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••••••••• I•• L••

Former SEC-registered adviserParamus, New JerseyCRD 108077SEC 801-56956IAPD
Latest filing Apr 3, 2023
First filing on the tape Jan 3, 2012 · 20 filings
RAUM
$3.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$3.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$3.2M as of Apr 3, 2023
Apr 5, 2012$2.0M then
HNW client RAUM$2.6M as of Apr 3, 2023
Mar 28, 2018$3.3M then
State-registered IARs (5.B.3)1 as of Apr 3, 2023
Apr 1, 20131 then
Employees (5.A)4 as of Apr 3, 2023
Apr 1, 20136 then
Private funds: no history
RAUM -18% over the last fiscal year-5.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 3, 2023; every figure names its basis
RAUM per advisor
$3.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
7derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$857,422derivedHNW RAUM over HNW clients
Average account
$316,991derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, 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)
  • 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$2.6M81%
  • Individuals$597,63919%
Individual clients
4reported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
10reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D••••••• K••••• M•••• · Officer/Admin Managercontrol
    since 07/1999 · owns less than 5%
  • K•••••••• K••••••••• · Officer/Investment Managercontrol
    since 07/1999 · owns less than 5%
  • L•••••• J••••••• A••• · Officer/Investment Managercontrol
    since 09/2011 · owns less than 5%
  • T•••••••• M••• · Membercontrol
    since 07/1999 · owns 5% to 10%
  • T•••••• G•••• R••••• · Membercontrol
    since 07/1999 · owns 25% to 50%
  • K•••••••• K••••••••• · Membercontrol
    since 07/1999 · owns 25% to 50% of S••••••••• Financial, Inc.
  • L•••••• J••••••• A••• · Membercontrol
    since 09/2011 · owns 25% to 50% of S••••••••• Financial, Inc.
Entity owners
  • S••••••••• F•••••••• I•• · Managing Member
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Paramus, Nj · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Discretionary RAUM · $3.9M to $3.2M
    Nov 10, 2022 to Apr 3, 2023
  • HNW RAUM · $3.2M to $2.6M
    Nov 10, 2022 to Apr 3, 2023
  • Individual RAUM · $673,995 to $597,639
    Nov 10, 2022 to Apr 3, 2023
  • RAUM · $3.9M to $3.2M
    Nov 10, 2022 to Apr 3, 2023
  • Accounts · 13 to 10
    Oct 5, 2021 to Mar 30, 2022
  • Advisory employees · 2 to 3
    Oct 5, 2021 to Mar 30, 2022
  • HNW clients · 2 to 3
    Oct 5, 2021 to Mar 30, 2022
  • Individual clients · 6 to 4
    Oct 5, 2021 to Mar 30, 2022
  • Insurance-licensed employees · 1 to 2
    Oct 5, 2021 to Mar 30, 2022
  • State-registered IARs · 2 to 1
    Oct 5, 2021 to Mar 30, 2022
  • Discretionary RAUM · $3.7M to $3.9M
    Oct 5, 2021 to Mar 30, 2022
  • HNW RAUM · $2.9M to $3.2M
    Oct 5, 2021 to Mar 30, 2022
  • Individual RAUM · $791,958 to $673,995
    Oct 5, 2021 to Mar 30, 2022
  • RAUM · $3.7M to $3.9M
    Oct 5, 2021 to Mar 30, 2022
  • Accounts · 12 to 13
    Jun 29, 2020 to Mar 31, 2021
  • HNW clients · 1 to 2
    Jun 29, 2020 to Mar 31, 2021
  • Individual clients · 7 to 6
    Jun 29, 2020 to Mar 31, 2021
  • Discretionary RAUM · $3.7M to $3.7M
    Jun 29, 2020 to Mar 31, 2021
  • HNW RAUM · $2.3M to $2.9M
    Jun 29, 2020 to Mar 31, 2021
  • Individual RAUM · $1.4M to $791,958
    Jun 29, 2020 to Mar 31, 2021
  • RAUM · $3.7M to $3.7M
    Jun 29, 2020 to Mar 31, 2021
  • Accounts · 15 to 12
    Mar 27, 2019 to Mar 31, 2020
  • HNW clients · 2 to 1
    Mar 27, 2019 to Mar 31, 2020
  • Individual clients · 8 to 7
    Mar 27, 2019 to Mar 31, 2020
  • Other offices · 1 to 0
    Mar 27, 2019 to Mar 31, 2020
  • Discretionary RAUM · $5.2M to $3.7M
    Mar 27, 2019 to Mar 31, 2020
  • HNW RAUM · $3.9M to $2.3M
    Mar 27, 2019 to Mar 31, 2020
  • Individual RAUM · $1.3M to $1.4M
    Mar 27, 2019 to Mar 31, 2020
  • RAUM · $5.2M to $3.7M
    Mar 27, 2019 to Mar 31, 2020
  • Accounts · 14 to 15
    Mar 28, 2018 to Mar 27, 2019
  • Individual clients · 7 to 8
    Mar 28, 2018 to Mar 27, 2019
  • Discretionary RAUM · $4.8M to $5.2M
    Mar 28, 2018 to Mar 27, 2019
  • HNW RAUM · $3.3M to $3.9M
    Mar 28, 2018 to Mar 27, 2019
  • Individual RAUM · $1.5M to $1.3M
    Mar 28, 2018 to Mar 27, 2019
  • RAUM · $4.8M to $5.2M
    Mar 28, 2018 to Mar 27, 2019
  • Accounts · 11 to 14
    Apr 6, 2017 to Mar 28, 2018
  • HNW clients · unset to 2.0
    Apr 6, 2017 to Mar 28, 2018
  • Individual clients · unset to 7.0
    Apr 6, 2017 to Mar 28, 2018
  • Other offices · unset to 1.0
    Apr 6, 2017 to Mar 28, 2018
  • Discretionary RAUM · $1.4M to $4.8M
    Apr 6, 2017 to Mar 28, 2018
Signals
1 dated events
  • K••••••••• K••••••• left S••••••••• C•••••• M••••••••• I•• L•• for K••••• A••••••• S•••••••• L•• (registered 2024-12-16)
    Nov 7, 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