DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S••••••••• • B•••••• I•••

Independent wealth managerWoodbury, New YorkCRD 147197SEC 801-69153website IAPD

Latest filing Sep 10, 2026

First filing on the tape Feb 21, 2012 · 26 filings

SEC status approved since May 15, 2008

RAUM

$474M

reported, Item 5.F

Discretionary

97%

of RAUM

Private clients

97%

$457M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM$474M as of Mar 26, 2026

Feb 21, 2012$201M then

HNW client RAUM$450M as of Mar 26, 2026

Mar 13, 2018$331M then

State-registered IARs (5.B.3)2 as of Mar 26, 2026

Feb 19, 20132 then

Employees (5.A)2 as of Mar 26, 2026

Feb 19, 20132 then

Private funds: no history

RAUM +21% over the last fiscal year+18% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Sep 10, 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $237MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 123derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.5MderivedHNW RAUM over HNW clients
Average account: $1.9MderivedRAUM over accounts (5.F.2.f)
Discretionary: 97%derivedof RAUM
Institutional: 3.5%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: +21%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +0.8%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
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$450M95%
Pension and profit-sharing plans$16.5M3.5%
Individuals$7.3M1.5%

Individual clients: 69reported
HNW clients: 177reported
Pension plan clients: 5reported
Charitable clients: n/areported
Accounts: 251reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••• C••••• D•••• · Managing Director & Ccocontrol
since 01/2012 · owns 25% to 50%
S••••••••• M•••• H•••• · Ceo & Presidentcontrol
since 04/2008 · owns 50% to 75%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

custody status changedChange between filings · filing Sep 10, 2026
custody of client assets (Item 9.A): yes on the filing of 2026-03-26, no on the filing of 2026-09-10
peers: independent wealth managers, $100M to $500M (5,678)

How anomalies are measured

What changed

consecutive filings, newest first

Assets in custody · $29.8M to $0
Mar 26, 2026 to Sep 10, 2026
Custody of client assets · true to false
Mar 26, 2026 to Sep 10, 2026
Financial planning clients · 1-10 to 1-10
Mar 26, 2026 to Sep 10, 2026
Succession · false to unset
Mar 26, 2026 to Sep 10, 2026
Accounts · 248 to 251
Feb 24, 2025 to Feb 4, 2026
HNW clients · 161 to 177
Feb 24, 2025 to Feb 4, 2026
Individual clients · 83 to 69
Feb 24, 2025 to Feb 4, 2026
Pension plan clients · 4 to 5
Feb 24, 2025 to Feb 4, 2026
Assets in custody · $27.2M to $29.8M
Feb 24, 2025 to Feb 4, 2026
Discretionary RAUM · $381M to $457M
Feb 24, 2025 to Feb 4, 2026
HNW RAUM · $372M to $450M
Feb 24, 2025 to Feb 4, 2026
Individual RAUM · $9.6M to $7.3M
Feb 24, 2025 to Feb 4, 2026
Non-discretionary RAUM · $8.9M to $16.5M
Feb 24, 2025 to Feb 4, 2026
Pension RAUM · $8.9M to $16.5M
Feb 24, 2025 to Feb 4, 2026
RAUM · $390M to $474M
Feb 24, 2025 to Feb 4, 2026
Accounts · 239 to 248
Feb 15, 2024 to Feb 24, 2025
HNW clients · 149 to 161
Feb 15, 2024 to Feb 24, 2025
Individual clients · 86 to 83
Feb 15, 2024 to Feb 24, 2025
Financial planning clients · 1-10 to 1-10
Feb 15, 2024 to Feb 24, 2025
Discretionary RAUM · $323M to $381M
Feb 15, 2024 to Feb 24, 2025
HNW RAUM · $314M to $372M
Feb 15, 2024 to Feb 24, 2025
Individual RAUM · $9.4M to $9.6M
Feb 15, 2024 to Feb 24, 2025
Non-discretionary RAUM · $7.7M to $8.9M
Feb 15, 2024 to Feb 24, 2025
Pension RAUM · $7.7M to $8.9M
Feb 15, 2024 to Feb 24, 2025
RAUM · $331M to $390M
Feb 15, 2024 to Feb 24, 2025
Accounts · 240 to 239
Mar 2, 2023 to Feb 15, 2024
HNW clients · 133 to 149
Mar 2, 2023 to Feb 15, 2024
Individual clients · 103 to 86
Mar 2, 2023 to Feb 15, 2024
Discretionary RAUM · $284M to $323M
Mar 2, 2023 to Feb 15, 2024
HNW RAUM · $272M to $314M
Mar 2, 2023 to Feb 15, 2024
Individual RAUM · $11.6M to $9.4M
Mar 2, 2023 to Feb 15, 2024
Non-discretionary RAUM · $6.4M to $7.7M
Mar 2, 2023 to Feb 15, 2024
Pension RAUM · $6.4M to $7.7M
Mar 2, 2023 to Feb 15, 2024
RAUM · $290M to $331M
Mar 2, 2023 to Feb 15, 2024
Accounts · 236 to 240
Mar 3, 2022 to Mar 2, 2023
HNW clients · 130 to 133
Mar 3, 2022 to Mar 2, 2023
Individual clients · 102 to 103
Mar 3, 2022 to Mar 2, 2023
Assets in custody · $30.2M to $27.2M
Mar 3, 2022 to Mar 2, 2023
Discretionary RAUM · $370M to $284M
Mar 3, 2022 to Mar 2, 2023
HNW RAUM · $358M to $272M
Mar 3, 2022 to Mar 2, 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: 516-433-3100reportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 516-850-4204reportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 516-960-3100reportedpublished by the firm, firm site, Sep 17, 2026
Website: S•••••••••B•••••.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 516-433-3100reportedpublic record, Form ADV, Sep 10, 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: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026