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•••••• D•••• A•••• M••••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Mar 23, 2012 · 23 filings
SEC status approved since Apr 26, 2007
RAUM
$815M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
100%
$815M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$204M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$815M as of Mar 16, 2026
Mar 23, 2012$257M then
HNW client RAUM$758M as of Mar 16, 2026
Mar 21, 2018$411M then
State-registered IARs (5.B.3)2 as of Mar 16, 2026
Mar 14, 20132 then
Employees (5.A)6 as of Mar 16, 2026
Mar 14, 20135 then
Private funds: no history
RAUM +7.7% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $204MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $911,009derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Wrap fee program
- $815MreportedItem 5.I
- Custody
- $232M, 187 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 an insurance broker or agent (6.A.6)
- 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$758M93%
- Individuals$57.4M7.0%
- Individual clients
- 180reported
- HNW clients
- 176reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 895reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $232M for 187 clientsreported
- Compensation
- % of AUM, 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• N••••••• D••••Chartered Financial Consultant | Lake Success, Ny | Dec 17, 2013 | 40 y | 1 |
| J•••• H••••• S•••••• | Lake Success, Ny | Dec 10, 2021 | 41 y | 1 |
| D••• B••••• | Lake Success, Ny | Dec 17, 2025 | 19 y | 0 |
| R•••••• C•••••• B•••••••• | Lake Success, Ny | Apr 28, 2026 | 20 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
- J•••• H••••• S•••••• from E•••••••• A•••••••• L••Dec 10, 2021 · Affiliated broker-dealer or bank to independent RIA
- J•••• N••••••• D•••• from E•••••••• A•••••••• L••Dec 17, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• J••••• N••••••• · Chief Investment Officer / Chief Compliance Officercontrolsince 11/2006 · owns 50% to 75%
- S••••••• J••••• H••••• · Managing Membercontrolsince 11/2006 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Lake Success, Ny · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 885 to 895Mar 12, 2025 to Mar 16, 2026
- HNW clients · 167 to 176Mar 12, 2025 to Mar 16, 2026
- Individual clients · 189 to 180Mar 12, 2025 to Mar 16, 2026
- Assets in custody · $192M to $232MMar 12, 2025 to Mar 16, 2026
- Employees · 5 to 6Mar 12, 2025 to Mar 16, 2026
- Discretionary RAUM · $680M to $731MMar 12, 2025 to Mar 16, 2026
- HNW RAUM · $690M to $758MMar 12, 2025 to Mar 16, 2026
- Individual RAUM · $67.0M to $57.4MMar 12, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $77.2M to $83.9MMar 12, 2025 to Mar 16, 2026
- RAUM · $757M to $815MMar 12, 2025 to Mar 16, 2026
- Accounts · 884 to 885Feb 28, 2024 to Mar 12, 2025
- HNW clients · 162 to 167Feb 28, 2024 to Mar 12, 2025
- Individual clients · 195 to 189Feb 28, 2024 to Mar 12, 2025
- Assets in custody · $169M to $192MFeb 28, 2024 to Mar 12, 2025
- Financial planning clients · 0 to 0Feb 28, 2024 to Mar 12, 2025
- Discretionary RAUM · $610M to $680MFeb 28, 2024 to Mar 12, 2025
- HNW RAUM · $601M to $690MFeb 28, 2024 to Mar 12, 2025
- Individual RAUM · $77.3M to $67.0MFeb 28, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $68.5M to $77.2MFeb 28, 2024 to Mar 12, 2025
- RAUM · $679M to $757MFeb 28, 2024 to Mar 12, 2025
- Accounts · 862 to 884Mar 9, 2023 to Feb 28, 2024
- HNW clients · 160 to 162Mar 9, 2023 to Feb 28, 2024
- Individual clients · 200 to 195Mar 9, 2023 to Feb 28, 2024
- Assets in custody · $141M to $169MMar 9, 2023 to Feb 28, 2024
- Discretionary RAUM · $521M to $610MMar 9, 2023 to Feb 28, 2024
- HNW RAUM · $516M to $601MMar 9, 2023 to Feb 28, 2024
- Individual RAUM · $63.9M to $77.3MMar 9, 2023 to Feb 28, 2024
- Non-discretionary RAUM · $58.7M to $68.5MMar 9, 2023 to Feb 28, 2024
- RAUM · $580M to $679MMar 9, 2023 to Feb 28, 2024
- Accounts · 842 to 862Mar 31, 2022 to Mar 9, 2023
- HNW clients · 159 to 160Mar 31, 2022 to Mar 9, 2023
- Individual clients · 198 to 200Mar 31, 2022 to Mar 9, 2023
- Assets in custody · $158M to $141MMar 31, 2022 to Mar 9, 2023
- Discretionary RAUM · $590M to $521MMar 31, 2022 to Mar 9, 2023
- HNW RAUM · $596M to $516MMar 31, 2022 to Mar 9, 2023
- Individual RAUM · $71.5M to $63.9MMar 31, 2022 to Mar 9, 2023
- Non-discretionary RAUM · $77.1M to $58.7MMar 31, 2022 to Mar 9, 2023
- RAUM · $668M to $580MMar 31, 2022 to Mar 9, 2023
- Accounts · 819 to 842Apr 5, 2021 to Mar 31, 2022
- Advisory activities · 4 to 3Apr 5, 2021 to Mar 31, 2022
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.
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
- 516-708-9951reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-708-9955reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S••••••D••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 516.708.9955reportedpublic record, Form ADV, Mar 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
- $204Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026