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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Former SEC-registered adviser

S••••••••• A•••• M••••••••• I•••

Former SEC-registered adviserRed Bank, New JerseyCRD 129934SEC 801-96212IAPD
Latest filing Feb 15, 2017
First filing on the tape Feb 17, 2012 · 8 filings
RAUM
$110M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 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
n/a
beyond the principal office
Private funds
5
$58.5M gross assets
History
8 filings and snapshots on the tape
RAUM$110M as of Feb 15, 2017
Mar 2, 2012$60.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 15, 2017
Mar 2, 20120 then
Employees (5.A)5 as of Feb 15, 2017
Feb 17, 20165 then
Private funds5 as of Feb 15, 2017
Mar 2, 20125 then
RAUM +10% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 15, 2017; 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
unknownderivedHNW RAUM over HNW clients
Average account
$3.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
+10%derivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
35reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • O•••••••• J••••• P••• · President/ Shareholdercontrol
      since 05/1996 · owns 75% or more
    • C••••••• J••••• A•• · Vice President
      since 03/2005 · owns less than 5%
    • D••••• S•••• M•••••• · Vice President
      since 07/2008 · owns less than 5%
    • G•••••• J••••• A•••••• · Senior Vice President/ Chief Compliance Officer
      since 10/2003 · owns less than 5%
    • K•••• E•••••• J•••• · Senior Vice President
      since 05/2005 · owns less than 5%
    Related persons
    Schedule D 7.A
    Advisers that list S••••••••• A•••• M••••••••• I••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 31 to 35
      Feb 17, 2016 to Feb 15, 2017
    • Discretionary RAUM · $100M to $110M
      Feb 17, 2016 to Feb 15, 2017
    • RAUM · $100M to $110M
      Feb 17, 2016 to Feb 15, 2017
    • Accounts · 30 to 31
      Sep 8, 2015 to Feb 17, 2016
    • Discretionary RAUM · $108M to $100M
      Sep 8, 2015 to Feb 17, 2016
    • RAUM · $108M to $100M
      Sep 8, 2015 to Feb 17, 2016
    • Related adviser · true to false
      Sep 8, 2015 to Feb 17, 2016
    • Accounts · 29 to 30
      Jul 2, 2015 to Sep 8, 2015
    • Discretionary RAUM · $102M to $108M
      Jul 2, 2015 to Sep 8, 2015
    • RAUM · $102M to $108M
      Jul 2, 2015 to Sep 8, 2015
    • Accounts · 18 to 29
      Apr 11, 2012 to Apr 22, 2015
    • Advisory employees · unset to 4.0
      Apr 11, 2012 to Apr 22, 2015
    • Employees · unset to 5.0
      Apr 11, 2012 to Apr 22, 2015
    • Discretionary RAUM · $60.9M to $102M
      Apr 11, 2012 to Apr 22, 2015
    • RAUM · $60.9M to $102M
      Apr 11, 2012 to Apr 22, 2015
    • Related adviser · false to true
      Apr 11, 2012 to Apr 22, 2015
    Signals
    1 dated events
    • S••••••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)
      Apr 22, 2015 · 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.
    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
    Former SEC-registered adviserderiveda 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