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•••• A••••••• G••••
Legal name S•••• F•••••••• P•••••••• I•••
Latest filing Mar 3, 2026
First filing on the tape Feb 8, 2022 · 9 filings
SEC status approved since Mar 10, 2022
RAUM
$65.6M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$65.6M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$32.8M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$65.6M as of Mar 3, 2026
Mar 2, 2023$44.6M then
HNW client RAUM$41.1M as of Mar 3, 2026
Mar 2, 2023$25.3M then
State-registered IARs (5.B.3)2 as of Mar 3, 2026
Mar 2, 20232 then
Employees (5.A)2 as of Mar 3, 2026
Mar 2, 20232 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Mar 3, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $32.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $763,053derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planningreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$41.1M63%
- Individuals$24.5M37%
- Individual clients
- 66reported
- HNW clients
- 20reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 86reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• R•• S••••Certified Financial Planner | Camillus, Ny | Nov 17, 2021 | 26 y | 0 |
| M••••••• L• S•••• | Camillus, Ny | Feb 14, 2025 | 18 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• J••••• R•• · Chief Compliance Officercontrolsince 11/2005 · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Camillus, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 3, 2026discretionary share of RAUM of 0% against a peer median of 100% (310 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, under $100M (310) · 0.0% percentile
- HNW share shiftChange between filings · filing Mar 3, 2026HNW share of RAUM moved from 45.0% to 63.0% between the annual amendments of 2025-02-20 and 2026-03-03peers: independent wealth managers, under $100M (704)
What changed
consecutive filings, newest first
- Accounts · 83 to 86Feb 20, 2025 to Feb 20, 2026
- HNW clients · 14 to 20Feb 20, 2025 to Feb 20, 2026
- Individual clients · 69 to 66Feb 20, 2025 to Feb 20, 2026
- State-registered IARs · 1 to 2Feb 20, 2025 to Feb 20, 2026
- HNW RAUM · $25.6M to $41.1MFeb 20, 2025 to Feb 20, 2026
- Individual RAUM · $31.5M to $24.5MFeb 20, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $57.1M to $65.6MFeb 20, 2025 to Feb 20, 2026
- RAUM · $57.1M to $65.6MFeb 20, 2025 to Feb 20, 2026
- HNW clients · 17 to 14Feb 13, 2024 to Feb 20, 2025
- Individual clients · 66 to 69Feb 13, 2024 to Feb 20, 2025
- Financial planning clients · 51-100 to 51-100Feb 13, 2024 to Feb 20, 2025
- HNW RAUM · $24.4M to $25.6MFeb 13, 2024 to Feb 20, 2025
- Individual RAUM · $26.1M to $31.5MFeb 13, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $50.5M to $57.1MFeb 13, 2024 to Feb 20, 2025
- RAUM · $50.5M to $57.1MFeb 13, 2024 to Feb 20, 2025
- Accounts · 81 to 83Mar 2, 2023 to Feb 13, 2024
- Advisory employees · 2 to 1Mar 2, 2023 to Feb 13, 2024
- BD registered reps · 2 to 1Mar 2, 2023 to Feb 13, 2024
- HNW clients · 23 to 17Mar 2, 2023 to Feb 13, 2024
- Individual clients · 58 to 66Mar 2, 2023 to Feb 13, 2024
- Insurance-licensed employees · 1 to 0Mar 2, 2023 to Feb 13, 2024
- State-registered IARs · 2 to 1Mar 2, 2023 to Feb 13, 2024
- HNW RAUM · $25.3M to $24.4MMar 2, 2023 to Feb 13, 2024
- Individual RAUM · $19.3M to $26.1MMar 2, 2023 to Feb 13, 2024
- Non-discretionary RAUM · $44.6M to $50.5MMar 2, 2023 to Feb 13, 2024
- RAUM · $44.6M to $50.5MMar 2, 2023 to Feb 13, 2024
- Accounts · 80 to 81Jul 13, 2022 to Mar 2, 2023
- HNW clients · 21 to 23Jul 13, 2022 to Mar 2, 2023
- Individual clients · 59 to 58Jul 13, 2022 to Mar 2, 2023
- HNW RAUM · $26.8M to $25.3MJul 13, 2022 to Mar 2, 2023
- Individual RAUM · $20.9M to $19.3MJul 13, 2022 to Mar 2, 2023
- Non-discretionary RAUM · $47.7M to $44.6MJul 13, 2022 to Mar 2, 2023
- RAUM · $47.7M to $44.6MJul 13, 2022 to Mar 2, 2023
Signals
2 dated events
- Christopher Stephen S•••• (Ceo) no longer on Schedule A of S•••• A••••••• G•••• (listed 2023-03-02, absent 2024-02-13)Feb 13, 2024 · Control person left · inference
- S•••• A••••••• G•••• filed its initial SEC registration (Form ADV)Feb 8, 2022 · First SEC registration · 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
- 315-701-5857reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-701-5857reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- shopefinancialplanning.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 315-701-5857reportedpublic record, Form ADV, Mar 3, 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
- $32.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026