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.

Former SEC-registered adviser

Spartan Capital Private Wealth Management LLC

STATE REGISTEREDNew York, New YorkCRD 154632websiteIAPD
Latest filing Dec 13, 2022
First filing on the tape Dec 13, 2022 · 1 filings
RAUM
$6.7M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$6.7M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Dec 13, 2022; every figure names its basis
RAUM per advisor
$3.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$337,050derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$6.7M100%
Individual clients
20reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
20reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
9 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Ralph Edward MetzNew York, NyJan 5, 202223 y1
Peter Ignazio CardilloNew York, NyJan 5, 202234 y1
Shoug MaysonSaint Petersburg, Fl Jan 5, 202217 y5
Gary Misa ScarboroNew York, NyJan 5, 202223 y1
Sara Miriam RosenbergNew York, NyMay 21, 202416 y2
Theologos Stavros BasisNew York, NyApr 16, 202531 y5
William Andrew BarisManorville, Ny Jun 30, 202513 y0
Carter Joseph DuddyNew York, NyFeb 9, 202612 y0
William Esteban RomeroNew York, NyMar 9, 202620 y6
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 days3 left over 36 months
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
New York, Ny · principal922
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
3 dated events
  • Samia Mahnoor left Spartan Capital Private Wealth Management Llc for United Success Wealth Management (registered 2026-08-27)
    Aug 13, 2026 · Advisor changed firm · fact
  • Brandon Felix Ulloa left Spartan Capital Private Wealth Management Llc for Lincoln Investment (registered 2026-01-05)
    Dec 22, 2025 · Advisor changed firm · fact
  • Blake Lawrence Weltmann left Spartan Capital Private Wealth Management Llc for Secondmarket Financial, Llc (registered 2026-05-11)
    Jan 1, 2025 · Advisor changed firm · 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
Website
SPARTANCAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
212-293-0123reportedpublic record, Form ADV, Dec 13, 2022
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
STATE REGISTEREDderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 15, 2026