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•••• B•••••• C••••••• • Y•••• S••••••••• C•••

Former SEC-registered adviserClinton, New JerseyCRD 107400SEC 801-50346IAPD
Latest filing Mar 30, 2023
First filing on the tape Mar 29, 2012 · 13 filings
RAUM
$172M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$172M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$172M as of Mar 30, 2023
Mar 29, 2012$126M then
HNW client RAUM$169M as of Mar 30, 2023
Mar 29, 2018$143M then
State-registered IARs (5.B.3)1 as of Mar 30, 2023
Mar 29, 20120 then
Employees (5.A)3 as of Mar 30, 2023
Mar 27, 20133 then
Private funds: no history
RAUM -25% over the last fiscal year-0.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2023; every figure names its basis
RAUM per advisor
$172MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
52derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.3MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%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
-25%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-27%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$169M98%
  • Individuals$3.0M1.7%
Individual clients
13reported
HNW clients
39reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
132reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M•••••• D••••••• A•• · Chief Compliance Officercontrol
    since 08/2004 · owns less than 5%
  • S••••••••• B••••• A•• · Vice Presidentcontrol
    since 05/1995 · owns less than 5%
  • Y••••• M••••••• D•••••• · Presidentcontrol
    since 03/1995 · owns 75% or more
Related persons
Schedule D 7.A
  • B•••• S•••••••••
    investment advisery
  • D•••••• A• M•••••
    investment advisery
  • M•••••• D•••••• Y••••
    pooled vehicle sponsory
  • S•••• P•••••••• L•••
    pooled vehicle sponsorn
  • S• P•••••••
    investment adviserpooled vehicle sponsornRAUM $27.5M
Advisers that list S•••• B•••••• C••••••• • Y•••• S••••••••• C••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 196 to 132
    Mar 29, 2022 to Mar 30, 2023
  • Advisory employees · 4 to 3
    Mar 29, 2022 to Mar 30, 2023
  • Advisory activities · 4 to 3
    Mar 29, 2022 to Mar 30, 2023
  • HNW clients · 50 to 39
    Mar 29, 2022 to Mar 30, 2023
  • Individual clients · 21 to 13
    Mar 29, 2022 to Mar 30, 2023
  • Employees · 4 to 3
    Mar 29, 2022 to Mar 30, 2023
  • HNW RAUM · $226M to $169M
    Mar 29, 2022 to Mar 30, 2023
  • Individual RAUM · $3.8M to $3.0M
    Mar 29, 2022 to Mar 30, 2023
  • Non-discretionary RAUM · $230M to $172M
    Mar 29, 2022 to Mar 30, 2023
  • RAUM · $230M to $172M
    Mar 29, 2022 to Mar 30, 2023
  • Accounts · 172 to 196
    Mar 30, 2021 to Mar 29, 2022
  • Advisory activities · 3 to 4
    Mar 30, 2021 to Mar 29, 2022
  • HNW clients · 49 to 50
    Mar 30, 2021 to Mar 29, 2022
  • Individual clients · 17 to 21
    Mar 30, 2021 to Mar 29, 2022
  • HNW RAUM · $196M to $226M
    Mar 30, 2021 to Mar 29, 2022
  • Individual RAUM · $3.7M to $3.8M
    Mar 30, 2021 to Mar 29, 2022
  • Non-discretionary RAUM · $199M to $230M
    Mar 30, 2021 to Mar 29, 2022
  • RAUM · $199M to $230M
    Mar 30, 2021 to Mar 29, 2022
  • Related bank · true to false
    Mar 30, 2021 to Mar 29, 2022
  • Accounts · 122 to 172
    Jul 28, 2020 to Mar 30, 2021
  • Advisory activities · 2 to 3
    Jul 28, 2020 to Mar 30, 2021
  • HNW clients · 35 to 49
    Jul 28, 2020 to Mar 30, 2021
  • Individual clients · 12 to 17
    Jul 28, 2020 to Mar 30, 2021
  • HNW RAUM · $174M to $196M
    Jul 28, 2020 to Mar 30, 2021
  • Individual RAUM · $2.7M to $3.7M
    Jul 28, 2020 to Mar 30, 2021
  • Non-discretionary RAUM · $177M to $199M
    Jul 28, 2020 to Mar 30, 2021
  • RAUM · $177M to $199M
    Jul 28, 2020 to Mar 30, 2021
  • Accounts · 117 to 122
    Mar 28, 2019 to Mar 30, 2020
  • Advisory employees · 3 to 4
    Mar 28, 2019 to Mar 30, 2020
  • HNW clients · 33 to 35
    Mar 28, 2019 to Mar 30, 2020
  • Individual clients · 13 to 12
    Mar 28, 2019 to Mar 30, 2020
  • Employees · 3 to 4
    Mar 28, 2019 to Mar 30, 2020
  • HNW RAUM · $143M to $174M
    Mar 28, 2019 to Mar 30, 2020
  • Individual RAUM · $5.3M to $2.7M
    Mar 28, 2019 to Mar 30, 2020
  • Non-discretionary RAUM · $148M to $177M
    Mar 28, 2019 to Mar 30, 2020
  • RAUM · $148M to $177M
    Mar 28, 2019 to Mar 30, 2020
  • Accounts · 114 to 117
    Mar 29, 2018 to Mar 28, 2019
  • HNW RAUM · $143M to $143M
    Mar 29, 2018 to Mar 28, 2019
  • Individual RAUM · $3.2M to $5.3M
    Mar 29, 2018 to Mar 28, 2019
  • Non-discretionary RAUM · $146M to $148M
    Mar 29, 2018 to Mar 28, 2019
Signals
1 dated events
  • D••••• J••• H••••• left S•••• B•••••• C••••••• • Y•••• S••••••••• C••• for P•••••••• G••••• A•••• M••••••••• L•• (registered 2023-01-30)
    Jan 18, 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