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••• F•••••••• A•••••••

Independent wealth managerCRD 125606SEC 801-132995IAPD
Legal name S•••• B•••• M••••••
Latest filing Mar 23, 2026
First filing on the tape May 14, 2025 · 2 filings
SEC status approved since Jun 13, 2025
RAUM
$119M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$119M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$59.3M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$119M as of Mar 23, 2026
May 14, 2025$117M then
HNW client RAUM$102M as of Mar 23, 2026
May 14, 2025$104M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
May 14, 20252 then
Employees (5.A)2 as of Mar 23, 2026
May 14, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 23, 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
RAUM per advisor
$59.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
39derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$551,635derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$64.9M, 54 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$102M86%
  • Individuals$16.7M14%
Individual clients
44reported
HNW clients
33reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
215reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$64.9M for 54 clientsreported
Compensation
% of AUM, fixed, 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
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M•••••• A••••• Y•••••Norwalk, Ct Feb 23, 201526 y2
B•••• M•••••• S•••Certified Financial PlannerNorwalk, CtMay 14, 202530 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S•••• B••••• M•••••• · Owner / Sole Proprietor / Ccocontrol
      since 09/1993 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Norwalk, Ct200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 252 to 215
      May 14, 2025 to Mar 23, 2026
    • Individual clients · 41 to 44
      May 14, 2025 to Mar 23, 2026
    • Assets in custody · $60.1M to $64.9M
      May 14, 2025 to Mar 23, 2026
    • Discretionary RAUM · $117M to $119M
      May 14, 2025 to Mar 23, 2026
    • HNW RAUM · $104M to $102M
      May 14, 2025 to Mar 23, 2026
    • Individual RAUM · $12.7M to $16.7M
      May 14, 2025 to Mar 23, 2026
    • RAUM · $117M to $119M
      May 14, 2025 to Mar 23, 2026
    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
    Principal office phone
    203-966-9651reportedpublic record, Form ADV, Mar 23, 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
    $59.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026