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••••• P••••••• G••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Jul 27, 2021 · 12 filings
SEC status approved since Sep 15, 2021
RAUM
$111M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
98%
$109M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$111M as of Mar 30, 2026
Mar 25, 2022$104M then
HNW client RAUM$42.6M as of Mar 30, 2026
Mar 25, 2022$40.2M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 25, 20221 then
Employees (5.A)4 as of Mar 30, 2026
Mar 25, 20225 then
Private funds: no history
RAUM +6.6% over the last fiscal year+3.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 210derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $241,845derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.4%derived
- Compensation
- percentage of assetsreportedItem 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)
- 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$66.1M60%
- High-net-worth individuals$42.6M38%
- Pension and profit-sharing plans$2.2M2.0%
- Charitable organizations$32,1140.0%
- Individual clients
- 186reported
- HNW clients
- 24reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 459reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• J••• U••••••• | E. Syracuse, Ny | Aug 11, 2020 | 42 y | 1 |
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
- R•••••• J••• U••••••• from L•• F•••••••• L••Aug 11, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- U•••••••• R••••••• J••• · President & Chief Compliance Officercontrolsince 09/1986 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 30, 2026commissions (Item 5.E.5): yes on the filing of 2025-04-09, no on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 466 to 459Apr 9, 2025 to Mar 30, 2026
- HNW clients · 22 to 24Apr 9, 2025 to Mar 30, 2026
- Individual clients · 200 to 186Apr 9, 2025 to Mar 30, 2026
- Pension plan clients · 0 to 1Apr 9, 2025 to Mar 30, 2026
- Commission compensation · true to falseApr 9, 2025 to Mar 30, 2026
- Employees · 5 to 4Apr 9, 2025 to Mar 30, 2026
- Discretionary RAUM · $96.9M to $103MApr 9, 2025 to Mar 30, 2026
- HNW RAUM · $40.4M to $42.6MApr 9, 2025 to Mar 30, 2026
- Individual RAUM · $63.8M to $66.1MApr 9, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $7.2M to $8.3MApr 9, 2025 to Mar 30, 2026
- Pension RAUM · $0 to $2.2MApr 9, 2025 to Mar 30, 2026
- RAUM · $104M to $111MApr 9, 2025 to Mar 30, 2026
- Accounts · 458 to 466Mar 27, 2024 to Apr 9, 2025
- Charity clients · 0 to 1Mar 27, 2024 to Apr 9, 2025
- HNW clients · 26 to 22Mar 27, 2024 to Apr 9, 2025
- Individual clients · 183 to 200Mar 27, 2024 to Apr 9, 2025
- Financial planning clients · 101-250 to 101-250Mar 27, 2024 to Apr 9, 2025
- Discretionary RAUM · $96.5M to $96.9MMar 27, 2024 to Apr 9, 2025
- HNW RAUM · $42.4M to $40.4MMar 27, 2024 to Apr 9, 2025
- Individual RAUM · $61.5M to $63.8MMar 27, 2024 to Apr 9, 2025
- Non-discretionary RAUM · $7.4M to $7.2MMar 27, 2024 to Apr 9, 2025
- RAUM · $104M to $104MMar 27, 2024 to Apr 9, 2025
- Accounts · 474 to 458Mar 17, 2023 to Mar 27, 2024
- HNW clients · 24 to 26Mar 17, 2023 to Mar 27, 2024
- Individual clients · 189 to 183Mar 17, 2023 to Mar 27, 2024
- Discretionary RAUM · $93.7M to $96.5MMar 17, 2023 to Mar 27, 2024
- HNW RAUM · $38.0M to $42.4MMar 17, 2023 to Mar 27, 2024
- Individual RAUM · $63.4M to $61.5MMar 17, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $7.7M to $7.4MMar 17, 2023 to Mar 27, 2024
- RAUM · $101M to $104MMar 17, 2023 to Mar 27, 2024
- Accounts · 480 to 474Mar 25, 2022 to Mar 17, 2023
- HNW clients · 22 to 24Mar 25, 2022 to Mar 17, 2023
- Individual clients · 195 to 189Mar 25, 2022 to Mar 17, 2023
- Discretionary RAUM · $92.6M to $93.7MMar 25, 2022 to Mar 17, 2023
- HNW RAUM · $40.2M to $38.0MMar 25, 2022 to Mar 17, 2023
- Individual RAUM · $63.6M to $63.4MMar 25, 2022 to Mar 17, 2023
- Non-discretionary RAUM · $11.2M to $7.7MMar 25, 2022 to Mar 17, 2023
- RAUM · $104M to $101MMar 25, 2022 to Mar 17, 2023
- Accounts · 469 to 480Jan 21, 2022 to Mar 25, 2022
- HNW clients · 23 to 22Jan 21, 2022 to Mar 25, 2022
Signals
1 dated events
- S••••• P••••••• G••••• I••• filed its initial SEC registration (Form ADV)Jul 27, 2021 · 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
- 315-425-0344reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 315-471-6768reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••PLAN.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 315-425-0344reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026