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•••••••
Legal name S••••• A•••••••••
Latest filing Mar 9, 2026
First filing on the tape Mar 10, 2015 · 13 filings
SEC status approved since Mar 17, 2015
RAUM
$50.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$49.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$50.8M as of Mar 9, 2026
Mar 3, 2016$29.3M then
HNW client RAUM$29.9M as of Mar 9, 2026
Mar 12, 2018$20.1M then
State-registered IARs (5.B.3)0 as of Mar 9, 2026
Mar 3, 20160 then
Employees (5.A)2 as of Mar 9, 2026
Mar 3, 20162 then
Private funds: no history
RAUM +0.1% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 9, 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
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $540,877derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$29.9M59%
- Individuals$19.4M38%
- Charitable organizations$1.6M3.1%
- Individual clients
- 64reported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 94reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• B•••••••• L•••• · Chief Compliance Officercontrolsince 02/2009 · owns 50% to 75%
- M••••••• T•••••••• B•••••• · Presidentcontrolsince 06/2009 · 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.
What changed
consecutive filings, newest first
- Accounts · 96 to 94Feb 7, 2025 to Mar 9, 2026
- Charity clients · 3 to 2Feb 7, 2025 to Mar 9, 2026
- HNW clients · 32 to 28Feb 7, 2025 to Mar 9, 2026
- Individual clients · 61 to 64Feb 7, 2025 to Mar 9, 2026
- Employees · 3 to 2Feb 7, 2025 to Mar 9, 2026
- Discretionary RAUM · $50.8M to $50.8MFeb 7, 2025 to Mar 9, 2026
- HNW RAUM · $26.9M to $29.9MFeb 7, 2025 to Mar 9, 2026
- Individual RAUM · $17.0M to $19.4MFeb 7, 2025 to Mar 9, 2026
- RAUM · $50.8M to $50.8MFeb 7, 2025 to Mar 9, 2026
- Accounts · 91 to 96Mar 1, 2024 to Feb 7, 2025
- HNW clients · 31 to 32Mar 1, 2024 to Feb 7, 2025
- Individual clients · 57 to 61Mar 1, 2024 to Feb 7, 2025
- Financial planning clients · 0 to 0Mar 1, 2024 to Feb 7, 2025
- Discretionary RAUM · $42.7M to $50.8MMar 1, 2024 to Feb 7, 2025
- HNW RAUM · $22.7M to $26.9MMar 1, 2024 to Feb 7, 2025
- Individual RAUM · $14.0M to $17.0MMar 1, 2024 to Feb 7, 2025
- RAUM · $42.7M to $50.8MMar 1, 2024 to Feb 7, 2025
- Accounts · 87 to 91Mar 6, 2023 to Mar 1, 2024
- HNW clients · 28 to 31Mar 6, 2023 to Mar 1, 2024
- Individual clients · 55 to 57Mar 6, 2023 to Mar 1, 2024
- Pension plan clients · 1.0 to unsetMar 6, 2023 to Mar 1, 2024
- Discretionary RAUM · $37.0M to $42.7MMar 6, 2023 to Mar 1, 2024
- HNW RAUM · $18.2M to $22.7MMar 6, 2023 to Mar 1, 2024
- Individual RAUM · $12.1M to $14.0MMar 6, 2023 to Mar 1, 2024
- Pension RAUM · 1111386.0 to unsetMar 6, 2023 to Mar 1, 2024
- RAUM · $37.0M to $42.7MMar 6, 2023 to Mar 1, 2024
- Accounts · 89 to 87Mar 4, 2022 to Mar 6, 2023
- HNW clients · 30 to 28Mar 4, 2022 to Mar 6, 2023
- Discretionary RAUM · $40.4M to $37.0MMar 4, 2022 to Mar 6, 2023
- HNW RAUM · $19.7M to $18.2MMar 4, 2022 to Mar 6, 2023
- Individual RAUM · $13.4M to $12.1MMar 4, 2022 to Mar 6, 2023
- Pension RAUM · $1.1M to $1.1MMar 4, 2022 to Mar 6, 2023
- RAUM · $40.4M to $37.0MMar 4, 2022 to Mar 6, 2023
- Accounts · 91 to 89Mar 4, 2021 to Mar 4, 2022
- HNW clients · 31 to 30Mar 4, 2021 to Mar 4, 2022
- Individual clients · 56 to 55Mar 4, 2021 to Mar 4, 2022
- Discretionary RAUM · $37.4M to $40.4MMar 4, 2021 to Mar 4, 2022
- HNW RAUM · $19.4M to $19.7MMar 4, 2021 to Mar 4, 2022
- Individual RAUM · $11.8M to $13.4MMar 4, 2021 to Mar 4, 2022
- Pension RAUM · $936,498 to $1.1MMar 4, 2021 to Mar 4, 2022
Signals
1 dated events
- S••••• A••••••• filed its initial SEC registration (Form ADV)Mar 10, 2015 · 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
- Business phone
- 585-425-9510reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- S•••••ADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 585-425-9510reportedpublic record, Form ADV, Mar 9, 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