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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SEC-registered adviser
S•••••••• I••••••••• A••••••• L••
Latest filing Jun 3, 2026
First filing on the tape Mar 29, 2012 · 38 filings
SEC status approved since Nov 3, 1997
RAUM
$771M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
66%
$505M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$70.1M
derived; firm RAUM over IAPD count
Employees
12
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$771M as of Jun 3, 2026
Mar 29, 2012$418M then
HNW client RAUM$474M as of Jun 3, 2026
Mar 28, 2018$351M then
State-registered IARs (5.B.3)11 as of Jun 3, 2026
Mar 26, 20136 then
Employees (5.A)12 as of Jun 3, 2026
Mar 26, 201318 then
Private funds1 as of Mar 25, 2021
Mar 29, 20122 then
RAUM +26% over the last fiscal year+27% a year over threeIARs 11 to 11
Practice profile
derived from the filing of Jun 3, 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
- RAUM per advisor
- $70.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 5.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $95.2M, 68 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$474M62%
- Charitable organizations$161M21%
- Other investment advisers$85.7M11%
- Individuals$31.0M4.0%
- Corporations and businesses$10.5M1.4%
- Pension and profit-sharing plans$8.5M1.1%
- Individual clients
- 62reported
- HNW clients
- 123reported
- Pension plan clients
- 3reported
- Charitable clients
- 5reported
- Accounts
- 482reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $95.2M for 68 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.66 fund_share=0.11 institutional_share=0.22 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• C•••••• D••••••• | Summit, Nj | Jul 25, 2003 | 25 y | 1 |
| H••••• C•••Chartered Financial Analyst | Summit, Nj | Mar 24, 2015 | 28 y | 0 |
| A••••• B•••• M•••••Chartered Financial Analyst | Atlanta, Ga | Feb 8, 2017 | 15 y | 0 |
| M•••••• R•••••• F••••••••Chartered Financial Analyst | Summit, Nj | Mar 12, 2018 | 12 y | 0 |
| C••••••••• D••••• H••••••••Chartered Financial Analyst | Atlanta, Ga | Feb 18, 2021 | 42 y | 0 |
| G•••••• L•• K••••Chartered Financial Consultant, Chartered Financial Analyst | Atlanta, Ga | Mar 18, 2021 | 30 y | 1 |
| N••••• J• G••••••• | Summit, Nj | Feb 3, 2022 | 11 y | 0 |
| R••••• J• K••••• | Summit, Nj | Jun 15, 2022 | 28 y | 0 |
| K• W•• K•••• C••••Chartered Financial Analyst | London | Jan 20, 2023 | 11 y | 0 |
| B•••••• A•••••••• B••••••Certified Financial Planner | Summit, Nj | Sep 16, 2024 | 12 y | 0 |
| P••• H••••• A••••••••Certified Financial Planner | Summit, Nj | Jan 14, 2025 | 46 y | 6 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- P••• H••••• A•••••••• from K••••• A••••••• S•••••••• L••Jan 14, 2025 · Affiliated broker-dealer or bank to independent RIA
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• A••• R•••• L••no longer reported | Other Private Fund | $26.2M | 37 | Mar 29, 2012 |
| S••••• A••• A••• F•••• L•••no longer reported | Other Private Fund | $7.6M | 50 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••• H••••• · Managing Directorcontrolsince 01/2021 · owns 10% to 25%
- F••••••••• M••••••• R•••••• · Managing Directorcontrolsince 01/2021 · owns 10% to 25%
- G•••••••• N••••• · Chief Operating Officer/ Chief Compliance Officer/ Managing Directorcontrolsince 01/2021 · owns 10% to 25%
- H••••••••• C••••••••• D••••• · Senior Managing Directorcontrolsince 01/2021 · owns 25% to 50%
- M•••••• A•••••• B•••• · Managing Director/ Chief Financial Officercontrolsince 01/2021 · owns 10% to 25%
- K••••• G••••••• L•• · Chairman Emeritussince 01/2021 · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Summit, Nj · principal | 8 | 0 | 0 | ||
| Atlanta, Ga | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA4 employees
What changed
consecutive filings, newest first
- Accounts · 452 to 482Dec 8, 2025 to Mar 23, 2026
- Advisory employees · 10 to 11Dec 8, 2025 to Mar 23, 2026
- HNW clients · 111 to 123Dec 8, 2025 to Mar 23, 2026
- Individual clients · 68 to 62Dec 8, 2025 to Mar 23, 2026
- Pension plan clients · 2 to 3Dec 8, 2025 to Mar 23, 2026
- Assets in custody · $127M to $95.2MDec 8, 2025 to Mar 23, 2026
- Discretionary RAUM · $610M to $771MDec 8, 2025 to Mar 23, 2026
- HNW RAUM · $388M to $474MDec 8, 2025 to Mar 23, 2026
- Individual RAUM · $30.6M to $31.0MDec 8, 2025 to Mar 23, 2026
- Pension RAUM · $6.0M to $8.5MDec 8, 2025 to Mar 23, 2026
- RAUM · $610M to $771MDec 8, 2025 to Mar 23, 2026
- Accounts · 328 to 452Jan 21, 2025 to Mar 20, 2025
- Advisory employees · 8 to 10Jan 21, 2025 to Mar 20, 2025
- Corporate clients · 4 to 7Jan 21, 2025 to Mar 20, 2025
- HNW clients · 82 to 111Jan 21, 2025 to Mar 20, 2025
- Individual clients · 16 to 68Jan 21, 2025 to Mar 20, 2025
- Assets in custody · $44.6M to $127MJan 21, 2025 to Mar 20, 2025
- Employees · 11 to 12Jan 21, 2025 to Mar 20, 2025
- Financial planning clients · 1-10 to 1-10Jan 21, 2025 to Mar 20, 2025
- State-registered IARs · 9 to 11Jan 21, 2025 to Mar 20, 2025
- Discretionary RAUM · $434M to $610MJan 21, 2025 to Mar 20, 2025
- HNW RAUM · $254M to $388MJan 21, 2025 to Mar 20, 2025
- Individual RAUM · $5.3M to $30.6MJan 21, 2025 to Mar 20, 2025
- Pension RAUM · $5.3M to $6.0MJan 21, 2025 to Mar 20, 2025
- RAUM · $434M to $610MJan 21, 2025 to Mar 20, 2025
- Accounts · 317 to 328Jul 27, 2023 to Mar 21, 2024
- Charity clients · 4 to 5Jul 27, 2023 to Mar 21, 2024
- HNW clients · 84 to 82Jul 27, 2023 to Mar 21, 2024
- Individual clients · 11 to 16Jul 27, 2023 to Mar 21, 2024
- Assets in custody · $30.8M to $44.6MJul 27, 2023 to Mar 21, 2024
- Discretionary RAUM · $375M to $434MJul 27, 2023 to Mar 21, 2024
- HNW RAUM · $210M to $254MJul 27, 2023 to Mar 21, 2024
- Individual RAUM · $2.5M to $5.3MJul 27, 2023 to Mar 21, 2024
- Pension RAUM · $4.5M to $5.3MJul 27, 2023 to Mar 21, 2024
- RAUM · $375M to $434MJul 27, 2023 to Mar 21, 2024
- Accounts · 302 to 317Mar 16, 2022 to Mar 29, 2023
- Advisory employees · 7 to 8Mar 16, 2022 to Mar 29, 2023
- Advisory activities · 3 to 2Mar 16, 2022 to Mar 29, 2023
- Corporate clients · 5 to 4Mar 16, 2022 to Mar 29, 2023
- HNW clients · 74 to 84Mar 16, 2022 to Mar 29, 2023
Signals
11 dated events
- Seabridge Investment Advisors Llc reported RAUM $771.2M, up 26% from $610.4M (2025-12-08 to 2026-03-23)Mar 23, 2026 · RAUM change · derived
- Seabridge Investment Advisors Llc reported RAUM $610.4M, up 41% from $434.4M (2025-01-21 to 2025-03-20)Mar 20, 2025 · RAUM change · derived
- Bjorn Adrian Morffi (Managing Director/ Chief Financial Officer) appeared on Schedule A of Seabridge Investment Advisors LlcJan 14, 2021 · Control person joined · fact
- Howard Chin (Managing Director) appeared on Schedule A of Seabridge Investment Advisors LlcJan 14, 2021 · Control person joined · fact
- Richard Matthew Falkowski (Managing Director) appeared on Schedule A of Seabridge Investment Advisors LlcJan 14, 2021 · Control person joined · fact
- Dewitt Christopher Hohlstein (Senior Managing Director) appeared on Schedule A of Seabridge Investment Advisors LlcJan 14, 2021 · Control person joined · fact
- Nicole Goberman (Chief Operating Officer/ Chief Compliance Officer/ Managing Director) appeared on Schedule A of Seabridge Investment Advisors LlcJan 14, 2021 · Control person joined · fact
- Elizabeth Susan Boyd (Managing Director; Chief Compliance Officer) no longer on Schedule A of Seabridge Investment Advisors Llc (listed 2020-06-30, absent 2021-01-14)Jan 14, 2021 · Control person left · inference
- Charles David Descalzi (Managing Director) no longer on Schedule A of Seabridge Investment Advisors Llc (listed 2020-06-30, absent 2021-01-14)Jan 14, 2021 · Control person left · inference
- Carmine John Conti (Managing Director) no longer on Schedule A of Seabridge Investment Advisors Llc (listed 2020-06-30, absent 2021-01-14)Jan 14, 2021 · Control person left · inference
- Seabridge Investment Advisors Llc reported RAUM $407.3M, down 39% from $666.9M (2018-03-28 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
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
- Business phone
- 908-273-5085reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/seabridge-investment-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- seabridge.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 908-273-5085reportedpublic record, Form ADV, Jun 3, 2026
- Team page
- seabridge.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $70.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026