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•••••• W•••••
Legal name S•••••• I••••••••• C••••••• L••
Latest filing Jun 26, 2026
First filing on the tape Feb 29, 2012 · 42 filings
SEC status approved since Feb 15, 2007
RAUM
$491M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
99%
$485M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$61.3M
derived; firm RAUM over IAPD count
Employees
13
8 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$491M as of Jun 26, 2026
Mar 5, 2012$114M then
HNW client RAUM$363M as of Jun 26, 2026
Mar 12, 2018$123M then
State-registered IARs (5.B.3)8 as of Jun 26, 2026
Mar 5, 20120 then
Employees (5.A)13 as of Jun 26, 2026
Mar 11, 20134 then
Private funds: no history
RAUM +17% over the last fiscal year+18% a year over threeIARs 9 to 8
Practice profile
derived from the filing of Jun 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $61.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $380,561derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.3derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $53.6MreportedItem 5.I
- Custody
- $75.4M, 121 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$363M74%
- Individuals$122M25%
- Pension and profit-sharing plans$4.6M0.9%
- Corporations and businesses$1.2M0.3%
- Individual clients
- 417reported
- HNW clients
- 122reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 1,289reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $75.4M for 121 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• E••• S••••••Certified Financial Planner | Chappaqua, Ny | Apr 5, 2007 | 35 y | 2 |
| J••• R• F•••••• | Chappaqua, Ny | Nov 9, 2015 | 25 y | 1 |
| J••• B••••••• H••••• | Chappaqua, Ny | Jan 14, 2019 | 40 y | 1 |
| P•••••• C••• T•••••••Certified Financial Planner | Chappaqua, Ny | Jul 14, 2020 | 20 y | 6 |
| R••••• R•••••• S••••••••Certified Financial Planner | Chappaqua, Ny | Sep 15, 2021 | 38 y | 1 |
| L••••••• J•• K••••Certified Financial Planner | Chappaqua, Ny | Sep 20, 2021 | 29 y | 3 |
| T••••• J•••• B••••••Certified Financial Planner | Chappaqua, Ny | Jun 24, 2024 | 31 y | 1 |
| A••• M• P••••••••• | Chappaqua, Ny | Dec 3, 2024 | 43 y | 3 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount1 left over 36 months
Left, latest
- P••• A•••• to G••••••• B••••••• • A••••••••• I••Oct 24, 2025 · RIA to RIA
- L••••• F•••••••• A••••• to K••••• A••••••• S•••••••• L••Jan 23, 2012 · Other
Joined, latest
- A••• M• P••••••••• from M••••• S••••••Dec 3, 2024 · Wirehouse to independent RIA
- T••••• J•••• B•••••• from S•••••• N••••••• • C••••••• I•••••••••Jun 24, 2024 · Affiliated broker-dealer or bank to independent RIA
- L••••••• J•• K•••• from U•• F•••••••• S••••••• I•••Sep 20, 2021 · Wirehouse to independent RIA
- R••••• R•••••• S•••••••• from B• R•••• W••••• A•••••••• I•••Sep 15, 2021 · Affiliated broker-dealer or bank to independent RIA
- P••• A•••• from J••• M••••• S••••••••• L••Sep 13, 2021 · Wirehouse to independent RIA
- P•••••• C••• T••••••• from N•••••••• A•••• M•••••••••Jul 14, 2020 · RIA to RIA
- J••• B••••••• H••••• from Q•••••• T••••••••• A•••• M•••••••••Jan 14, 2019 · Other
- J••• R• F•••••• from O••••••••• • C•• I•••Nov 9, 2015 · Other
- A••••• E••• S•••••• from W•••• F•••• A•••••••Apr 5, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• M••••• J•••••• · Chief Compliance Officercontrolsince 09/2015 · owns less than 5%
- S••••••• A•••••• E••• · Managing Membercontrolsince 04/2007 · owns 75% or more
- W••••••• Y••••• · Operations Managercontrolsince 04/2022 · 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 |
|---|---|---|---|---|---|
| Chappaqua, Ny · principal | 8 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY4 employees
- Coppell, TX1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,220 to 1,289Jan 14, 2026 to Mar 11, 2026
- Corporate clients · unset to 3.0Jan 14, 2026 to Mar 11, 2026
- HNW clients · 107 to 122Jan 14, 2026 to Mar 11, 2026
- Individual clients · 414 to 417Jan 14, 2026 to Mar 11, 2026
- Pension plan clients · unset to 2.0Jan 14, 2026 to Mar 11, 2026
- Assets in custody · $76.9M to $75.4MJan 14, 2026 to Mar 11, 2026
- Financial planning clients · 11-25 to 1-10Jan 14, 2026 to Mar 11, 2026
- Discretionary RAUM · $379M to $445MJan 14, 2026 to Mar 11, 2026
- HNW RAUM · $302M to $363MJan 14, 2026 to Mar 11, 2026
- Individual RAUM · $110M to $122MJan 14, 2026 to Mar 11, 2026
- Non-discretionary RAUM · $42.0M to $45.3MJan 14, 2026 to Mar 11, 2026
- Pension RAUM · $3.6M to $4.6MJan 14, 2026 to Mar 11, 2026
- RAUM · $421M to $491MJan 14, 2026 to Mar 11, 2026
- Advisory employees · 9 to 8Mar 18, 2025 to Oct 31, 2025
- Employees · 14 to 13Mar 18, 2025 to Oct 31, 2025
- State-registered IARs · 9 to 8Mar 18, 2025 to Oct 31, 2025
- Accounts · 1,288 to 1,220Jan 13, 2025 to Mar 18, 2025
- Advisory employees · 8 to 9Jan 13, 2025 to Mar 18, 2025
- HNW clients · 93 to 107Jan 13, 2025 to Mar 18, 2025
- Individual clients · 405 to 414Jan 13, 2025 to Mar 18, 2025
- Assets in custody · $50.7M to $76.9MJan 13, 2025 to Mar 18, 2025
- Employees · 12 to 14Jan 13, 2025 to Mar 18, 2025
- Financial planning clients · 1-10 to 11-25Jan 13, 2025 to Mar 18, 2025
- State-registered IARs · 8 to 9Jan 13, 2025 to Mar 18, 2025
- Other offices · 4 to 5Jan 13, 2025 to Mar 18, 2025
- Discretionary RAUM · $327M to $379MJan 13, 2025 to Mar 18, 2025
- HNW RAUM · $259M to $302MJan 13, 2025 to Mar 18, 2025
- Individual RAUM · $103M to $110MJan 13, 2025 to Mar 18, 2025
- Non-discretionary RAUM · $37.6M to $42.0MJan 13, 2025 to Mar 18, 2025
- Pension RAUM · $2.3M to $3.6MJan 13, 2025 to Mar 18, 2025
- RAUM · $365M to $421MJan 13, 2025 to Mar 18, 2025
- Accounts · 1,125 to 1,288May 22, 2023 to Mar 9, 2024
- HNW clients · 81 to 93May 22, 2023 to Mar 9, 2024
- Individual clients · 416 to 405May 22, 2023 to Mar 9, 2024
- Assets in custody · $61.3M to $50.7MMay 22, 2023 to Mar 9, 2024
- Discretionary RAUM · $266M to $327MMay 22, 2023 to Mar 9, 2024
- HNW RAUM · $207M to $259MMay 22, 2023 to Mar 9, 2024
- Individual RAUM · $92.9M to $103MMay 22, 2023 to Mar 9, 2024
- Non-discretionary RAUM · $35.7M to $37.6MMay 22, 2023 to Mar 9, 2024
- Pension RAUM · $1.4M to $2.3MMay 22, 2023 to Mar 9, 2024
Signals
3 dated events
- P••• A•••• left S•••••• W••••• for G••••••• B••••••• • A••••••••• I•• (registered 2025-11-20)Oct 24, 2025 · Advisor changed firm · fact
- Jay Thomas Kowalchuk (Operations Manager) no longer on Schedule A of S•••••• W••••• (listed 2022-11-28, absent 2023-03-27)Mar 27, 2023 · Control person left · inference
- Yvette Wheeler (Operations Manager) appeared on Schedule A of S•••••• W•••••Mar 27, 2023 · Control person joined · 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
- 202-371-8300reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 914-666-6600reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/samalin-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- samalinwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 914-666-6600reportedpublic record, Form ADV, Jun 26, 2026
- Contact form
- samalinwealth.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- samalinwealth.com/meet-our-teamreportedpublished 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
- $61.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026