DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••• C•••••• M••••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 21 filings
SEC status approved since Apr 11, 2017
RAUM
$298M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$296M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$99.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$298M as of Mar 27, 2026
Mar 29, 2012$74.0M then
HNW client RAUM$175M as of Mar 27, 2026
Mar 30, 2018$61.0M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Mar 29, 20120 then
Employees (5.A)3 as of Mar 27, 2026
Mar 30, 20183 then
Private funds: no history
RAUM +18% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $99.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 216derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $453,750derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, 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
- is an insurance broker or agent (6.A.6)
- 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$175M59%
- Individuals$121M41%
- Charitable organizations$1.4M0.5%
- Individual clients
- 582reported
- HNW clients
- 67reported
- Pension plan clients
- 0reported
- Charitable clients
- 7reported
- Accounts
- 656reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• M••• S•••• | Old Bridge, Nj | Apr 9, 2003 | 33 y | 1 |
| A••• B•••• S•••• | Old Bridge, Nj | Aug 27, 2015 | 11 y | 0 |
| L•••• A•••••••• N••••• | Old Bridge, Nj | Jun 26, 2017 | 20 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
- S••••• S•••••• M••• · President/Chief Compliance Officercontrolsince 10/1999 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Old Bridge, Nj · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 652 to 656Mar 26, 2025 to Mar 27, 2026
- HNW clients · 58 to 67Mar 26, 2025 to Mar 27, 2026
- Individual clients · 587 to 582Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $252M to $295MMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $141M to $175MMar 26, 2025 to Mar 27, 2026
- Individual RAUM · $110M to $121MMar 26, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $182,020 to $2.6MMar 26, 2025 to Mar 27, 2026
- RAUM · $252M to $298MMar 26, 2025 to Mar 27, 2026
- Accounts · 643 to 652Mar 28, 2024 to Mar 26, 2025
- HNW clients · 50 to 58Mar 28, 2024 to Mar 26, 2025
- Individual clients · 586 to 587Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $218M to $252MMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $114M to $141MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $103M to $110MMar 28, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $275,433 to $182,020Mar 28, 2024 to Mar 26, 2025
- RAUM · $218M to $252MMar 28, 2024 to Mar 26, 2025
- Accounts · 636 to 643Feb 27, 2023 to Mar 28, 2024
- HNW clients · 40 to 50Feb 27, 2023 to Mar 28, 2024
- Individual clients · 561 to 586Feb 27, 2023 to Mar 28, 2024
- Employees · 4 to 3Feb 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $192M to $218MFeb 27, 2023 to Mar 28, 2024
- HNW RAUM · $90.8M to $114MFeb 27, 2023 to Mar 28, 2024
- Individual RAUM · $101M to $103MFeb 27, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $644,803 to $275,433Feb 27, 2023 to Mar 28, 2024
- RAUM · $193M to $218MFeb 27, 2023 to Mar 28, 2024
- Accounts · 632 to 636Mar 16, 2022 to Feb 27, 2023
- HNW clients · 47 to 40Mar 16, 2022 to Feb 27, 2023
- Individual clients · 550 to 561Mar 16, 2022 to Feb 27, 2023
- Discretionary RAUM · $222M to $192MMar 16, 2022 to Feb 27, 2023
- HNW RAUM · $113M to $90.8MMar 16, 2022 to Feb 27, 2023
- Individual RAUM · $108M to $101MMar 16, 2022 to Feb 27, 2023
- Non-discretionary RAUM · $100,834 to $644,803Mar 16, 2022 to Feb 27, 2023
- RAUM · $222M to $193MMar 16, 2022 to Feb 27, 2023
- Accounts · 598 to 632Mar 30, 2021 to Mar 16, 2022
- HNW clients · 40 to 47Mar 30, 2021 to Mar 16, 2022
- Individual clients · 527 to 550Mar 30, 2021 to Mar 16, 2022
- Employees · 3 to 4Mar 30, 2021 to Mar 16, 2022
- Financial planning clients · 51-100 to 101-250Mar 30, 2021 to Mar 16, 2022
- Discretionary RAUM · $189M to $222MMar 30, 2021 to Mar 16, 2022
Signals
1 dated events
- S•••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Mar 29, 2017 · First SEC registration · fact
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
- 732-679-7050reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 732-679-7068reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S••••CM.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 732-679-7050reportedpublic record, Form ADV, Mar 27, 2026
- Team page
- s••••••.comreportedpublished 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
- $99.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026