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••••• • C••
Latest filing Dec 16, 2025
First filing on the tape Dec 19, 2011 · 36 filings
SEC status approved since Nov 30, 2007
RAUM
$630M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$625M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$78.7M
derived; firm RAUM over IAPD count
Employees
13
7 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$630M as of Dec 16, 2025
Dec 19, 2011$126M then
HNW client RAUM$622M as of Dec 16, 2025
Dec 1, 2017$296M then
State-registered IARs (5.B.3)7 as of Dec 16, 2025
Dec 19, 20110 then
Employees (5.A)13 as of Dec 16, 2025
Dec 14, 201214 then
Private funds: no history
RAUM +59% over the last fiscal year+20% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Dec 16, 2025; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $78.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $4.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +63%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +135%derived
- Compensation
- percentage of assets, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $601M, 124 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
- is a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$622M99%
- Charitable organizations$4.8M0.8%
- Individuals$3.6M0.6%
- Individual clients
- 7reported
- HNW clients
- 119reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 129reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $601M for 124 clientsreported
- Compensation
- % of AUM, commissionsreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=13.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• S••••••••• S••••• | Greenwich, Ct | Nov 6, 2002 | 43 y | 1 |
| T••••••• S••••• C••• | Garrison, Ny | Nov 6, 2002 | 46 y | 2 |
| G•••• F•••••••• K•••••• | Greenwich, Ct | Feb 7, 2003 | 46 y | 0 |
| V••••••• M•••••• G••• | Greenwich, Ct | Mar 7, 2003 | 36 y | 0 |
| J••• D•••• E•••••Chartered Financial Analyst | Greenwich, Ct | Feb 2, 2005 | 37 y | 0 |
| R•••••• J•••• B••• | Middletown, Ri | Oct 5, 2005 | 40 y | 2 |
| B•• R••••• S•••••• | Greenwich, Ct | Jan 14, 2008 | 46 y | 0 |
| R•••••• A••••• M••••• | Lutz, Fl | Aug 3, 2016 | 15 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
- R•••••• J•••• B••• from B•••• H•••• I••••••••• L•••Oct 5, 2005 · Other
- T••••••• S••••• C••• from S••••••••• R•••••••• I••• O• F••••••Nov 6, 2002 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• R••••• S••••••••• · President/Chief Compliance Officer, Cfocontrolsince 11/1982 · owns 75% or more
- C•••• T••••••• S••••• · Vice Presidentsince 12/1991 · owns less than 5%
- P•••••• K•••• L••• · Fin Opsince 12/1991 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Greenwich, Ct · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- BD registered reps · 11 to 13Jun 18, 2025 to Dec 16, 2025
- HNW clients · 113 to 119Jun 18, 2025 to Dec 16, 2025
- Assets in custody · $621M to $601MJun 18, 2025 to Dec 16, 2025
- Employees · 11 to 13Jun 18, 2025 to Dec 16, 2025
- Insurance-licensed employees · 1 to 0Jun 18, 2025 to Dec 16, 2025
- Discretionary RAUM · $621M to $601MJun 18, 2025 to Dec 16, 2025
- HNW RAUM · $642M to $622MJun 18, 2025 to Dec 16, 2025
- Individual RAUM · $2.3M to $3.6MJun 18, 2025 to Dec 16, 2025
- Non-discretionary RAUM · $27.6M to $28.8MJun 18, 2025 to Dec 16, 2025
- RAUM · $649M to $630MJun 18, 2025 to Dec 16, 2025
- Financial planning clients · unset to Nov 27, 2024 to Jun 18, 2025
- Accounts · 116 to 129Oct 28, 2024 to Nov 27, 2024
- Advisory employees · 8 to 7Oct 28, 2024 to Nov 27, 2024
- HNW clients · 40 to 113Oct 28, 2024 to Nov 27, 2024
- Individual clients · 11 to 7Oct 28, 2024 to Nov 27, 2024
- Assets in custody · $278M to $621MOct 28, 2024 to Nov 27, 2024
- Employees · 12 to 11Oct 28, 2024 to Nov 27, 2024
- Discretionary RAUM · $376M to $621MOct 28, 2024 to Nov 27, 2024
- HNW RAUM · $382M to $642MOct 28, 2024 to Nov 27, 2024
- Individual RAUM · $11.8M to $2.3MOct 28, 2024 to Nov 27, 2024
- Non-discretionary RAUM · $21.8M to $27.6MOct 28, 2024 to Nov 27, 2024
- RAUM · $397M to $649MOct 28, 2024 to Nov 27, 2024
- Accounts · 109 to 116Mar 29, 2023 to Nov 3, 2023
- HNW clients · 99 to 40Mar 29, 2023 to Nov 3, 2023
- Individual clients · 12 to 11Mar 29, 2023 to Nov 3, 2023
- Assets in custody · $265M to $278MMar 29, 2023 to Nov 3, 2023
- State-registered IARs · 8 to 7Mar 29, 2023 to Nov 3, 2023
- Discretionary RAUM · $375M to $376MMar 29, 2023 to Nov 3, 2023
- HNW RAUM · $394M to $382MMar 29, 2023 to Nov 3, 2023
- Individual RAUM · $5.1M to $11.8MMar 29, 2023 to Nov 3, 2023
- Non-discretionary RAUM · $27.7M to $21.8MMar 29, 2023 to Nov 3, 2023
- RAUM · $403M to $397MMar 29, 2023 to Nov 3, 2023
- HNW clients · 34 to 99Nov 12, 2021 to Dec 6, 2022
- Individual clients · 8 to 12Nov 12, 2021 to Dec 6, 2022
- Assets in custody · $232M to $265MNov 12, 2021 to Dec 6, 2022
- Discretionary RAUM · $336M to $375MNov 12, 2021 to Dec 6, 2022
- HNW RAUM · $352M to $394MNov 12, 2021 to Dec 6, 2022
- Individual RAUM · $6.8M to $5.1MNov 12, 2021 to Dec 6, 2022
- Non-discretionary RAUM · $27.6M to $27.7MNov 12, 2021 to Dec 6, 2022
- RAUM · $363M to $403MNov 12, 2021 to Dec 6, 2022
Signals
1 dated events
- S••••• • C•• reported RAUM $649.0M, up 63% from $397.4M (2024-10-28 to 2024-11-27)Nov 27, 2024 · RAUM change · derived
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 email
- i•••@s•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 203-869-4800reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••CO.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-869-4800reportedpublic record, Form ADV, Dec 16, 2025
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
- $78.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026