DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S••••••• A•••• M••••••••• L••
Latest filing Apr 16, 2026
First filing on the tape Mar 26, 2012 · 31 filings
SEC status approved since Jun 25, 2007
RAUM
$975M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$934M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$195M
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$975M as of Apr 16, 2026
Mar 26, 2012$395M then
HNW client RAUM$888M as of Apr 16, 2026
Mar 30, 2018$428M then
State-registered IARs (5.B.3)0 as of Apr 16, 2026
Mar 26, 20120 then
Employees (5.A)12 as of Apr 16, 2026
Mar 26, 20137 then
Private funds1 as of Jan 28, 2014
Mar 26, 20121 then
RAUM +16% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 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
- RAUM per advisor
- $195MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $4.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 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 individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $641M, 185 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$888M91%
- Individuals$46.4M4.8%
- Pension and profit-sharing plans$27.3M2.8%
- Corporations and businesses$9.2M0.9%
- Charitable organizations$4.3M0.4%
- Individual clients
- 56reported
- HNW clients
- 149reported
- Pension plan clients
- 6reported
- Charitable clients
- 1reported
- Accounts
- 216reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $641M for 185 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• M•••••• S•••••••Certified Financial Planner, Chartered Financial Consultant | New York, Ny | Aug 24, 2021 | 32 y | 1 |
| F•••• T••••••Certified Financial Planner | New York, Ny | Sep 28, 2021 | 10 y | 0 |
| A•• Z••••••••• B••• | New York, Ny | Oct 5, 2021 | 14 y | 0 |
| C•••••••• L••• L•••••Certified Financial Planner | New York, Ny | Oct 25, 2021 | 13 y | 0 |
| B• L•• | New York, Ny | Jan 11, 2022 | 11 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••••••• M•••••• S••••••• from A••••••••• F•••••••• S•••••••• L••Aug 24, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• A•••• O••••••••• F••• I• L•no longer reported | Hedge Fund | $1.3M | 37 | Mar 26, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••• A••• Z••••••••• · Cio/Coocontrolsince 09/2021 · owns less than 5%
- L•••••• C••••••••• L••• · Ccocontrolsince 05/2016 · owns less than 5%
- S•••••••• J•••••••• M•••••• · Founder, Ceo, & Managing Membercontrolsince 07/2007 · owns 75% or more
- S•••••••• S•••••• Y••• · Membercontrolsince 07/2007 · 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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 16, 2026S•••••••• S•••••• Y••• (MEMBER) left Schedule A between the filings of 2022-03-25 and 2026-04-16peers: independent wealth managers, $500M to $1B (1,482)
- control person changedChange between filings · filing Apr 16, 2026S•••••••• J•••••••• M•••••• (FOUNDER, CEO, & MANAGING MEMBER) left Schedule A between the filings of 2022-03-25 and 2026-04-16peers: independent wealth managers, $500M to $1B (1,482)
- discretionary share shiftChange between filings · filing Apr 16, 2026discretionary share of RAUM moved from 4.0% to 96.0% between the annual amendments of 2025-03-27 and 2026-04-16peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 212 to 216Jul 10, 2025 to Mar 31, 2026
- Advisory employees · 5 to 7Jul 10, 2025 to Mar 31, 2026
- HNW clients · 150 to 149Jul 10, 2025 to Mar 31, 2026
- Individual clients · 48 to 56Jul 10, 2025 to Mar 31, 2026
- Pension plan clients · 9 to 6Jul 10, 2025 to Mar 31, 2026
- Assets in custody · $479M to $641MJul 10, 2025 to Mar 31, 2026
- Employees · 10 to 12Jul 10, 2025 to Mar 31, 2026
- Discretionary RAUM · $35.1M to $939MJul 10, 2025 to Mar 31, 2026
- HNW RAUM · $772M to $888MJul 10, 2025 to Mar 31, 2026
- Individual RAUM · $31.3M to $46.4MJul 10, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $809M to $35.8MJul 10, 2025 to Mar 31, 2026
- Pension RAUM · $25.1M to $27.3MJul 10, 2025 to Mar 31, 2026
- RAUM · $844M to $975MJul 10, 2025 to Mar 31, 2026
- Financial planning clients · 101-250 to 101-250Mar 27, 2025 to Jul 10, 2025
- Accounts · 206 to 212Apr 25, 2024 to Mar 27, 2025
- BD registered reps · 1 to 2Apr 25, 2024 to Mar 27, 2025
- HNW clients · 143 to 150Apr 25, 2024 to Mar 27, 2025
- Individual clients · 49 to 48Apr 25, 2024 to Mar 27, 2025
- Assets in custody · $477M to $479MApr 25, 2024 to Mar 27, 2025
- Employees · 8 to 10Apr 25, 2024 to Mar 27, 2025
- Discretionary RAUM · $777M to $35.1MApr 25, 2024 to Mar 27, 2025
- HNW RAUM · $710M to $772MApr 25, 2024 to Mar 27, 2025
- Individual RAUM · $45.1M to $31.3MApr 25, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $15.6M to $809MApr 25, 2024 to Mar 27, 2025
- Pension RAUM · $21.6M to $25.1MApr 25, 2024 to Mar 27, 2025
- RAUM · $792M to $844MApr 25, 2024 to Mar 27, 2025
- Accounts · 298 to 206Mar 28, 2023 to Mar 28, 2024
- HNW clients · 187 to 143Mar 28, 2023 to Mar 28, 2024
- Individual clients · 99 to 49Mar 28, 2023 to Mar 28, 2024
- Pension plan clients · 7 to 9Mar 28, 2023 to Mar 28, 2024
- Assets in custody · $562M to $477MMar 28, 2023 to Mar 28, 2024
- Financial planning clients · 251-500 to 101-250Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $669M to $777MMar 28, 2023 to Mar 28, 2024
- HNW RAUM · $616M to $710MMar 28, 2023 to Mar 28, 2024
- Individual RAUM · $42.2M to $45.1MMar 28, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $14.5M to $15.6MMar 28, 2023 to Mar 28, 2024
- Pension RAUM · $12.6M to $21.6MMar 28, 2023 to Mar 28, 2024
- RAUM · $684M to $792MMar 28, 2023 to Mar 28, 2024
- Accounts · 303 to 298Mar 25, 2022 to Mar 28, 2023
- HNW clients · 191 to 187Mar 25, 2022 to Mar 28, 2023
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 phone
- 212-584-1900reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-584-1900reportedpublic record, Form ADV, Apr 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
- $195Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026