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.
Former SEC-registered adviser
Stratigraphic Asset Management, Inc.
Latest filing Dec 3, 2024
First filing on the tape Feb 15, 2012 · 33 filings
SEC status approved since Apr 30, 1993
RAUM
$160M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
65%
$104M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$160M as of Jan 22, 2024
Feb 15, 2012$98.7M then
HNW client RAUM$101M as of Jan 22, 2024
Jan 30, 2018$75.9M then
State-registered IARs (5.B.3)1 as of Jan 22, 2024
Feb 15, 20120 then
Employees (5.A)1 as of Jan 22, 2024
Jan 30, 20133 then
Private funds: no history
RAUM +28% over the last fiscal year+5.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Dec 3, 2024; every figure names its basis
- RAUM per advisor
- $160MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 76%derivedof RAUM
- Institutional
- 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $38.6M, 2 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$101M63%
- Charitable organizations$35.6M22%
- Corporations and businesses$11.3M7.0%
- Pension and profit-sharing plans$9.5M5.9%
- Individuals$2.8M1.8%
- Individual clients
- 12reported
- HNW clients
- 33reported
- Pension plan clients
- 15reported
- Charitable clients
- 2reported
- Accounts
- 64reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.6M for 2 clientsreported
- Compensation
- % of AUMreported
- 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
- Alan Saul Bernstein to Neuberger Berman Bd LLCJan 17, 2025 · Other
- Salomon Levy to Sedg Financial Services Corp.Oct 18, 2010 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Saul Alan Bernstein · President And Chief Compliance Officercontrolsince 02/1978 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Coral Gables, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 66 to 64Aug 15, 2023 to Jan 22, 2024
- HNW clients · 37 to 33Aug 15, 2023 to Jan 22, 2024
- Individual clients · 10 to 12Aug 15, 2023 to Jan 22, 2024
- Assets in custody · $32.4M to $38.6MAug 15, 2023 to Jan 22, 2024
- Discretionary RAUM · $92.4M to $121MAug 15, 2023 to Jan 22, 2024
- HNW RAUM · $75.7M to $101MAug 15, 2023 to Jan 22, 2024
- Individual RAUM · $1.4M to $2.8MAug 15, 2023 to Jan 22, 2024
- Non-discretionary RAUM · $32.4M to $38.6MAug 15, 2023 to Jan 22, 2024
- Pension RAUM · $8.0M to $9.5MAug 15, 2023 to Jan 22, 2024
- RAUM · $125M to $160MAug 15, 2023 to Jan 22, 2024
- HQ city · CORAL GABLES to unsetFeb 1, 2023 to Jul 13, 2023
- HQ state · FL to unsetFeb 1, 2023 to Jul 13, 2023
- Accounts · 68 to 66Dec 12, 2022 to Feb 1, 2023
- Individual clients · 11 to 10Dec 12, 2022 to Feb 1, 2023
- Pension plan clients · 16 to 15Dec 12, 2022 to Feb 1, 2023
- Assets in custody · $34.3M to $32.4MDec 12, 2022 to Feb 1, 2023
- Discretionary RAUM · $97.7M to $92.4MDec 12, 2022 to Feb 1, 2023
- HNW RAUM · $79.3M to $75.7MDec 12, 2022 to Feb 1, 2023
- Individual RAUM · $1.7M to $1.4MDec 12, 2022 to Feb 1, 2023
- Non-discretionary RAUM · $34.3M to $32.4MDec 12, 2022 to Feb 1, 2023
- Pension RAUM · $8.9M to $8.0MDec 12, 2022 to Feb 1, 2023
- RAUM · $132M to $125MDec 12, 2022 to Feb 1, 2023
- Accounts · 67 to 68Feb 23, 2022 to Dec 12, 2022
- Advisory employees · 2 to 1Feb 23, 2022 to Dec 12, 2022
- HNW clients · 36 to 37Feb 23, 2022 to Dec 12, 2022
- Individual clients · 12 to 11Feb 23, 2022 to Dec 12, 2022
- Pension plan clients · 15 to 16Feb 23, 2022 to Dec 12, 2022
- Assets in custody · $41.4M to $34.3MFeb 23, 2022 to Dec 12, 2022
- Employees · 2 to 1Feb 23, 2022 to Dec 12, 2022
- State-registered IARs · 2 to 1Feb 23, 2022 to Dec 12, 2022
- Discretionary RAUM · $114M to $97.7MFeb 23, 2022 to Dec 12, 2022
- HNW RAUM · $93.4M to $79.3MFeb 23, 2022 to Dec 12, 2022
- Individual RAUM · $2.4M to $1.7MFeb 23, 2022 to Dec 12, 2022
- Non-discretionary RAUM · $41.4M to $34.3MFeb 23, 2022 to Dec 12, 2022
- Pension RAUM · $10.1M to $8.9MFeb 23, 2022 to Dec 12, 2022
- RAUM · $155M to $132MFeb 23, 2022 to Dec 12, 2022
- Accounts · 68 to 67Feb 12, 2021 to Feb 21, 2022
- Corporate clients · 3 to 2Feb 12, 2021 to Feb 21, 2022
- HNW clients · 35 to 36Feb 12, 2021 to Feb 21, 2022
- Pension plan clients · 16 to 15Feb 12, 2021 to Feb 21, 2022
Signals
3 dated events
- Stratigraphic Asset Management, Inc. no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $160.0M)Feb 3, 2025 · Left the SEC roster · derived
- Alan Saul Bernstein left Stratigraphic Asset Management, Inc. for Neuberger Berman Bd Llc (registered 2025-06-13)Jan 17, 2025 · Advisor changed firm · fact
- Perelman Jayusia Bernstein (Chairman) no longer on Schedule A of Stratigraphic Asset Management, Inc. (listed 2022-02-23, absent 2022-12-12)Dec 12, 2022 · Control person left · inference
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