DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

S••••••••• I••••••••• M•••••••••

Former SEC-registered adviserFormer SEC adviser· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $667M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$667M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+56%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 139708 · SEC 801-66326 · 7 filingsShow
CRD 139708SEC 801-66326Legal name S••••••••• I••••••••• M••••••••• I•••First filing on the tape Apr 11, 2012, latest Jan 29, 2014IAPD
RAUM
$667M
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
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$667M as of Jan 29, 2014
Apr 11, 2012$300M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 29, 2014
Apr 11, 20120 then
Employees (5.A)6 as of Jan 29, 2014
Apr 4, 20136 then
Private funds: no history
RAUM +56% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 29, 2014; 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
$222MderivedRAUM 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
+56%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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Left, latest
none on the tape
    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
      • M••••• R•••••• K•••• · Chairman, Board Of Directorscontrol
        since 10/2009 · owns less than 5%
      • N•••• N•••••• · Chief Compliance Officer, Chief Operating Officer, Chief Financial Officercontrol
        since 05/2009 · owns less than 5%
      Entity owners
      • S••••••••• I••••••••• A•••••••• L•• · Shareholder
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 3
        Apr 4, 2013 to Jan 29, 2014
      • Discretionary RAUM · $427M to $667M
        Apr 4, 2013 to Jan 29, 2014
      • RAUM · $427M to $667M
        Apr 4, 2013 to Jan 29, 2014
      • Accounts · 3 to 6
        Jul 12, 2012 to Apr 4, 2013
      • Advisory employees · unset to 4.0
        Jul 12, 2012 to Apr 4, 2013
      • Advisory activities · 3 to 5
        Jul 12, 2012 to Apr 4, 2013
      • Employees · unset to 6.0
        Jul 12, 2012 to Apr 4, 2013
      • Financial planning clients · 1-10 to 0
        Jul 12, 2012 to Apr 4, 2013
      • Discretionary RAUM · $300M to $427M
        Jul 12, 2012 to Apr 4, 2013
      • RAUM · $300M to $427M
        Jul 12, 2012 to Apr 4, 2013
      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.
      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