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•••• S••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 23, 2012 · 27 filings
SEC status approved since Apr 2, 1998
RAUM
$906M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$770M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$453M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$906M as of Mar 31, 2026
Mar 23, 2012$268M then
HNW client RAUM$714M as of Mar 31, 2025
Mar 29, 2018$438M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 25, 20130 then
Employees (5.A)7 as of Mar 31, 2026
Mar 25, 20136 then
Private funds: no history
RAUM +9.9% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $453MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $6.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$770M99%
- Pension and profit-sharing plans$8.2M1.0%
- Corporations and businesses$2.4M0.3%
- Individual clients
- 124reported
- HNW clients
- n/areported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 138reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• C•••••• | New York, Ny | May 21, 2021 | 28 y | 0 |
| S•••••• B•••• O••• | New York, Ny | May 21, 2021 | 41 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• T••••• · Principal And Managing Membercontrolsince 02/1998 · owns 50% to 75%
- O•••• S••••••• B•••• · Principalcontrolsince 05/2009 · owns 25% to 50%
- B••••• M••••••• W•••••• · Principalsince 01/2024 · owns less than 5%
- K••••••••• E•••• J••••• · Chief Compliance Officersince 06/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 136 to 138Mar 31, 2025 to Mar 31, 2026
- HNW clients · 123.0 to unsetMar 31, 2025 to Mar 31, 2026
- Individual clients · unset to 124.0Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $825M to $906MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · 714395778.0 to unsetMar 31, 2025 to Mar 31, 2026
- Individual RAUM · unset to 769829706.0Mar 31, 2025 to Mar 31, 2026
- Pension RAUM · $7.3M to $8.2MMar 31, 2025 to Mar 31, 2026
- RAUM · $825M to $906MMar 31, 2025 to Mar 31, 2026
- Accounts · 119 to 136Mar 29, 2024 to Mar 31, 2025
- Corporate clients · unset to 2.0Mar 29, 2024 to Mar 31, 2025
- HNW clients · 109 to 123Mar 29, 2024 to Mar 31, 2025
- Pension plan clients · unset to 6.0Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $693M to $825MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $637M to $714MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $3.6M to $7.3MMar 29, 2024 to Mar 31, 2025
- RAUM · $693M to $825MMar 29, 2024 to Mar 31, 2025
- Accounts · 112 to 119Mar 30, 2023 to Mar 29, 2024
- Advisory employees · 4 to 5Mar 30, 2023 to Mar 29, 2024
- HNW clients · 103 to 109Mar 30, 2023 to Mar 29, 2024
- Employees · 5 to 7Mar 30, 2023 to Mar 29, 2024
- State-registered IARs · 2 to 0Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $624M to $693MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $543M to $637MMar 30, 2023 to Mar 29, 2024
- Pension RAUM · $3.0M to $3.6MMar 30, 2023 to Mar 29, 2024
- RAUM · $624M to $693MMar 30, 2023 to Mar 29, 2024
- Accounts · 98 to 112Jun 29, 2022 to Mar 30, 2023
- HNW clients · 89 to 103Jun 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $717M to $624MJun 29, 2022 to Mar 30, 2023
- HNW RAUM · $660M to $543MJun 29, 2022 to Mar 30, 2023
- Pension RAUM · $2.2M to $3.0MJun 29, 2022 to Mar 30, 2023
- RAUM · $717M to $624MJun 29, 2022 to Mar 30, 2023
- Accounts · 78 to 98Jun 25, 2021 to Mar 30, 2022
- HNW clients · 72 to 89Jun 25, 2021 to Mar 30, 2022
- Discretionary RAUM · $612M to $717MJun 25, 2021 to Mar 30, 2022
- HNW RAUM · $562M to $660MJun 25, 2021 to Mar 30, 2022
- Pension RAUM · $1.8M to $2.2MJun 25, 2021 to Mar 30, 2022
- RAUM · $612M to $717MJun 25, 2021 to Mar 30, 2022
- Accounts · 95 to 78Dec 16, 2020 to Mar 25, 2021
- HNW clients · 71 to 72Dec 16, 2020 to Mar 25, 2021
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
- Business email
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-292-7803reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-949-1270reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- S••••S•••••ADV.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-292-7803reportedpublic record, Form ADV, Mar 31, 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
- $453Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026