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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••• C•••••• M••••••••• L••
Latest filing Jun 25, 2026
First filing on the tape Mar 30, 2012 · 38 filings
SEC status approved since Feb 5, 1999
RAUM
$369M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
95%
$348M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$123M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$369M as of Jun 25, 2026
Mar 30, 2012$452M then
HNW client RAUM$334M as of Jun 25, 2026
Feb 16, 2018$292M then
State-registered IARs (5.B.3)2 as of Jun 25, 2026
Mar 30, 20120 then
Employees (5.A)3 as of Jun 25, 2026
Mar 26, 20135 then
Private funds1 as of Jun 25, 2026
Mar 11, 20211 then
RAUM +4.6% over the last fiscal year+11% a year over threeIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Jun 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $123MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $135M, 74 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$334M91%
- Individuals$14.4M3.9%
- Pension and profit-sharing plans$11.0M3.0%
- Charitable organizations$8.4M2.3%
- Pooled investment vehicles$846,9240.2%
- Individual clients
- 65reported
- HNW clients
- 249reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 317reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $135M for 74 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••••• C•••• B••••Chartered Financial Analyst | Stockton, Nj | Nov 23, 2021 | 27 y | 0 |
| H••••• T••••••• G••••••• | Stockton, Nj | Dec 27, 2021 | 36 y | 0 |
| G••• M••••••• D•••••Certified Financial Planner | Stockton, Nj | Jun 26, 2026 | 30 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- G••• M••••••• D••••• from B••• O• A•••••• I••••••••• S•••••••• I•••Jun 26, 2026 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M• S••• F••• 1• L•• | Real Estate Fund | $1.3M | 14 | Jul 15, 2020 |
| E•••• A••••••••• S••••••••• F••• L•no longer reported | Hedge Fund | $10,000 | 7 | Nov 30, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B••••• L•••••••• C•••• · President And Chief Compliance Officercontrolsince 01/1999 · owns 75% or more
- G•••••••• H•••••• T••••••• · Managing Directorcontrolsince 03/2004 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Stockton, Nj | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 0 to 1Mar 20, 2026 to Jun 25, 2026
- Accounts · 338 to 317Mar 6, 2025 to Mar 20, 2026
- HNW clients · 268 to 249Mar 6, 2025 to Mar 20, 2026
- Individual clients · 66 to 65Mar 6, 2025 to Mar 20, 2026
- Assets in custody · $110M to $135MMar 6, 2025 to Mar 20, 2026
- Discretionary RAUM · $325M to $365MMar 6, 2025 to Mar 20, 2026
- HNW RAUM · $321M to $334MMar 6, 2025 to Mar 20, 2026
- Individual RAUM · $13.0M to $14.4MMar 6, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $27.4M to $3.2MMar 6, 2025 to Mar 20, 2026
- Pension RAUM · $9.3M to $11.0MMar 6, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $1.2M to $846,924Mar 6, 2025 to Mar 20, 2026
- RAUM · $352M to $369MMar 6, 2025 to Mar 20, 2026
- Accounts · 333 to 338Nov 11, 2024 to Mar 6, 2025
- HNW clients · 265 to 268Nov 11, 2024 to Mar 6, 2025
- Individual clients · 64 to 66Nov 11, 2024 to Mar 6, 2025
- Pooled vehicle clients · unset to 1.0Nov 11, 2024 to Mar 6, 2025
- Financial planning clients · 0 to 0Nov 11, 2024 to Mar 6, 2025
- HQ city · unset to Nov 11, 2024 to Mar 6, 2025
- HQ state · unset to Nov 11, 2024 to Mar 6, 2025
- Discretionary RAUM · $288M to $325MNov 11, 2024 to Mar 6, 2025
- HNW RAUM · $264M to $321MNov 11, 2024 to Mar 6, 2025
- Individual RAUM · $12.4M to $13.0MNov 11, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $7.6M to $27.4MNov 11, 2024 to Mar 6, 2025
- Pension RAUM · $11.3M to $9.3MNov 11, 2024 to Mar 6, 2025
- Pooled vehicle RAUM · unset to 1182558.0Nov 11, 2024 to Mar 6, 2025
- RAUM · $296M to $352MNov 11, 2024 to Mar 6, 2025
- Accounts · 341 to 333Mar 3, 2023 to Feb 26, 2024
- HNW clients · 271 to 265Mar 3, 2023 to Feb 26, 2024
- Individual clients · 67 to 64Mar 3, 2023 to Feb 26, 2024
- Pooled vehicle clients · 1.0 to unsetMar 3, 2023 to Feb 26, 2024
- Discretionary RAUM · $267M to $288MMar 3, 2023 to Feb 26, 2024
- HNW RAUM · $241M to $264MMar 3, 2023 to Feb 26, 2024
- Individual RAUM · $11.8M to $12.4MMar 3, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $5.6M to $7.6MMar 3, 2023 to Feb 26, 2024
- Pension RAUM · $10.1M to $11.3MMar 3, 2023 to Feb 26, 2024
- Pooled vehicle RAUM · 1706250.0 to unsetMar 3, 2023 to Feb 26, 2024
- RAUM · $272M to $296MMar 3, 2023 to Feb 26, 2024
- Accounts · 406 to 341Apr 29, 2022 to Mar 3, 2023
- HNW clients · 354 to 271Apr 29, 2022 to Mar 3, 2023
- Individual clients · 48 to 67Apr 29, 2022 to Mar 3, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- S•••NY.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-584-4110reportedpublic record, Form ADV, Jun 25, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $123Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
S••• C•••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…