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

Sage Harbor Advisors, Inc.

Former SEC-registered adviserHouston, TexasCRD 107461SEC 801-77411IAPD
Latest filing Mar 14, 2017
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
$90.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$90.9M as of Mar 14, 2017
Mar 30, 2012$52.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 14, 2017
Mar 30, 20120 then
Employees (5.A)1 as of Mar 14, 2017
Apr 1, 20133 then
Private funds: no history
RAUM -14% over the last fiscal year-5.4% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 14, 2017; every figure names its basis
RAUM per advisor
$90.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$726,959derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-14%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, otherreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
125reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Hamilton David Belding · President, Chief Investment Officer, Chief Compliance Officercontrol
    since 07/2016 · owns 75% or more
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 · 141 to 125
    Jul 7, 2016 to Mar 14, 2017
  • Advisory activities · 3 to 2
    Jul 7, 2016 to Mar 14, 2017
  • Discretionary RAUM · $92.2M to $90.9M
    Jul 7, 2016 to Mar 14, 2017
  • RAUM · $92.2M to $90.9M
    Jul 7, 2016 to Mar 14, 2017
  • Accounts · 142 to 141
    Mar 18, 2016 to Jul 7, 2016
  • Advisory employees · 2 to 1
    Mar 18, 2016 to Jul 7, 2016
  • Employees · 3 to 1
    Mar 18, 2016 to Jul 7, 2016
  • Insurance-licensed employees · 0 to 1
    Mar 18, 2016 to Jul 7, 2016
  • State-registered IARs · 2 to 1
    Mar 18, 2016 to Jul 7, 2016
  • Discretionary RAUM · $105M to $92.2M
    Mar 18, 2016 to Jul 7, 2016
  • RAUM · $105M to $92.2M
    Mar 18, 2016 to Jul 7, 2016
  • Accounts · 148 to 142
    Mar 24, 2015 to Mar 18, 2016
  • Discretionary RAUM · $108M to $105M
    Mar 24, 2015 to Mar 18, 2016
  • RAUM · $108M to $105M
    Mar 24, 2015 to Mar 18, 2016
  • Accounts · 142 to 148
    Mar 6, 2014 to Mar 24, 2015
  • Discretionary RAUM · $107M to $108M
    Mar 6, 2014 to Mar 24, 2015
  • RAUM · $107M to $108M
    Mar 6, 2014 to Mar 24, 2015
  • Accounts · 146 to 142
    Sep 12, 2013 to Mar 5, 2014
  • Discretionary RAUM · $142M to $107M
    Sep 12, 2013 to Mar 5, 2014
  • RAUM · $142M to $107M
    Sep 12, 2013 to Mar 5, 2014
  • Accounts · 149 to 146
    Nov 21, 2012 to Apr 1, 2013
  • Business name · BELDING FINANCIAL RESOURCES, INC. to SAGE HARBOR ADVISORS, INC.
    Nov 21, 2012 to Apr 1, 2013
  • Legal name · BELDING FINANCIAL RESOURCES INC to SAGE HARBOR ADVISORS, INC.
    Nov 21, 2012 to Apr 1, 2013
  • Discretionary RAUM · $143M to $142M
    Nov 21, 2012 to Apr 1, 2013
  • RAUM · $143M to $142M
    Nov 21, 2012 to Apr 1, 2013
  • Accounts · 140 to 149
    Jun 6, 2012 to Nov 21, 2012
  • Advisory employees · unset to 2.0
    Jun 6, 2012 to Nov 21, 2012
  • Employees · unset to 3.0
    Jun 6, 2012 to Nov 21, 2012
  • State-registered IARs · 0 to 2
    Jun 6, 2012 to Nov 21, 2012
  • Discretionary RAUM · $52.2M to $143M
    Jun 6, 2012 to Nov 21, 2012
  • RAUM · $52.2M to $143M
    Jun 6, 2012 to Nov 21, 2012
  • Advisory activities · 1 to 3
    May 9, 2012 to Jun 6, 2012
Signals
1 dated events
  • Belding Financial Resources, Inc. filed its initial SEC registration (Form ADV)
    Nov 21, 2012 · First SEC registration · 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