 317 to 320Sep 26, 2025 to Mar 27, 2026
- Individual clients · 371 to 369Sep 26, 2025 to Mar 27, 2026
- Pension plan clients · 10 to 9Sep 26, 2025 to Mar 27, 2026
- Employees · 19 to 17Sep 26, 2025 to Mar 27, 2026
- Financial planning clients · 101-250 to 51-100Sep 26, 2025 to Mar 27, 2026
- State-registered IARs · 13 to 12Sep 26, 2025 to Mar 27, 2026
- Other offices · 6 to 5Sep 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.1B to $1.2BSep 26, 2025 to Mar 27, 2026
- HNW RAUM · $829M to $917MSep 26, 2025 to Mar 27, 2026
- Individual RAUM · $158M to $190MSep 26, 2025 to Mar 27, 2026
- Pension RAUM · $27.8M to $23.2MSep 26, 2025 to Mar 27, 2026
- RAUM · $1.1B to $1.2BSep 26, 2025 to Mar 27, 2026
- Accounts · 1,941 to 1,907Jul 29, 2024 to May 1, 2025
- Advisory employees · 15 to 13Jul 29, 2024 to May 1, 2025
- Corporate clients · 12 to 10Jul 29, 2024 to May 1, 2025
- HNW clients · 259 to 317Jul 29, 2024 to May 1, 2025
- Individual clients · 440 to 371Jul 29, 2024 to May 1, 2025
- Pension plan clients · 12 to 10Jul 29, 2024 to May 1, 2025
- Assets in custody · $274M to $79.2MJul 29, 2024 to May 1, 2025
- Employees · 20 to 19Jul 29, 2024 to May 1, 2025
- Financial planning clients · 101-250 to 101-250Jul 29, 2024 to May 1, 2025
- State-registered IARs · 15 to 13Jul 29, 2024 to May 1, 2025
- Other offices · 8 to 6Jul 29, 2024 to May 1, 2025
- Discretionary RAUM · $949M to $1.1BJul 29, 2024 to May 1, 2025
- HNW RAUM · $627M to $829MJul 29, 2024 to May 1, 2025
- Individual RAUM · $261M to $158MJul 29, 2024 to May 1, 2025
- Pension RAUM · $30.3M to $27.8MJul 29, 2024 to May 1, 2025
- RAUM · $949M to $1.1BJul 29, 2024 to May 1, 2025
- Accounts · 1,945 to 1,941Nov 9, 2023 to Mar 13, 2024
- Corporate clients · 7 to 12Nov 9, 2023 to Mar 13, 2024
- HNW clients · 276 to 259Nov 9, 2023 to Mar 13, 2024
- Individual clients · 431 to 440Nov 9, 2023 to Mar 13, 2024
- Pension plan clients · 11 to 12Nov 9, 2023 to Mar 13, 2024
- Assets in custody · $959,950 to $274MNov 9, 2023 to Mar 13, 2024
- Financial planning clients · 51-100 to 101-250Nov 9, 2023 to Mar 13, 2024
- Discretionary RAUM · $840M to $949MNov 9, 2023 to Mar 13, 2024
- HNW RAUM · $575M to $627MNov 9, 2023 to Mar 13, 2024
Signals
5 dated events
- G•••••••• A•••••••• left S••••• F•••••••• M••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-11-19)Mar 28, 2024 · Advisor changed firm · fact
- S•••••••• A•••••••• C••••••• left S••••• F•••••••• M••••••••• L•• for C•••••• W••••• M••••••••• L•• (registered 2023-07-06)Jun 14, 2023 · Advisor changed firm · fact
- Benito Jose Rodriguez (Chief Operating Officer) appeared on Schedule A of S••••• F•••••••• M••••••••• L••Jun 27, 2022 · Control person joined · fact
- Kyle Shawn Hirsch (Partner, Wealth Management) appeared on Schedule A of S••••• F•••••••• M••••••••• L••May 22, 2019 · Control person joined · fact
- K•••••• F••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 30, 2015 · Succession (Item 4) · 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
- Business phone
- 800-390-2755reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/signet-financial-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••FM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (973) 543-6660reportedpublic record, Form ADV, Mar 27, 2026
- Team page
- signetfm.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $98.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026