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
R•• I••••••••• A•••••••• L••
Latest filing Jul 21, 2026
First filing on the tape Apr 1, 2021 · 18 filings
SEC status approved since May 6, 2021
RAUM
$101M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$84.5M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$25.3M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
5
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$101M as of Jul 21, 2026
Mar 4, 2022$116M then
HNW client RAUM$53.4M as of Jul 21, 2026
Mar 4, 2022$73.8M then
State-registered IARs (5.B.3)4 as of Jul 21, 2026
Mar 4, 20223 then
Employees (5.A)4 as of Jul 21, 2026
Mar 4, 20223 then
Private funds5 as of Jul 21, 2026
Mar 4, 20224 then
RAUM -5.8% over the last fiscal year+11% a year over threeIARs 3 to 4offices 0 to 2
Practice profile
derived from the filing of Jul 21, 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
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $25.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $357,202derivedRAUM 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
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- 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$53.4M53%
- Individuals$31.1M31%
- Pooled investment vehicles$16.6M16%
- Individual clients
- 80reported
- HNW clients
- 19reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 283reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.84 fund_share=0.16 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• J• T••••• | Stamford, Ct | Aug 12, 2013 | 15 y | 1 |
| J•••• M•••••• G••••••Personal Financial Specialist | Great Neck, Ny | May 26, 2021 | 17 y | 0 |
| R••• S• K••• | Rochester, Mn | Dec 24, 2025 | 12 y | 0 |
| W•••••• B•••••••Chartered Financial Analyst | Great Neck, Ny | Aug 19, 2026 | 15 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 headcount2 left over 36 months
Left, latest
- A•• S•••••• L•••• to B•••••• W••••• P•••••••• L••Jan 9, 2025 · RIA to RIA
- B••••••• T•••• to P••• A••••• S••••••••• L••Feb 8, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- E••••• J• T••••• from A••••••••• A•••• M••••••••• L••Aug 12, 2013 · Other
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• E••••• P••••••• L• | Hedge Fund | $14.9M | 36 | Apr 1, 2021 |
| S•••••••• A••• P••••••• H••••••• L• | Private Equity Fund | $2.0M | 22 | Apr 1, 2021 |
| S•••••••• A••• P••••••• H••••••• I• L• | Private Equity Fund | $1.6M | 19 | Mar 30, 2023 |
| S•••••••• P•••••• O••••••••• F••• L• | Other Private Fund | $500,000 | 7 | Apr 1, 2021 |
| S•••••••• S••••• S•••• S•• I• L• | Hedge Fund | $127,225 | 11 | Jul 22, 2021 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• J••••• M•••••• · Cco, Managing Partnercontrolsince 01/2009 · owns 50% to 75%
- T•••••• E•••••• J• · Managing Partnercontrolsince 01/2012 · owns 50% to 75%
Related persons
Schedule D 7.A
- S•••••••• E••••• P••••••• G• L••investment adviserpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Great Neck, Ny · principal | 3 | 2 | 0 | ||
| Skokie, Il | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Great Neck, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 298 to 283Dec 24, 2025 to Mar 23, 2026
- Advisory employees · 3 to 4Dec 24, 2025 to Mar 23, 2026
- HNW clients · 22 to 19Dec 24, 2025 to Mar 23, 2026
- Individual clients · 68 to 80Dec 24, 2025 to Mar 23, 2026
- Pooled vehicle clients · 4 to 1Dec 24, 2025 to Mar 23, 2026
- Employees · 3 to 4Dec 24, 2025 to Mar 23, 2026
- State-registered IARs · 3 to 4Dec 24, 2025 to Mar 23, 2026
- Discretionary RAUM · $107M to $101MDec 24, 2025 to Mar 23, 2026
- HNW RAUM · $62.4M to $53.4MDec 24, 2025 to Mar 23, 2026
- Individual RAUM · $24.1M to $31.1MDec 24, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $20.8M to $16.6MDec 24, 2025 to Mar 23, 2026
- RAUM · $107M to $101MDec 24, 2025 to Mar 23, 2026
- Other offices · 0 to 2Jun 27, 2025 to Dec 24, 2025
- Financial planning clients · 1-10 to 1-10Apr 11, 2025 to Jun 27, 2025
- Accounts · 227 to 298Apr 8, 2024 to Apr 11, 2025
- HNW clients · 24 to 22Apr 8, 2024 to Apr 11, 2025
- Individual clients · 73 to 68Apr 8, 2024 to Apr 11, 2025
- Pooled vehicle clients · unset to 4.0Apr 8, 2024 to Apr 11, 2025
- Other offices · 1 to 0Apr 8, 2024 to Apr 11, 2025
- Private funds · 4 to 5Apr 8, 2024 to Apr 11, 2025
- Discretionary RAUM · $90.8M to $107MApr 8, 2024 to Apr 11, 2025
- HNW RAUM · $69.7M to $62.4MApr 8, 2024 to Apr 11, 2025
- Individual RAUM · $21.0M to $24.1MApr 8, 2024 to Apr 11, 2025
- Pooled vehicle RAUM · unset to 20822717.0Apr 8, 2024 to Apr 11, 2025
- RAUM · $90.8M to $107MApr 8, 2024 to Apr 11, 2025
- Related adviser · true to falseApr 8, 2024 to Apr 11, 2025
- Accounts · 226 to 227Sep 6, 2023 to Mar 15, 2024
- HNW clients · 25 to 24Sep 6, 2023 to Mar 15, 2024
- Individual clients · 55 to 73Sep 6, 2023 to Mar 15, 2024
- Pooled vehicle clients · 5.0 to unsetSep 6, 2023 to Mar 15, 2024
- Private funds · 5 to 4Sep 6, 2023 to Mar 15, 2024
- Discretionary RAUM · $74.9M to $90.8MSep 6, 2023 to Mar 15, 2024
- HNW RAUM · $43.3M to $69.7MSep 6, 2023 to Mar 15, 2024
- Individual RAUM · $15.1M to $21.0MSep 6, 2023 to Mar 15, 2024
- Pooled vehicle RAUM · 16454807.0 to unsetSep 6, 2023 to Mar 15, 2024
- RAUM · $74.9M to $90.8MSep 6, 2023 to Mar 15, 2024
- Accounts · 275 to 226Sep 6, 2022 to Mar 30, 2023
- HNW clients · 27 to 25Sep 6, 2022 to Mar 30, 2023
- Individual clients · 51 to 55Sep 6, 2022 to Mar 30, 2023
- Pooled vehicle clients · 4 to 5Sep 6, 2022 to Mar 30, 2023
Signals
3 dated events
- A•• S•••••• L•••• left R•• I••••••••• A•••••••• L•• for B•••••• W••••• P•••••••• L•• (registered 2025-05-21)Jan 9, 2025 · Advisor changed firm · fact
- B••••••• T•••• left R•• I••••••••• A•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2024-04-16)Feb 8, 2024 · Advisor changed firm · fact
- R•• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 1, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•• I••••••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- R•• I••••••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- svpwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-665-1945reportedpublic record, Form ADV, Jul 21, 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
- $25.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026