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•••••••• L••
Latest filing Mar 9, 2026
First filing on the tape Mar 22, 2012 · 26 filings
SEC status approved since Aug 21, 2008
RAUM
$687M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
88%
$607M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$344M
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$687M as of Mar 9, 2026
Mar 22, 2012$226M then
HNW client RAUM$603M as of Mar 9, 2026
Mar 28, 2018$446M then
State-registered IARs (5.B.3)2 as of Mar 9, 2026
Mar 22, 20120 then
Employees (5.A)9 as of Mar 9, 2026
Mar 20, 20135 then
Private funds: no history
RAUM +17% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 9, 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
- $344MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.3MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 76%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $5.1M, 1 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$603M88%
- Corporations and businesses$68.4M10.0%
- Pension and profit-sharing plans$11.8M1.7%
- Individuals$4.4M0.6%
- Individual clients
- 7reported
- HNW clients
- 83reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 353reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.1M for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| B••••••••• C••••••••Chartered Financial Analyst | Boston, Ma | May 16, 2011 | 26 y | 1 |
| P••• R••••• M•••••••••Chartered Financial Analyst | Boston, Ma | Sep 23, 2013 | 29 y | 1 |
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
- T••• C•••• S•••••••• to F••••• C••••••• L••Sep 17, 2018 · RIA to RIA
- M•••••• K•••• M••••• to W•••• F•••• A•••••••Jun 19, 2018 · RIA to wirehouse
- F•••••••• M••••• W•••••• to F••••••• I••••••••• M••••••••• L••Feb 27, 2018 · Other
Joined, latest
- F•••••••• M••••• W•••••• from F••••••• I••••••••• M••••••••• L••Mar 15, 2017 · Other
- P••• R••••• M••••••••• from S••••• B•••••Sep 23, 2013 · Other
- B••••••••• C•••••••• from F•••••• S••••• A••••••• I••May 16, 2011 · Other
- T••• C•••• S•••••••• from K••••• I•••••• M••••••••• I••May 26, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• B••••••••• · Board Member, President, Chief Executive Officercontrolsince 08/2008 · owns 50% to 75%
- M••••••••• P•••• R••••• · Board Membercontrolsince 01/2014 · owns 5% to 10%
- M••••••••• V••••••• · Board Member, Treasurer, Secretarycontrolsince 01/2014 · owns less than 5%
- T••••••• V••••••• P•••• · Board Membercontrolsince 01/2014 · owns less than 5%
- G•••••••• E•••••• R••••• · Non-Executive Membersince 12/2008 · owns less than 5%
- T••••••• N••••••• C••••••• · Non-Executive Membersince 08/2008 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Boston, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 319 to 353Mar 7, 2025 to Mar 9, 2026
- HNW clients · 80 to 83Mar 7, 2025 to Mar 9, 2026
- Assets in custody · $4.2M to $5.1MMar 7, 2025 to Mar 9, 2026
- Employees · 10 to 9Mar 7, 2025 to Mar 9, 2026
- Discretionary RAUM · $441M to $524MMar 7, 2025 to Mar 9, 2026
- HNW RAUM · $515M to $603MMar 7, 2025 to Mar 9, 2026
- Individual RAUM · $3.8M to $4.4MMar 7, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $148M to $163MMar 7, 2025 to Mar 9, 2026
- Pension RAUM · $6.6M to $11.8MMar 7, 2025 to Mar 9, 2026
- RAUM · $590M to $687MMar 7, 2025 to Mar 9, 2026
- Accounts · 323 to 319Aug 26, 2024 to Mar 7, 2025
- HNW clients · 76 to 80Aug 26, 2024 to Mar 7, 2025
- Individual clients · 11 to 7Aug 26, 2024 to Mar 7, 2025
- Assets in custody · $4.0M to $4.2MAug 26, 2024 to Mar 7, 2025
- Employees · 9 to 10Aug 26, 2024 to Mar 7, 2025
- Financial planning clients · unset to Aug 26, 2024 to Mar 7, 2025
- Discretionary RAUM · $410M to $441MAug 26, 2024 to Mar 7, 2025
- HNW RAUM · $483M to $515MAug 26, 2024 to Mar 7, 2025
- Individual RAUM · $6.3M to $3.8MAug 26, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $151M to $148MAug 26, 2024 to Mar 7, 2025
- Pension RAUM · $6.4M to $6.6MAug 26, 2024 to Mar 7, 2025
- RAUM · $561M to $590MAug 26, 2024 to Mar 7, 2025
- Accounts · 338 to 323Nov 11, 2023 to Mar 19, 2024
- HNW clients · 73 to 76Nov 11, 2023 to Mar 19, 2024
- Individual clients · 18 to 11Nov 11, 2023 to Mar 19, 2024
- Assets in custody · $3.6M to $4.0MNov 11, 2023 to Mar 19, 2024
- Discretionary RAUM · $349M to $410MNov 11, 2023 to Mar 19, 2024
- HNW RAUM · $414M to $483MNov 11, 2023 to Mar 19, 2024
- Individual RAUM · $9.8M to $6.3MNov 11, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $141M to $151MNov 11, 2023 to Mar 19, 2024
- Pension RAUM · $5.9M to $6.4MNov 11, 2023 to Mar 19, 2024
- RAUM · $490M to $561MNov 11, 2023 to Mar 19, 2024
- Employees · 8 to 9Mar 14, 2023 to Nov 11, 2023
- Accounts · 329 to 338Mar 14, 2022 to Mar 14, 2023
- Advisory activities · 3 to 4Mar 14, 2022 to Mar 14, 2023
- HNW clients · 71 to 73Mar 14, 2022 to Mar 14, 2023
- Individual clients · 14 to 18Mar 14, 2022 to Mar 14, 2023
- Assets in custody · unset to 3603449.0Mar 14, 2022 to Mar 14, 2023
- Custody of client assets · false to trueMar 14, 2022 to Mar 14, 2023
- Employees · 7 to 8Mar 14, 2022 to Mar 14, 2023
Signals
4 dated events
- J•••••• S•••••• M•••• (Chief Compliance Officer) no longer on Schedule A of S•••••• A•••••••• L•• (listed 2021-03-23, absent 2022-03-14)Mar 14, 2022 · Control person left · inference
- S•••••• A•••••••• L•• reported RAUM $721.2M, up 30% from $555.8M (2020-06-25 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
- J•••••• S•••••• M•••• (Chief Compliance Officer) appeared on Schedule A of S•••••• A•••••••• L••Mar 23, 2020 · Control person joined · fact
- S•••••• A•••••••• L•• reported RAUM $587.9M, up 27% from $461.3M (2017-02-23 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
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 email
- info@siharum.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- operations@siharum.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 617-428-7500reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 617-977-8900reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/S••••••-ADVISORS-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••://S••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (617) 428-7500reportedpublic record, Form ADV, Mar 9, 2026
- Contact form
- siharum.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- siharum.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $344Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026