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•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Nov 27, 2024 · 4 filings
SEC status approved since Jan 2, 2025
RAUM
$148M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$147M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$73.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$148M as of Mar 31, 2026
Jan 27, 2025$129M then
HNW client RAUM$144M as of Mar 31, 2026
Jan 27, 2025$125M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Jan 27, 20252 then
Employees (5.A)2 as of Mar 31, 2026
Jan 27, 20252 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $73.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $964,157derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 0.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$144M98%
- Individuals$3.3M2.2%
- Corporations and businesses$178,4890.1%
- Individual clients
- 9reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 153reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• C••••••••• K••••••• | Red Bank, Nj | Dec 19, 2012 | 15 y | 0 |
| P•••• D•••• D••••••Chartered Financial Analyst | Jersey City, Nj | Apr 7, 2021 | 28 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
- D••••••• P••••• D•••• · President/Sole Member/Ownercontrolsince 03/2006 · owns 75% or more
- K•••••••• T•••••• C••••••••• · Portfolio Manager/Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 149 to 153Mar 25, 2025 to Mar 31, 2026
- Corporate clients · unset to 1.0Mar 25, 2025 to Mar 31, 2026
- HNW clients · 26 to 27Mar 25, 2025 to Mar 31, 2026
- Individual clients · 13 to 9Mar 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $128M to $148MMar 25, 2025 to Mar 31, 2026
- HNW RAUM · $123M to $144MMar 25, 2025 to Mar 31, 2026
- Individual RAUM · $4.2M to $3.3MMar 25, 2025 to Mar 31, 2026
- RAUM · $128M to $148MMar 25, 2025 to Mar 31, 2026
- Accounts · 148 to 149Jan 27, 2025 to Mar 25, 2025
- HNW clients · 27 to 26Jan 27, 2025 to Mar 25, 2025
- Individual clients · 12 to 13Jan 27, 2025 to Mar 25, 2025
- Financial planning clients · 26-50 to 26-50Jan 27, 2025 to Mar 25, 2025
- Discretionary RAUM · $129M to $128MJan 27, 2025 to Mar 25, 2025
- HNW RAUM · $125M to $123MJan 27, 2025 to Mar 25, 2025
- Individual RAUM · $4.2M to $4.2MJan 27, 2025 to Mar 25, 2025
- RAUM · $129M to $128MJan 27, 2025 to Mar 25, 2025
Signals
1 dated events
- S•••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 27, 2024 · 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
- Firm profile
- linkedin.com/company/stembrook-asset-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- S••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 201-484-0063reportedpublic record, Form ADV, Mar 31, 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
- $73.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026