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.
Latest filing Feb 13, 2026
First filing on the tape Sep 22, 2014 · 29 filings
SEC status approved since Oct 8, 2014
RAUM
$393M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
16%
$62.7M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$393M as of Feb 13, 2026
Mar 26, 2015$62.5M then
HNW client RAUM$62.3M as of Feb 13, 2026
Jan 30, 2018$52.5M then
State-registered IARs (5.B.3)3 as of Feb 13, 2026
Mar 26, 20154 then
Employees (5.A)4 as of Feb 13, 2026
Mar 26, 20155 then
Private funds: 1
RAUM -12% over the last fiscal year+8.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 13, 2026; every figure names its basis
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $7.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%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, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, publicationsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$328M83%
- High-net-worth individuals$62.3M16%
- Pooled investment vehicles$3.0M0.8%
- Individuals$360,8030.1%
- Individual clients
- n/areported
- HNW clients
- 47reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 50reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.16 fund_share=0.84 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Simon Anthony LackChartered Financial Analyst | Naples, Fl | Dec 1, 2016 | 21 y | 0 |
| Elizabeth Anne Lack | Naples, Fl | Apr 8, 2022 | 13 y | 0 |
| Henry Maxwell HoffmanChartered Financial Analyst | Pelham, Ny | Nov 16, 2025 | 16 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 headcount0 left over 36 months
Left, latest
- Douglas Cataldo to Catalyst Capital Advisors LLCSep 6, 2023 · Other
Joined, latest
- Douglas Cataldo from One Charles Private WealthMar 19, 2018 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Low Vol Hedged Fund, LPno longer reported | Hedge Fund | $525,000 | 5 | Jan 28, 2021 |
Owners and control persons
Schedule A and B, latest filing
- Maxwell Henry Hoffman · Partnercontrolsince 01/2014 · owns 25% to 50%
- Anthony Simon Lack · Managing Member And Chief Compliance Officercontrolsince 03/2009 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Naples, Fl | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 58 to 50Oct 27, 2025 to Feb 13, 2026
- HNW clients · 54 to 47Oct 27, 2025 to Feb 13, 2026
- Assets in custody · unset to 0.0Oct 27, 2025 to Feb 13, 2026
- Discretionary RAUM · $446M to $393MOct 27, 2025 to Feb 13, 2026
- HNW RAUM · $76.6M to $62.3MOct 27, 2025 to Feb 13, 2026
- Individual RAUM · $723,744 to $360,803Oct 27, 2025 to Feb 13, 2026
- Pooled vehicle RAUM · $3.3M to $3.0MOct 27, 2025 to Feb 13, 2026
- RAUM · $446M to $393MOct 27, 2025 to Feb 13, 2026
- Financial planning clients · 0 to 0Jan 23, 2025 to Oct 27, 2025
- HNW clients · 53 to 54Feb 14, 2024 to Jan 23, 2025
- HQ city · unset to Feb 14, 2024 to Jan 23, 2025
- HQ state · unset to Feb 14, 2024 to Jan 23, 2025
- Discretionary RAUM · $314M to $446MFeb 14, 2024 to Jan 23, 2025
- HNW RAUM · $59.3M to $76.6MFeb 14, 2024 to Jan 23, 2025
- Individual RAUM · $639,856 to $723,744Feb 14, 2024 to Jan 23, 2025
- Pooled vehicle RAUM · $2.2M to $3.3MFeb 14, 2024 to Jan 23, 2025
- RAUM · $314M to $446MFeb 14, 2024 to Jan 23, 2025
- Accounts · 34 to 58Feb 9, 2023 to Feb 14, 2024
- Advisory employees · 4 to 3Feb 9, 2023 to Feb 14, 2024
- HNW clients · 28 to 53Feb 9, 2023 to Feb 14, 2024
- Employees · 5 to 4Feb 9, 2023 to Feb 14, 2024
- State-registered IARs · 4 to 3Feb 9, 2023 to Feb 14, 2024
- Other offices · 3 to 2Feb 9, 2023 to Feb 14, 2024
- Discretionary RAUM · $306M to $314MFeb 9, 2023 to Feb 14, 2024
- HNW RAUM · $54.4M to $59.3MFeb 9, 2023 to Feb 14, 2024
- Individual RAUM · $593,714 to $639,856Feb 9, 2023 to Feb 14, 2024
- Pooled vehicle RAUM · $1.9M to $2.2MFeb 9, 2023 to Feb 14, 2024
- RAUM · $306M to $314MFeb 9, 2023 to Feb 14, 2024
- Accounts · 90 to 34Feb 14, 2022 to Feb 9, 2023
- Advisory employees · 3 to 4Feb 14, 2022 to Feb 9, 2023
- HNW clients · 84 to 28Feb 14, 2022 to Feb 9, 2023
- Employees · 4 to 5Feb 14, 2022 to Feb 9, 2023
- State-registered IARs · 3 to 4Feb 14, 2022 to Feb 9, 2023
- Other offices · 2 to 3Feb 14, 2022 to Feb 9, 2023
- Discretionary RAUM · $217M to $306MFeb 14, 2022 to Feb 9, 2023
- HNW RAUM · $54.2M to $54.4MFeb 14, 2022 to Feb 9, 2023
- Individual RAUM · $547,470 to $593,714Feb 14, 2022 to Feb 9, 2023
- Pooled vehicle RAUM · $1.6M to $1.9MFeb 14, 2022 to Feb 9, 2023
- RAUM · $217M to $306MFeb 14, 2022 to Feb 9, 2023
- Accounts · 91 to 90Jan 28, 2021 to Feb 14, 2022
Signals
3 dated events
- Sl Advisors, Llc reported RAUM $445.6M, up 42% from $313.7M (2024-02-14 to 2025-01-23)Jan 23, 2025 · RAUM change · derived
- Douglas Cataldo left Sl Advisors, Llc for Catalyst Capital Advisors Llc (registered 2025-01-05)Sep 6, 2023 · Advisor changed firm · fact
- Sl Advisors, Llc filed its initial SEC registration (Form ADV)Sep 22, 2014 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/SL-ADVISORS-LLCreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SL-ADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 908-205-2955reportedpublic record, Form ADV, Feb 13, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026