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 Jun 11, 2026
First filing on the tape Mar 22, 2012 · 49 filings
SEC status approved since Jun 28, 2000
RAUM
$1.6B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
95%
$1.5B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$202M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$1.6B as of Jun 11, 2026
Mar 22, 2012$240M then
HNW client RAUM$1.5B as of Jun 11, 2026
Mar 28, 2018$503M then
State-registered IARs (5.B.3)5 as of Jun 11, 2026
Mar 12, 20130 then
Employees (5.A)8 as of Jun 11, 2026
Mar 12, 20132 then
Private funds2 as of Jun 11, 2026
Mar 27, 20262 then
RAUM +11% over the last fiscal year+5.6% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jun 11, 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)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $202MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $20.2MderivedHNW RAUM over HNW clients
- Average account
- $3.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $99.3M, 10 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.5B95%
- Charitable organizations$49.3M3.1%
- Insurance companies$14.9M0.9%
- Banks and thrifts$13.1M0.8%
- Individual clients
- n/areported
- HNW clients
- 76reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 435reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $99.3M for 10 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• A•••••• P•••••• | Miami, Fl | May 12, 2021 | 21 y | 1 |
| N••••• J••••• C••••••• | Miami, Fl | Dec 15, 2021 | 11 y | 1 |
| K•••• H•••••••• | Miami, Fl | Jan 6, 2022 | 14 y | 0 |
| M•••• T••••• F•••• C••••• | Miami, Fl | Aug 11, 2022 | 11 y | 0 |
| R••••• J••• D••••••••• | Miami, Fl | Feb 22, 2024 | 34 y | 3 |
| C•••••• W•••••• F••••Chartered Financial Analyst | Miami, Fl | Jan 1, 2026 | 10 y | 1 |
| L••••••• C•••• R•••• | Miami, Fl | Aug 7, 2026 | 11 y | 0 |
| R••• J•••• N••••• | Miami, Fl | Sep 4, 2026 | 10 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- R••••• J••• D••••••••• to P••••• A••••••• L••Dec 31, 2012 · Other
Joined, latest
- R••• J•••• N••••• from B••••• P•••••••• L••Sep 4, 2026 · RIA to RIA
- C•••••• W•••••• F•••• from U•• F•••••••• S••••••• I•••Jan 1, 2026 · Wirehouse to independent RIA
- N••••• J••••• C••••••• from P••••• A••••••• L••Dec 15, 2021 · RIA to RIA
- C••••• A•••••• P•••••• from P••••• A••••••• L••May 12, 2021 · RIA to RIA
- R••••• J••• D••••••••• from P••••• A••••••• L••Apr 2, 2021 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from P••••• A••••••• L••Dec 9, 2021 · Miami, Fl
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• L••• S•••• V•••••• 2••• E••••• L• | $1.3M | 8 | Jun 11, 2026 | |
| S•• L••• S•••• V•••••• 2•••• L• | $1.3M | 8 | Jun 11, 2026 |
Owners and control persons
Schedule A and B, latest filing
- D••••••••• R•••••• J••• · Managing Membercontrolsince 02/1998 · owns less than 5%
- P••••••• C•••••• A•••••• · Managing Membercontrolsince 01/2016 · owns 25% to 50%
- M•••••••• M•••• · Chief Compliance Officersince 03/2026 · owns less than 5%
Entity owners
- S••••••• S• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 8 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 528 to 435Sep 19, 2025 to Mar 27, 2026
- HNW clients · 74 to 76Sep 19, 2025 to Mar 27, 2026
- Employees · 6 to 8Sep 19, 2025 to Mar 27, 2026
- Private funds · unset to 2Sep 19, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.4B to $1.5BSep 19, 2025 to Mar 27, 2026
- HNW RAUM · $1.4B to $1.5BSep 19, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $62.7M to $68.4MSep 19, 2025 to Mar 27, 2026
- RAUM · $1.5B to $1.6BSep 19, 2025 to Mar 27, 2026
- Accounts · 519 to 528Mar 27, 2025 to Sep 19, 2025
- Advisory employees · 5 to 6Mar 27, 2025 to Sep 19, 2025
- Advisory activities · 6 to 5Mar 27, 2025 to Sep 19, 2025
- HNW clients · 76 to 74Mar 27, 2025 to Sep 19, 2025
- Assets in custody · $121M to $99.3MMar 27, 2025 to Sep 19, 2025
- Employees · 5 to 6Mar 27, 2025 to Sep 19, 2025
- Discretionary RAUM · $1.4B to $1.4BMar 27, 2025 to Sep 19, 2025
- HNW RAUM · $1.4B to $1.4BMar 27, 2025 to Sep 19, 2025
- Non-discretionary RAUM · $51.5M to $62.7MMar 27, 2025 to Sep 19, 2025
- RAUM · $1.5B to $1.5BMar 27, 2025 to Sep 19, 2025
- Accounts · 517 to 519Apr 24, 2024 to Mar 27, 2025
- Advisory activities · 5 to 6Apr 24, 2024 to Mar 27, 2025
- HNW clients · 78 to 76Apr 24, 2024 to Mar 27, 2025
- Assets in custody · $130M to $121MApr 24, 2024 to Mar 27, 2025
- Employees · 7 to 5Apr 24, 2024 to Mar 27, 2025
- Financial planning clients · unset to 1-10Apr 24, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.3B to $1.4BApr 24, 2024 to Mar 27, 2025
- HNW RAUM · $1.4B to $1.4BApr 24, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $113M to $51.5MApr 24, 2024 to Mar 27, 2025
- RAUM · $1.4B to $1.5BApr 24, 2024 to Mar 27, 2025
- Accounts · 362 to 517Mar 13, 2023 to Mar 14, 2024
- Advisory employees · 4 to 5Mar 13, 2023 to Mar 14, 2024
- Advisory activities · 4 to 5Mar 13, 2023 to Mar 14, 2024
- HNW clients · 70 to 78Mar 13, 2023 to Mar 14, 2024
- Assets in custody · $137M to $130MMar 13, 2023 to Mar 14, 2024
- Employees · 6 to 7Mar 13, 2023 to Mar 14, 2024
- State-registered IARs · 4 to 5Mar 13, 2023 to Mar 14, 2024
- Discretionary RAUM · $1.1B to $1.3BMar 13, 2023 to Mar 14, 2024
- HNW RAUM · $1.3B to $1.4BMar 13, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $229M to $113MMar 13, 2023 to Mar 14, 2024
- RAUM · $1.4B to $1.4BMar 13, 2023 to Mar 14, 2024
- Accounts · 71 to 362Mar 28, 2022 to Mar 13, 2023
Signals
1 dated events
- S••••• C•••••• L•• reported RAUM $794.9M, up 50% from $529.4M (2018-03-28 to 2018-10-10)Oct 10, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S••••• C•••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/sierra-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-867-3533reportedpublic record, Form ADV, Jun 11, 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
- $202Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026