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•••••••• P•••••••
Legal name S••••••••• F•••••••• S•••••••• I•••
Latest filing Jul 24, 2026
First filing on the tape Aug 30, 2023 · 9 filings
SEC status approved since Sep 29, 2023
RAUM
$65.5M
reported, Item 5.F
Discretionary
26%
of RAUM
Private clients
100%
$65.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$65.5M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$65.5M as of Jul 24, 2026
Mar 20, 2024$37.0M then
HNW client RAUM$59.5M as of Jul 24, 2026
Mar 20, 2024$31.1M then
State-registered IARs (5.B.3)0 as of Jul 24, 2026
Mar 20, 20240 then
Employees (5.A)1 as of Jul 24, 2026
Mar 20, 20241 then
Private funds: no history
RAUM +32% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $65.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $642,320derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 26%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +22%derived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $25.9M, 21 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$59.5M91%
- Individuals$6.1M9.2%
- Individual clients
- 13reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 102reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $25.9M for 21 clientsreported
- Compensation
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• B••••••••Chartered Financial Consultant | Tarrytown, Ny | Dec 10, 2021 | 23 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
- B••••••••• J••• · President/Chief Compliance Officercontrolsince 05/2003 · owns 75% or more
Related persons
Schedule D 7.A
- J••• B••••••••y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · IRVINGTON to TARRYTOWNMay 8, 2026 to Jul 24, 2026
- Accounts · 32 to 102Mar 28, 2025 to Mar 30, 2026
- HNW clients · 21 to 26Mar 28, 2025 to Mar 30, 2026
- Individual clients · 11 to 13Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $44.6M to $25.9MMar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $8.1M to $17.2MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $43.0M to $59.5MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $6.7M to $6.1MMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $41.7M to $48.3MMar 28, 2025 to Mar 30, 2026
- RAUM · $49.8M to $65.5MMar 28, 2025 to Mar 30, 2026
- Accounts · 28 to 32Apr 19, 2024 to Mar 28, 2025
- HNW clients · 17 to 21Apr 19, 2024 to Mar 28, 2025
- Assets in custody · $1.2M to $44.6MApr 19, 2024 to Mar 28, 2025
- Financial planning clients · 51-100 to 51-100Apr 19, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.1M to $8.1MApr 19, 2024 to Mar 28, 2025
- HNW RAUM · $31.1M to $43.0MApr 19, 2024 to Mar 28, 2025
- Individual RAUM · $5.9M to $6.7MApr 19, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $35.9M to $41.7MApr 19, 2024 to Mar 28, 2025
- RAUM · $37.0M to $49.8MApr 19, 2024 to Mar 28, 2025
- Accounts · 91 to 28Jan 23, 2024 to Mar 20, 2024
- HNW clients · 18 to 17Jan 23, 2024 to Mar 20, 2024
- Individual clients · 20 to 11Jan 23, 2024 to Mar 20, 2024
- Assets in custody · unset to 1200000.0Jan 23, 2024 to Mar 20, 2024
- Custody of client assets · false to trueJan 23, 2024 to Mar 20, 2024
- Financial planning clients · 26-50 to 51-100Jan 23, 2024 to Mar 20, 2024
- State-registered IARs · 1 to 0Jan 23, 2024 to Mar 20, 2024
- Discretionary RAUM · $1.0M to $1.1MJan 23, 2024 to Mar 20, 2024
- HNW RAUM · $26.7M to $31.1MJan 23, 2024 to Mar 20, 2024
- Individual RAUM · $5.0M to $5.9MJan 23, 2024 to Mar 20, 2024
- Non-discretionary RAUM · $31.7M to $35.9MJan 23, 2024 to Mar 20, 2024
- RAUM · $32.7M to $37.0MJan 23, 2024 to Mar 20, 2024
Signals
1 dated events
- S••••••••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)Aug 30, 2023 · 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
- 914-380-1421reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- stewardshipfinancialplanning.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 914-380-1421reportedpublic record, Form ADV, Jul 24, 2026
- Contact form
- stewardship-fp.com/contactreportedpublished 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
- $65.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026