DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••••••• A•••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Mar 30, 2012 · 37 filings
SEC status approved since Jan 1, 2002
RAUM
$172M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$139M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$172M as of Mar 18, 2026
Mar 30, 2012$2.0B then
HNW client RAUM$138M as of Mar 18, 2026
Mar 28, 2018$155M then
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Mar 30, 20120 then
Employees (5.A)5 as of Mar 18, 2026
Mar 28, 201332 then
Private funds2 as of Mar 20, 2023
Mar 30, 20123 then
RAUM -2.5% over the last fiscal year+8.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.3MderivedHNW RAUM over HNW clients
- Average account
- $3.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.7%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- High-net-worth individuals$138M97%
- Pension and profit-sharing plans$2.3M1.6%
- Pooled investment vehicles$1.2M0.9%
- Individuals$1.2M0.8%
- Individual clients
- 6reported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 50reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $713,702 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.81 fund_share=0.01 institutional_share=0.01 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• P••••••• M••••• F••• L• | Hedge Fund | $28.4M | 10 | Mar 28, 2016 |
| A•• F••• L•no longer reported | Hedge Fund | $23.0M | 10 | Mar 30, 2012 |
| A•• F••• L•••no longer reported | Hedge Fund | $13.7M | 1 | Mar 30, 2012 |
| S•••• P••••••• L•no longer reported | Hedge Fund | $5.8M | 10 | Mar 30, 2012 |
| S••••••• E••••••••• F••• L• | Hedge Fund | $3.3M | 11 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- F•••• S•••••• L••• · Managing Director/Chief Compliance Officer/Chief Financial Officercontrolsince 01/2002 · owns less than 5%
- S••••••••• J•••••• S••••• · Managing Directorcontrolsince 02/2008 · owns less than 5%
- S••••••••• M••••••• A••• · Managing Directorcontrolsince 01/2002 · owns less than 5%
- G••••••••• D•••• · Trusteecontrolsince 07/2009 · owns F of T•• S•••••••• F••••• 2••• T••••
- S••••••••• M••••••• A••• · Shareholdercontrolsince 11/1982 · owns 50% to 75% of S•••••••• A•••• M••••••••• C•• I•••
Entity owners
- S•••••••• A•••• M••••••••• C•• I••• · Memberdirect · owns 75% or more
- T•• S•••••••• F••••• 2••• T•••• · Shareholderindirect · owns 25% to 50% of S•••••••• A•••• M••••••••• C•• I•••
Related persons
Schedule D 7.A
- S•••••••• I•••• A•••• M••••••••• L•••investment adviserbankyRAUM $247M
Advisers that list S•••••••• A•••• M••••••••• L•• as a related person
- 306292 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 18, 2026institutional share of RAUM moved from 17.0% to 1.0% between the annual amendments of 2025-03-17 and 2026-03-18peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 54 to 50Dec 3, 2025 to Mar 18, 2026
- HNW clients · 23 to 22Dec 3, 2025 to Mar 18, 2026
- Individual clients · 7 to 6Dec 3, 2025 to Mar 18, 2026
- Discretionary RAUM · $177M to $172MDec 3, 2025 to Mar 18, 2026
- HNW RAUM · $128M to $138MDec 3, 2025 to Mar 18, 2026
- Individual RAUM · $2.0M to $1.2MDec 3, 2025 to Mar 18, 2026
- Pension RAUM · $2.5M to $2.3MDec 3, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $16.5M to $1.2MDec 3, 2025 to Mar 18, 2026
- RAUM · $177M to $172MDec 3, 2025 to Mar 18, 2026
- Wrap assets (manager) · $752,954 to $713,702Dec 3, 2025 to Mar 18, 2026
- Accounts · 56 to 54Jun 14, 2024 to Mar 17, 2025
- HNW clients · 25 to 23Jun 14, 2024 to Mar 17, 2025
- Employees · 6 to 5Jun 14, 2024 to Mar 17, 2025
- Financial planning clients · unset to Jun 14, 2024 to Mar 17, 2025
- Discretionary RAUM · $143M to $177MJun 14, 2024 to Mar 17, 2025
- HNW RAUM · $105M to $128MJun 14, 2024 to Mar 17, 2025
- Individual RAUM · $1.8M to $2.0MJun 14, 2024 to Mar 17, 2025
- Pension RAUM · $1.7M to $2.5MJun 14, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $11.5M to $16.5MJun 14, 2024 to Mar 17, 2025
- RAUM · $143M to $177MJun 14, 2024 to Mar 17, 2025
- Wrap assets (manager) · $4.2M to $752,954Jun 14, 2024 to Mar 17, 2025
- Accounts · 58 to 56May 19, 2023 to Mar 27, 2024
- Advisory employees · 5 to 4May 19, 2023 to Mar 27, 2024
- HNW clients · 39 to 25May 19, 2023 to Mar 27, 2024
- Pooled vehicle clients · 6 to 2May 19, 2023 to Mar 27, 2024
- Assets in custody · 31690729.0 to unsetMay 19, 2023 to Mar 27, 2024
- Custody of client assets · true to falseMay 19, 2023 to Mar 27, 2024
- Employees · 8 to 6May 19, 2023 to Mar 27, 2024
- HQ city · unset to NEW YORKMay 19, 2023 to Mar 27, 2024
- HQ state · unset to NYMay 19, 2023 to Mar 27, 2024
- Private funds · 2 to unsetMay 19, 2023 to Mar 27, 2024
- Discretionary RAUM · $134M to $143MMay 19, 2023 to Mar 27, 2024
- HNW RAUM · $86.9M to $105MMay 19, 2023 to Mar 27, 2024
- Individual RAUM · $2.0M to $1.8MMay 19, 2023 to Mar 27, 2024
- Pension RAUM · $1.4M to $1.7MMay 19, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $41.8M to $11.5MMay 19, 2023 to Mar 27, 2024
- RAUM · $134M to $143MMay 19, 2023 to Mar 27, 2024
- Wrap assets (manager) · $3.7M to $4.2MMay 19, 2023 to Mar 27, 2024
- Accounts · 59 to 58May 6, 2022 to Mar 20, 2023
- Advisory employees · 6 to 5May 6, 2022 to Mar 20, 2023
Signals
2 dated events
- S•••••••• A•••• M••••••••• L•• reported RAUM $101.4M, down 74% from $383.2M (2020-03-27 to 2020-06-30)Jun 30, 2020 · RAUM change · derived
- S•••••••• A•••• M••••••••• L•• reported RAUM $366.9M, down 30% from $526.0M (2018-03-28 to 2019-03-26)Mar 26, 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
- 212-980-0080reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.s••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-980-0080reportedpublic record, Form ADV, Mar 18, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026