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••••••••• C•••••• M•••••••••

Former SEC-registered adviserParamus, New JerseyCRD 106341SEC 801-40364IAPD
Legal name S••••••••• F•••••••• I••
Latest filing Feb 28, 2024
First filing on the tape Nov 11, 2011 · 23 filings
RAUM
$198M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$196M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$198M as of Feb 28, 2024
Apr 5, 2012$117M then
HNW client RAUM$146M as of Feb 28, 2024
Mar 28, 2018$135M then
State-registered IARs (5.B.3)1 as of Feb 28, 2024
Apr 1, 20131 then
Employees (5.A)3 as of Feb 28, 2024
Apr 1, 20136 then
Private funds: no history
RAUM +3.4% over the last fiscal year-1.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 28, 2024; every figure names its basis
RAUM per advisor
$198MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
290derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$431,903derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$146M74%
  • Individuals$50.0M25%
  • Pension and profit-sharing plans$1.9M1.0%
  • Corporations and businesses$271,3350.1%
  • Charitable organizations$96,3780.0%
Individual clients
198reported
HNW clients
92reported
Pension plan clients
3reported
Charitable clients
1reported
Accounts
458reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K•••••••• K••••••••• · Presidentcontrol
      since 09/2011 · owns 25% to 50%
    • L•••••• J••••••• A••• · Treasurercontrol
      since 09/2011 · owns 25% to 50%
    • D••••••• K••••• M•••• · Secretary
      since 01/1996 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list S••••••••• C•••••• M••••••••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 3 to 2
      Apr 3, 2023 to Feb 28, 2024
    • BD registered reps · 3 to 2
      Apr 3, 2023 to Feb 28, 2024
    • HNW clients · 89 to 92
      Apr 3, 2023 to Feb 28, 2024
    • Employees · 4 to 3
      Apr 3, 2023 to Feb 28, 2024
    • Insurance-licensed employees · 2 to 0
      Apr 3, 2023 to Feb 28, 2024
    • Discretionary RAUM · $191M to $198M
      Apr 3, 2023 to Feb 28, 2024
    • HNW RAUM · $141M to $146M
      Apr 3, 2023 to Feb 28, 2024
    • Individual RAUM · $48.4M to $50.0M
      Apr 3, 2023 to Feb 28, 2024
    • Pension RAUM · $1.8M to $1.9M
      Apr 3, 2023 to Feb 28, 2024
    • RAUM · $191M to $198M
      Apr 3, 2023 to Feb 28, 2024
    • Related adviser · true to false
      Apr 3, 2023 to Feb 28, 2024
    • Accounts · 496 to 458
      Nov 10, 2022 to Apr 3, 2023
    • Advisory employees · 4 to 3
      Nov 10, 2022 to Apr 3, 2023
    • BD registered reps · 4 to 3
      Nov 10, 2022 to Apr 3, 2023
    • Charity clients · 2 to 1
      Nov 10, 2022 to Apr 3, 2023
    • HNW clients · 88 to 89
      Nov 10, 2022 to Apr 3, 2023
    • Individual clients · 122 to 198
      Nov 10, 2022 to Apr 3, 2023
    • Employees · 5 to 4
      Nov 10, 2022 to Apr 3, 2023
    • Discretionary RAUM · $232M to $191M
      Nov 10, 2022 to Apr 3, 2023
    • HNW RAUM · $173M to $141M
      Nov 10, 2022 to Apr 3, 2023
    • Individual RAUM · $55.1M to $48.4M
      Nov 10, 2022 to Apr 3, 2023
    • Pension RAUM · $2.2M to $1.8M
      Nov 10, 2022 to Apr 3, 2023
    • RAUM · $232M to $191M
      Nov 10, 2022 to Apr 3, 2023
    • Accounts · 552 to 496
      Oct 5, 2021 to Mar 30, 2022
    • Advisory employees · 2 to 4
      Oct 5, 2021 to Mar 30, 2022
    • BD registered reps · 3 to 4
      Oct 5, 2021 to Mar 30, 2022
    • Individual clients · 134 to 122
      Oct 5, 2021 to Mar 30, 2022
    • Employees · 4 to 5
      Oct 5, 2021 to Mar 30, 2022
    • Insurance-licensed employees · 1 to 2
      Oct 5, 2021 to Mar 30, 2022
    • Discretionary RAUM · $205M to $232M
      Oct 5, 2021 to Mar 30, 2022
    • HNW RAUM · $154M to $173M
      Oct 5, 2021 to Mar 30, 2022
    • Individual RAUM · $47.2M to $55.1M
      Oct 5, 2021 to Mar 30, 2022
    • Pension RAUM · $2.2M to $2.2M
      Oct 5, 2021 to Mar 30, 2022
    • RAUM · $205M to $232M
      Oct 5, 2021 to Mar 30, 2022
    • Accounts · 434 to 552
      Jun 30, 2020 to Mar 31, 2021
    • Corporate clients · 3 to 2
      Jun 30, 2020 to Mar 31, 2021
    • HNW clients · 73 to 88
      Jun 30, 2020 to Mar 31, 2021
    • Individual clients · 131 to 134
      Jun 30, 2020 to Mar 31, 2021
    • Pension plan clients · 6 to 3
      Jun 30, 2020 to Mar 31, 2021
    • Discretionary RAUM · $173M to $205M
      Jun 30, 2020 to Mar 31, 2021
    Signals
    1 dated events
    • S••••• V•••••• O•••• left S••••••••• C•••••• M••••••••• for A•••••• A••••••• S••••••• (registered 2023-01-03)
      Jan 2, 2023 · Advisor changed firm · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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