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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Former SEC-registered adviser

S••••• I••••••••• M•••••••••

Former SEC-registered adviserEnglewood Cliffs, New JerseyCRD 145961SEC 801-68660IAPD
Legal name S••••• I••••••••• M••••••••• G•••• L••
Latest filing Jun 7, 2023
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$51.0M
reported, Item 5.F
Discretionary
11%
of RAUM
Private clients
100%
$51.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$51.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$51.0M as of Mar 31, 2023
Mar 30, 2012$40.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2023
Mar 30, 20120 then
Employees (5.A)1 as of Mar 31, 2023
Apr 1, 20133 then
Private funds: no history
RAUM -10% over the last fiscal year+0.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 7, 2023; every figure names its basis
RAUM per advisor
$51.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$5.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
11%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-10%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consultingreportedItem 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$51.0M100%
Individual clients
8reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
B••• W•••••••Englewood Cliffs, NjJan 11, 202422 y1
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • W•••••••• B••• · Managing Member / Chief Compliance Officercontrol
        since 12/2007 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 9
        Mar 31, 2022 to Mar 31, 2023
      • Individual clients · 7 to 8
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $5.7M to $5.8M
        Mar 31, 2022 to Mar 31, 2023
      • Individual RAUM · $56.9M to $51.0M
        Mar 31, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $51.2M to $45.2M
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $56.9M to $51.0M
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $5.4M to $5.7M
        Mar 31, 2021 to Mar 31, 2022
      • Individual RAUM · $48.2M to $56.9M
        Mar 31, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $42.7M to $51.2M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $48.2M to $56.9M
        Mar 31, 2021 to Mar 31, 2022
      • Accounts · 10 to 8
        Jun 26, 2020 to Mar 31, 2021
      • Individual clients · 8 to 7
        Jun 26, 2020 to Mar 31, 2021
      • Discretionary RAUM · $3.5M to $5.4M
        Jun 26, 2020 to Mar 31, 2021
      • Individual RAUM · $50.8M to $48.2M
        Jun 26, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $47.4M to $42.7M
        Jun 26, 2020 to Mar 31, 2021
      • RAUM · $50.8M to $48.2M
        Jun 26, 2020 to Mar 31, 2021
      • Accounts · 12 to 10
        Mar 27, 2019 to Apr 30, 2020
      • Individual clients · 10 to 8
        Mar 27, 2019 to Apr 30, 2020
      • Discretionary RAUM · $7.0M to $3.5M
        Mar 27, 2019 to Apr 30, 2020
      • Individual RAUM · $47.0M to $50.8M
        Mar 27, 2019 to Apr 30, 2020
      • Non-discretionary RAUM · $40.0M to $47.4M
        Mar 27, 2019 to Apr 30, 2020
      • RAUM · $47.0M to $50.8M
        Mar 27, 2019 to Apr 30, 2020
      • Accounts · 10 to 12
        Mar 31, 2018 to Mar 27, 2019
      • Individual clients · 9 to 10
        Mar 31, 2018 to Mar 27, 2019
      • Discretionary RAUM · $5.7M to $7.0M
        Mar 31, 2018 to Mar 27, 2019
      • Individual RAUM · $50.2M to $47.0M
        Mar 31, 2018 to Mar 27, 2019
      • Non-discretionary RAUM · $47.6M to $40.0M
        Mar 31, 2018 to Mar 27, 2019
      • Pension RAUM · 3087148.0 to unset
        Mar 31, 2018 to Mar 27, 2019
      • RAUM · $53.3M to $47.0M
        Mar 31, 2018 to Mar 27, 2019
      • Accounts · 13 to 10
        Mar 31, 2017 to Mar 31, 2018
      • Advisory employees · 2 to 1
        Mar 31, 2017 to Mar 31, 2018
      • Individual clients · unset to 9.0
        Mar 31, 2017 to Mar 31, 2018
      • Employees · 4 to 1
        Mar 31, 2017 to Mar 31, 2018
      • Insurance-licensed employees · 1 to 0
        Mar 31, 2017 to Mar 31, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 31, 2018
      • Discretionary RAUM · $27.3M to $5.7M
        Mar 31, 2017 to Mar 31, 2018
      • Individual RAUM · unset to 50168350.0
        Mar 31, 2017 to Mar 31, 2018
      • Non-discretionary RAUM · $34.3M to $47.6M
        Mar 31, 2017 to Mar 31, 2018
      • Pension RAUM · unset to 3087148.0
        Mar 31, 2017 to Mar 31, 2018
      • RAUM · $61.6M to $53.3M
        Mar 31, 2017 to Mar 31, 2018
      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
      Website
      S•••••GROUP.COMreportedpublic record, Form ADV, Sep 19, 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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $51.0Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026