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•••••• C•••••• A••••••• L••
Latest filing Aug 18, 2026
First filing on the tape Mar 30, 2012 · 50 filings
SEC status approved since Jun 17, 2011
RAUM
$8.9B
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
97%
$8.6B individuals and HNW
Advisors
121
registered through the firm on IAPD
RAUM per advisor
$73.3M
derived; firm RAUM over IAPD count
Employees
154
105 advisory (5.B.1)
Offices
14
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$8.9B as of Aug 18, 2026
Mar 30, 2012$28.4M then
HNW client RAUM$7.1B as of Aug 18, 2026
Mar 29, 2018$1.5B then
State-registered IARs (5.B.3)117 as of Aug 18, 2026
Mar 30, 20120 then
Employees (5.A)154 as of Aug 18, 2026
Apr 3, 201317 then
Private funds: no history
RAUM +17% over the last fiscal year+23% a year over threeIARs 114 to 117
Practice profile
derived from the filing of Aug 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $72.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $864,485derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 8.1derived15 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +2.6%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $7.8BreportedItem 5.I
- Custody
- $981M, 1,315 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$7.1B80%
- Individuals$1.5B17%
- Charitable organizations$139M1.6%
- Pension and profit-sharing plans$134M1.5%
- Corporations and businesses$26.8M0.3%
- Individual clients
- 4,298reported
- HNW clients
- 1,580reported
- Pension plan clients
- 75reported
- Charitable clients
- 57reported
- Accounts
- 10,260reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $1.4B sponsored, $0 managedreported
- Custody of client assets
- $981M for 1,315 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=136.0derived
Advisors registered through the firm
122 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• I• P•••••• | New York, Ny | Jan 9, 2015 | 19 y | 3 |
| J•••• B•••• C••••••Certified Financial Planner | New York, Ny | Jan 10, 2015 | 23 y | 2 |
| L•••••• G••••• M••••••••• | New York, Ny | Jan 12, 2015 | 36 y | 2 |
| M•••••• K•••• B••• | Wilson, Wy | Jan 12, 2015 | 24 y | 1 |
| J•••• B•••••• | New York, Ny | Jan 14, 2015 | 25 y | 2 |
| N•••• N•••••• K••••••• | Pasadena, Ca | Jan 14, 2015 | 18 y | 2 |
| P••• E••• W••••• | Baltimore, Md | Jan 14, 2015 | 33 y | 3 |
| L••• R•••••• S•••• | New York, Ny | Jan 14, 2015 | 23 y | 2 |
| A••••• E•••••••• B•••••• | New York, Ny | Jan 14, 2015 | 15 y | 2 |
| P••••• A•••••• L•••••• | Baltimore, Md | Jan 14, 2015 | 35 y | 3 |
| E••• S••••••• S••••••• | New York, Ny | Jan 14, 2015 | 19 y | 3 |
| M••• D•••• S•••••• | Mount Pleasant, Sc | Jan 14, 2015 | 28 y | 3 |
| G•••••• C••••• F••••• | New York, Ny | Jan 14, 2015 | 43 y | 1 |
| R••••• A••• H•••••• | Pasadena, Ca | Jan 14, 2015 | 38 y | 2 |
| J•• W• L• M•••• | New York, Ny | Jan 14, 2015 | 30 y | 2 |
| J••• T••••• D•••••••• | New York, Ny | Jan 15, 2015 | 42 y | 2 |
| R••••• E••••• F•••••• | New York, Ny | Feb 13, 2015 | 32 y | 2 |
| A••• E••••• B•••• | Bethesda, Md | Jul 29, 2015 | 29 y | 1 |
| R••• P••••••Chartered Financial Analyst | Bethesda, Md | Jul 29, 2015 | 20 y | 1 |
| W•••••• K•••• M••• | Bethesda, Md | Jul 29, 2015 | 42 y | 1 |
| I••• C••••• D••• | San Diego, Ca | Dec 4, 2015 | 17 y | 1 |
| R•••••• L•••• | New York, Ny | Dec 4, 2015 | 29 y | 1 |
| B•••••• I•• L••••••••• | New York, Ny | Dec 8, 2015 | 38 y | 0 |
| A•••••••• A••••• | New York, Ny | Feb 22, 2016 | 18 y | 1 |
| J••• C••••• M••••• | New York, Ny | Feb 24, 2016 | 21 y | 4 |
| A•••• T• S•••• | New York, Ny | Apr 13, 2016 | 18 y | 1 |
| D•••• W•••• W••••••• | Baltimore, Md | Sep 23, 2016 | 37 y | 4 |
| M•••••• P•••••• M•••••• | Wilton Manors, Fl | Nov 4, 2016 | 27 y | 5 |
| M••••••• L••• B••••• | New York, Ny | Mar 6, 2017 | 31 y | 3 |
| C••••••••• S• H•••• | New York, Ny | Mar 11, 2017 | 17 y | 1 |
| R••• C•••••• K•••• | New York, Ny | Mar 11, 2017 | 24 y | 1 |
| L••••••• A••• B•••••• | San Antonio, Tx | Apr 26, 2017 | 28 y | 2 |
| A•••••••• G• C••• | New York, Ny | May 11, 2017 | 14 y | 0 |
| W•••• S•••• H•••• | C•••• Gables, Fl | Aug 16, 2017 | 23 y | 1 |
| S••••• B•••• | Pittsburgh, Pa | Dec 6, 2017 | 26 y | 2 |
| D••••••• E••••• M••••••• | C•••• Gables, Fl | Jun 20, 2018 | 10 y | 1 |
| M••• N••••• H••••Certified Financial Planner | San Antonio, Tx | Jun 25, 2018 | 39 y | 4 |
| L••• M•••• E••••Certified Financial Planner | San Antonio, Tx | Jun 28, 2018 | 26 y | 3 |
| J••••• M•••••• H•••• | San Antonio, Tx | Jun 28, 2018 | 12 y | 1 |
| L••• J••• S••••• | San Antonio, Tx | Aug 24, 2018 | 39 y | 2 |
Advisor movement
0 left, 8 joined in 12 months
net +8 in 12 months0 left in 90 days4 joined in 90 daysdeparture rate 0.0% of current headcount9 left over 36 months
Left, latest
- M••••• A••••• S•••• to L•• F•••••••• L••Dec 12, 2024 · Affiliated broker-dealer or bank to another
- S•••••• T••••• F•••••• to S•••••••• A•••••••• L••Oct 10, 2024 · Affiliated broker-dealer or bank to another
- J••• G••••••••• to S•••••••• A•••••••• L••Oct 10, 2024 · Affiliated broker-dealer or bank to another
- S••••• P•••••• D•••••••• to S•••••••• A•••••••• L••Oct 10, 2024 · Affiliated broker-dealer or bank to another
- R••••• J• B••••• to S•••••••• A•••••••• L••Oct 10, 2024 · Affiliated broker-dealer or bank to another
- D••••• A•••••• A••• to J••• M••••• S••••••••• L••Apr 15, 2024 · Affiliated broker-dealer or bank to wirehouse
- I••• R•••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Apr 7, 2024 · Affiliated broker-dealer or bank to another
- T••••• J••••• B••• to C•••• R••• A••••••• L••Mar 14, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• S•••••• R•••••• to C•••• R••• A••••••• L••Mar 14, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- H••••• L•••••• to M••••• S••••••Jun 8, 2023 · Affiliated broker-dealer or bank to wirehouse
- K••••• J••• D•••••• to A••••••••• F•••••••• S•••••••• L••Mar 30, 2022 · Affiliated broker-dealer or bank to another
- J••••• M••• H•••••• to R•••••• J•••• • A••••••••• I•••Mar 4, 2019 · Affiliated broker-dealer or bank to another
- P•••• J••• L•• to W••••• E••••••••• A••••••• S•••••••• L••Jan 7, 2019 · Affiliated broker-dealer or bank to another
- C••••••• E••• to M•••• A•••• M••••••••• I•••Sep 29, 2017 · Other
- R••••• J••••• B••••• to J••••• M••••••••• S•••• L••Sep 11, 2017 · Other
Joined, latest
- J•••• W• B•••••• from M••••• S••••••Sep 17, 2026 · Wirehouse to affiliated broker-dealer or bank
- G••••• L•••••• L•••• from W•••• F•••• A•••••••Aug 20, 2026 · Wirehouse to affiliated broker-dealer or bank
- J•••• E• C••••• from J••• M••••• S••••••••• L••Jul 31, 2026 · Wirehouse to affiliated broker-dealer or bank
- G•••••• A•••••• R•••••••• from W•••• F•••• A•••••••Jul 8, 2026 · Wirehouse to affiliated broker-dealer or bank
- E•••• M• C•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 1, 2026 · Wirehouse to affiliated broker-dealer or bank
- M•••• T••••• C•••• from T••••• A••••••• S•••••••• I•••Apr 29, 2026 · Affiliated broker-dealer or bank to another
- J••••• L•••• B••••••••• from O•••• W•••••• I•••Nov 14, 2025 · Affiliated broker-dealer or bank to another
- J••••••• L••• C••• from T• P•••••• C••••• W••••• L••Oct 27, 2025 · Affiliated broker-dealer or bank to another
- J••• P•••• S•••••••• from W•••• F•••• A•••••••Jun 19, 2025 · Wirehouse to affiliated broker-dealer or bank
- R••••• A• R••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 17, 2025 · Wirehouse to affiliated broker-dealer or bank
- A•••••• A••••• U•••• from W•••• F•••• A•••••••Jan 1, 2025 · Wirehouse to affiliated broker-dealer or bank
- J••••• A• R••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 1, 2025 · Wirehouse to affiliated broker-dealer or bank
- O••• G• P••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 1, 2025 · Wirehouse to affiliated broker-dealer or bank
- B•••• J••••• P••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 2, 2024 · Wirehouse to affiliated broker-dealer or bank
- F••••• A••••• T••••• from C••••• M•••••••••Jul 17, 2024 · RIA to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for S•••••••• A•••••••• L••Oct 10, 2024 · New York, Ny
- 2 left for C•••• R••• A••••••• L••Mar 14, 2024 · Chicago, Il
- 2 joined from M••••• S••••••Jul 23, 2024 · Miami, Fl
- 2 joined from L•••••• W••••• M••••••••• L••Dec 26, 2023 · New York, Ny
- 2 joined from U•• F•••••••• S••••••• I•••Oct 13, 2023 · New York, Ny
- 5 joined from D••••••• S••••••••• L••Apr 20, 2022 · New York, Ny
- 4 joined from W•••• F•••• A•••••••Jun 1, 2021 · New York, Ny
- 4 joined from W•••• F•••• A•••••••Apr 8, 2021 · New York, Ny
- 3 joined from W•••• F•••• A•••••••Mar 8, 2021 · C•••• Gables, Fl
- 2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 7, 2020 · W••••••Sville, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• G••••••• C••••• · Presidentcontrolsince 07/2012 · owns less than 5%
- M•••••• R•••••• J•••• · Chief Executive Officercontrolsince 04/2011 · owns less than 5%
- M•••••• M••••••• C•••••• · Membercontrolsince 07/2009 · owns 50% to 75% of E••••••• C•••••• P•••••••• L•
- W•••• R••••••• L•• · Chief Compliance Officersince 01/2016 · owns less than 5%
Entity owners
- S•• I••••••••• H•••••••• L•• · Sole Memberdirect · owns 75% or more
- E••••••• C•••••• P•••••••• L• · Member Series A-1 Preferred Unitsindirect · owns 50% to 75% of S•••••• C•••••• P••••••• L••
- E••••••• G•• L•• · General Partnerindirect · owns F of E••••••• Capital Partners, L.P.
- E••••••• M••••••• D•••••••• L•• · Memberindirect · owns 75% or more of E••••••• G•• L••
- S•• P••••• L•• · Sole Memberindirect · owns 75% or more of S•• I••••••••• H•••••••• L••
- S•••••• C•••••• P••••••• L•• · Sole Memberindirect · owns 75% or more of S•• P••••• L••
Related persons
Schedule D 7.A
- S•••••• A•••••• S••••••• L••broker-dealern
- S•••••• I•••••••• S••••••• L••real estaten
Advisers that list S•••••• C•••••• A••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 120 | 12 | 0 | ||
| C•••• Gables, Fl | 28 | 3 | 0 | ||
| Pasadena, Ca | 11 | 1 | 0 | ||
| San A••••Io, Tx | 7 | 1 | 0 | ||
| San Diego, Ca | 7 | 2 | 0 | ||
| Bethesda, Md | 5 | 1 | 0 | ||
| Baltimore, Md | 5 | 0 | 0 | ||
| Golden, Co | 3 | 0 | 0 | ||
| Amherst, Ny | 2 | 0 | 0 | ||
| Skokie, Il | 2 | 1 | 0 | ||
| Boca Raton, Fl | 2 | 0 | 0 | ||
| Ocean Pines, Md | 2 | 0 | 0 | ||
| Pittsburgh, Pa | 2 | 0 | 0 | ||
| Chicago, Il | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San A••••Io, TX9 employees
- New Haven, CT7 employees
- Pasadena, CA7 employees
- Baltimore, MD6 employees
- San Diego, CA5 employees
- C•••• Gables, FL5 employees
- Bethesda, MD4 employees
- Pittsburgh, PA3 employees
- Amherst, NY3 employees
- W••• Lebanon, NH2 employees
- Salisbury, MD2 employees
- Chicago, IL2 employees
- Golden, CO2 employees
- Boca Raton, FL2 employees
- W••••• Manors, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person c•••gedChange between filings · filing Aug 18, 2026M•••••• M••••••• C•••••• (MEMBER) left Schedule A between the filings of 2023-03-31 and 2026-08-18peers: affiliated wealth managers, $5B to $20B (53)
What changed
consecutive filings, newest first
- Accounts · 9,968 to 10,260Oct 1, 2025 to Mar 31, 2026
- Advisory employees · 97 to 105Oct 1, 2025 to Mar 31, 2026
- BD registered reps · 132 to 136Oct 1, 2025 to Mar 31, 2026
- Charity clients · 12 to 57Oct 1, 2025 to Mar 31, 2026
- Corporate clients · 16 to 11Oct 1, 2025 to Mar 31, 2026
- HNW clients · 1,524 to 1,580Oct 1, 2025 to Mar 31, 2026
- Individual clients · 4,157 to 4,298Oct 1, 2025 to Mar 31, 2026
- Pension plan clients · 62 to 75Oct 1, 2025 to Mar 31, 2026
- Assets in custody · $1.6B to $981MOct 1, 2025 to Mar 31, 2026
- Employees · 145 to 154Oct 1, 2025 to Mar 31, 2026
- State-registered IARs · 114 to 117Oct 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $6.2B to $7.4BOct 1, 2025 to Mar 31, 2026
- HNW RAUM · $5.9B to $7.1BOct 1, 2025 to Mar 31, 2026
- Individual RAUM · $1.3B to $1.5BOct 1, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.4B to $1.4BOct 1, 2025 to Mar 31, 2026
- Pension RAUM · $84.2M to $134MOct 1, 2025 to Mar 31, 2026
- RAUM · $7.6B to $8.9BOct 1, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · $2.3B to $1.4BOct 1, 2025 to Mar 31, 2026
- Accounts · 9,455 to 9,968Nov 5, 2024 to Apr 16, 2025
- Advisory employees · 98 to 97Nov 5, 2024 to Apr 16, 2025
- BD registered reps · 117 to 132Nov 5, 2024 to Apr 16, 2025
- Charity clients · 19 to 12Nov 5, 2024 to Apr 16, 2025
- Corporate clients · 22 to 16Nov 5, 2024 to Apr 16, 2025
- HNW clients · 1,866 to 1,524Nov 5, 2024 to Apr 16, 2025
- Individual clients · 4,416 to 4,157Nov 5, 2024 to Apr 16, 2025
- Pension plan clients · 17 to 62Nov 5, 2024 to Apr 16, 2025
- Assets in custody · $1.7B to $1.6BNov 5, 2024 to Apr 16, 2025
- Employees · 148 to 145Nov 5, 2024 to Apr 16, 2025
- Financial planning clients · 251-500 to 51-100Nov 5, 2024 to Apr 16, 2025
- State-registered IARs · 93 to 114Nov 5, 2024 to Apr 16, 2025
- Other offices · 15 to 14Nov 5, 2024 to Apr 16, 2025
- Discretionary RAUM · $4.6B to $6.2BNov 5, 2024 to Apr 16, 2025
- HNW RAUM · $4.8B to $5.9BNov 5, 2024 to Apr 16, 2025
- Individual RAUM · $832M to $1.3BNov 5, 2024 to Apr 16, 2025
- Non-discretionary RAUM · $1.3B to $1.4BNov 5, 2024 to Apr 16, 2025
- Pension RAUM · $229M to $84.2MNov 5, 2024 to Apr 16, 2025
- RAUM · $5.9B to $7.6BNov 5, 2024 to Apr 16, 2025
- Related adviser · true to falseNov 5, 2024 to Apr 16, 2025
- Wrap assets (sponsor) · $2.1B to $2.3BNov 5, 2024 to Apr 16, 2025
- Accounts · 8,037 to 9,455Jun 15, 2023 to Mar 30, 2024
Signals
27 dated events
- J•••• W• B•••••• registered as an investment adviser representative at S•••••• C•••••• A••••••• L••Sep 17, 2026 · Advisor registered · fact
- S•••••• C•••••• A••••••• L•• reported RAUM $7.6B, up 27% from $5.9B (2024-11-05 to 2025-04-16)Apr 16, 2025 · ria raum c•••ge · derived
- S•••••• C•••••• A••••••• L•• reported 114 state-registered advisory representatives, up from 93 (2024-11-05 to 2025-04-16)Apr 16, 2025 · ria advisor headcount c•••ge · derived
- M••••• A••••• S•••• left S•••••• C•••••• A••••••• L•• for L•• F•••••••• L•• (registered 2024-12-12)Dec 12, 2024 · advisor firm c•••ge · fact
- S•••••• T••••• F•••••• left S•••••• C•••••• A••••••• L•• for S•••••••• A•••••••• L•• (registered 2024-09-13)Oct 10, 2024 · advisor firm c•••ge · fact
- S••••• P•••••• D•••••••• left S•••••• C•••••• A••••••• L•• for S•••••••• A•••••••• L•• (registered 2024-09-13)Oct 10, 2024 · advisor firm c•••ge · fact
- R••••• J• B••••• left S•••••• C•••••• A••••••• L•• for S•••••••• A•••••••• L•• (registered 2024-09-13)Oct 10, 2024 · advisor firm c•••ge · fact
- 3 advisors left S•••••• C•••••• A••••••• L•• (New York, NY) for S•••••••• A•••••••• L•• on the same dayOct 10, 2024 · Team lift-out · derived
- 2 advisors left M••••• S•••••• (Miami, FL) for S•••••• C•••••• A••••••• L•• on the same dayJul 23, 2024 · Team lift-out · derived
- D••••• A•••••• A••• left S•••••• C•••••• A••••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-04-02)Apr 15, 2024 · advisor firm c•••ge · fact
- I••• R•••••••• left S•••••• C•••••• A••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-04-16)Apr 7, 2024 · advisor firm c•••ge · fact
- S•••••• C•••••• A••••••• L•• reported RAUM $5.9B, up 25% from $4.7B (2023-06-15 to 2024-03-30)Mar 30, 2024 · ria raum c•••ge · derived
- J•••• S•••••• R•••••• left S•••••• C•••••• A••••••• L•• for C•••• R••• A••••••• L•• (registered 2024-02-27)Mar 14, 2024 · advisor firm c•••ge · fact
- T••••• J••••• B••• left S•••••• C•••••• A••••••• L•• for C•••• R••• A••••••• L•• (registered 2024-04-04)Mar 14, 2024 · advisor firm c•••ge · fact
- 2 advisors left S•••••• C•••••• A••••••• L•• (Chicago, IL) for C•••• R••• A••••••• L•• on the same dayMar 14, 2024 · Team lift-out · derived
- 2 advisors left L•••••• W••••• M••••••••• L•• (New York, NY) for S•••••• C•••••• A••••••• L•• on the same dayDec 26, 2023 · Team lift-out · derived
- 2 advisors left U•• F•••••••• S••••••• I••• (New York, NY) for S•••••• C•••••• A••••••• L•• on the same dayOct 13, 2023 · Team lift-out · derived
- H••••• L•••••• left S•••••• C•••••• A••••••• L•• for M••••• S•••••• (registered 2024-12-06)Jun 8, 2023 · advisor firm c•••ge · fact
- S•••••• C•••••• A••••••• L•• reported 93 state-registered advisory representatives, up from 73 (2022-03-31 to 2023-03-31)Mar 31, 2023 · ria advisor headcount c•••ge · derived
- 6 advisors left D••••••• S••••••••• L•• (New York, NY) for S•••••• C•••••• A••••••• L•• within 20 daysApr 20, 2022 · Team lift-out · derived
- S•••••• C•••••• A••••••• L•• reported RAUM $4.6B, up 48% from $3.1B (2021-03-31 to 2022-03-31)Mar 31, 2022 · ria raum c•••ge · derived
- K••••• J••• D•••••• left S•••••• C•••••• A••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-03-18)Mar 30, 2022 · advisor firm c•••ge · fact
- S•••••• C•••••• A••••••• L•• reported 73 state-registered advisory representatives, up from 56 (2020-07-22 to 2021-03-31)Mar 31, 2021 · ria advisor headcount c•••ge · derived
- S•••••• C•••••• A••••••• L•• reported RAUM $3.1B, up 25% from $2.5B (2020-07-22 to 2021-03-31)Mar 31, 2021 · ria raum c•••ge · derived
- S•••••• C•••••• A••••••• L•• reported RAUM $2.5B, up 30% from $1.9B (2019-03-29 to 2020-03-27)Mar 27, 2020 · ria raum c•••ge · derived
- Andrew J••• Sims (Chief Financial Officer) no longer on Schedule A of S•••••• C•••••• A••••••• L•• (listed 2018-04-19, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- S•••••• C•••••• A••••••• L•• reported RAUM $1.7B, up 32% from $1.3B (2017-03-28 to 2018-03-29)Mar 29, 2018 · ria raum c•••ge · derived
Across DFX
shared identifiers only, never a name match
- S•••••• C•••••• A••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- S••••••LANE.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-218-9760reportedpublic record, Form ADV, Aug 18, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $73.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026