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•••••••• C•••••• L••
Latest filing Apr 1, 2026
First filing on the tape Nov 8, 2011 · 40 filings
SEC status approved since Mar 15, 2000
RAUM
$599M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
73%
$438M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$599M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$599M as of Apr 1, 2026
Mar 19, 2012$67.3M then
HNW client RAUM$422M as of Apr 1, 2026
Mar 28, 2018$93.0M then
State-registered IARs (5.B.3)1 as of Apr 1, 2026
Mar 19, 20120 then
Employees (5.A)4 as of Apr 1, 2026
Mar 7, 20132 then
Private funds: no history
RAUM +26% over the last fiscal year+29% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $599MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.5MderivedHNW RAUM over HNW clients
- Average account
- $2.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%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
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$422M70%
- Corporations and businesses$144M24%
- Charitable organizations$16.7M2.8%
- Individuals$15.9M2.7%
- Individual clients
- 46reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 218reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.73 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• D••• S••••••••Chartered Financial Analyst | Port Washington, Ny | May 26, 2010 | 44 y | 0 |
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
- P•••••• J••• L•••• to G•••••• C•••••• A•••••••Mar 30, 2009 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• A•••••• D••• · Managing Member & Chief Compliance Officercontrolsince 02/2000 · 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 · 210 to 218Sep 24, 2025 to Mar 31, 2026
- HNW clients · 50 to 56Sep 24, 2025 to Mar 31, 2026
- Individual clients · 48 to 46Sep 24, 2025 to Mar 31, 2026
- Employees · 3 to 4Sep 24, 2025 to Mar 31, 2026
- Discretionary RAUM · $477M to $599MSep 24, 2025 to Mar 31, 2026
- HNW RAUM · $318M to $422MSep 24, 2025 to Mar 31, 2026
- Individual RAUM · $13.9M to $15.9MSep 24, 2025 to Mar 31, 2026
- RAUM · $477M to $599MSep 24, 2025 to Mar 31, 2026
- Accounts · 198 to 210Jul 9, 2024 to Apr 7, 2025
- Charity clients · 4.0 to unsetJul 9, 2024 to Apr 7, 2025
- Corporate clients · 14 to 15Jul 9, 2024 to Apr 7, 2025
- HNW clients · 49 to 50Jul 9, 2024 to Apr 7, 2025
- Individual clients · 51 to 48Jul 9, 2024 to Apr 7, 2025
- Financial planning clients · unset to Jul 9, 2024 to Apr 7, 2025
- HQ city · unset to Jul 9, 2024 to Apr 7, 2025
- HQ state · unset to Jul 9, 2024 to Apr 7, 2025
- Discretionary RAUM · $370M to $477MJul 9, 2024 to Apr 7, 2025
- HNW RAUM · $240M to $318MJul 9, 2024 to Apr 7, 2025
- Individual RAUM · $15.1M to $13.9MJul 9, 2024 to Apr 7, 2025
- RAUM · $370M to $477MJul 9, 2024 to Apr 7, 2025
- HQ city · NEW YORK to unsetApr 1, 2024 to Jul 1, 2024
- HQ state · NY to unsetApr 1, 2024 to Jul 1, 2024
- Accounts · 181 to 198Mar 30, 2023 to Mar 29, 2024
- Charity clients · unset to 4.0Mar 30, 2023 to Mar 29, 2024
- Corporate clients · 11 to 14Mar 30, 2023 to Mar 29, 2024
- HNW clients · 47 to 49Mar 30, 2023 to Mar 29, 2024
- Individual clients · 38 to 51Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $277M to $370MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $185M to $240MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $9.4M to $15.1MMar 30, 2023 to Mar 29, 2024
- RAUM · $277M to $370MMar 30, 2023 to Mar 29, 2024
- Accounts · 167 to 181Nov 3, 2022 to Mar 29, 2023
- Corporate clients · 12 to 11Nov 3, 2022 to Mar 29, 2023
- HNW clients · 44 to 47Nov 3, 2022 to Mar 29, 2023
- Individual clients · 36 to 38Nov 3, 2022 to Mar 29, 2023
- Discretionary RAUM · $332M to $277MNov 3, 2022 to Mar 29, 2023
- HNW RAUM · $214M to $185MNov 3, 2022 to Mar 29, 2023
- Individual RAUM · $12.1M to $9.4MNov 3, 2022 to Mar 29, 2023
- RAUM · $332M to $277MNov 3, 2022 to Mar 29, 2023
- Accounts · 148 to 167Apr 1, 2021 to Mar 31, 2022
Signals
3 dated events
- S•••••••• C•••••• L•• reported RAUM $599.0M, up 26% from $477.0M (2025-09-24 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- S•••••••• C•••••• L•• reported RAUM $477.0M, up 29% from $369.9M (2024-07-09 to 2025-04-07)Apr 7, 2025 · RAUM change · derived
- S•••••••• C•••••• L•• reported RAUM $331.9M, up 58% from $210.0M (2021-04-01 to 2022-03-31)Mar 31, 2022 · 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 email
- i•••@s••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-683-1700reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-683-1700reportedpublic record, Form ADV, Apr 1, 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
- $599Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026