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•••• B•••••• A••••••• L••
Latest filing Jun 23, 2026
First filing on the tape Nov 29, 2011 · 30 filings
SEC status approved since Sep 21, 2011
RAUM
$4.6B
reported, Item 5.F
Discretionary
45%
of RAUM
Private clients
54%
$2.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
16
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$4.6B as of Jun 23, 2026
Mar 30, 2012$1.9B then
HNW client RAUM$2.5B as of Jun 23, 2026
Mar 20, 2018$3.4B then
State-registered IARs (5.B.3)0 as of Jun 23, 2026
Mar 30, 20120 then
Employees (5.A)23 as of Jun 23, 2026
Mar 28, 201316 then
Private funds16 as of Jun 23, 2026
Mar 30, 20128 then
RAUM -0.0% over the last fiscal year-1.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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)
- uhnw p•••••• wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $19.5MderivedHNW RAUM over HNW clients
- Average account
- $27.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 45%derivedof RAUM
- Institutional
- 4.2%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
- -0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $747M, 53 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.5B54%
- Pooled investment vehicles$1.0B22%
- Other investment advisers$887M19%
- Charitable organizations$174M3.8%
- Pension and profit-sharing plans$18.0M0.4%
- Individual clients
- n/areported
- HNW clients
- 128reported
- Pension plan clients
- 1reported
- Charitable clients
- 10reported
- Accounts
- 171reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $747M for 53 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.54 fund_share=0.42 institutional_share=0.04 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
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
22 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• B•••••• M••••••••• F••• L• | Hedge Fund | $345M | 113 | Feb 17, 2012 |
| S••• M••••••••• F•••• L••• • S•••• B•••••• M••••••••• S•••••no longer reported | Hedge Fund | $116M | 2 | Feb 17, 2012 |
| S•••• B•••••• S•••••••• E••••• F••• L• | Hedge Fund | $92.8M | 67 | Feb 17, 2012 |
| S•••• B•••••• E••••• A••••• F••• L•no longer reported | Hedge Fund | $91.4M | 42 | Mar 20, 2015 |
| S•••• B•••••• P•••••• E••••• O••••••••• F••• I•• L• | Private Equity Fund | $90.3M | 33 | Mar 25, 2024 |
| S•••• B•••••• P•••••• E••••• O••••••••• F••• I• L• | Private Equity Fund | $88.9M | 59 | Mar 28, 2022 |
| S••• M••••••••• F•••• L••• • S•••• B•••••• L••••••••• E••••• S•••••no longer reported | Hedge Fund | $69.3M | 2 | Feb 17, 2012 |
| S•••• B•••••• P•••••• E••••• O••••••••• F••• L• | Private Equity Fund | $57.7M | 49 | Mar 20, 2018 |
| S••• S•• L•• | Other Private Fund | $54.2M | 93 | Mar 28, 2023 |
| S•••• B•••••• E••••• O••••••••• F••• I•• L• | Private Equity Fund | $50.4M | 23 | Mar 25, 2024 |
| S•••• B•••••• L••••••••• E••••• F••• L• | Hedge Fund | $49.9M | 118 | Feb 17, 2012 |
| S• D•••••• A••••• F••• L• | Venture Capital Fund | $40.7M | 71 | Mar 28, 2022 |
| S• D•• F••• L• | Private Equity Fund | $34.9M | 24 | Mar 25, 2024 |
| S• V•••••• S••••• F••• L• | Venture Capital Fund | $31.7M | 31 | Mar 25, 2024 |
| S•••• B•••••• E••••• O••••••••• F••• I• L• | Private Equity Fund | $24.6M | 47 | Mar 20, 2018 |
| S•••• B•••••• E••••••• M•••••• F••• L• | Hedge Fund | $21.9M | 59 | Feb 17, 2012 |
| S•••• B•••••• E••••• F••• L• | Private Equity Fund | $21.3M | 43 | Mar 28, 2013 |
| S•••• B•••••• P•••••• O••••••••• F••• L• | Private Equity Fund | $19.0M | 37 | Mar 24, 2014 |
| S••• M••••••••• F•••• L••• • E••••••• M•••••• S•••••no longer reported | Hedge Fund | $14.5M | 2 | Feb 17, 2012 |
| S••• M••••••••• F•••• L••• • S•••••••• E••••• S•••••no longer reported | Hedge Fund | $12.9M | 2 | Feb 17, 2012 |
| S••• S•• L•• | $6.5M | 20 | Jun 23, 2026 | |
| S•••• B•••••• P••••••• F••• L•no longer reported | Hedge Fund | $0 | 0 | Mar 28, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• K•••• · Chief Compliance Officercontrolsince 05/2012 · owns less than 5%
- C••••• L•••••••• W•••••• · Chief Executive Officercontrolsince 07/2011 · owns less than 5%
- J••••••••• J•••••• C• · Chief Compliance Officer; Chief Financial Officercontrolsince 01/2022 · owns less than 5%
- L••• M••••••• R•• · Presidentcontrolsince 08/2013 · owns less than 5%
Entity owners
- S•• H••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•••• B•••••• G• I• L••pooled vehicle sponsorn
- S•••• B•••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Jun 23, 2026RAUM per account of $26,962,259 against a peer median of $813,262 (1333 comparable advisers, 99.0th percentile, 17.6 robust deviations)peers: independent wealth managers, $1B to $5B (1,333) · 99% percentile
- control person changedChange between filings · filing Jun 23, 2026J••••••••• J•••••• C• (CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2022-03-28 and 2026-06-23peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 175 to 171Jul 10, 2025 to Mar 26, 2026
- Charity clients · 9 to 10Jul 10, 2025 to Mar 26, 2026
- HNW clients · 135 to 128Jul 10, 2025 to Mar 26, 2026
- Pension plan clients · unset to 1.0Jul 10, 2025 to Mar 26, 2026
- Pooled vehicle clients · 17 to 18Jul 10, 2025 to Mar 26, 2026
- Assets in custody · $423M to $747MJul 10, 2025 to Mar 26, 2026
- Private funds · 15 to 16Jul 10, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.9B to $2.1BJul 10, 2025 to Mar 26, 2026
- HNW RAUM · $2.8B to $2.5BJul 10, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $2.7B to $2.5BJul 10, 2025 to Mar 26, 2026
- Pension RAUM · unset to 17969222.0Jul 10, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $1.0B to $1.0BJul 10, 2025 to Mar 26, 2026
- RAUM · $4.6B to $4.6BJul 10, 2025 to Mar 26, 2026
- Financial planning clients · 26-50 to 26-50Mar 25, 2025 to Jul 10, 2025
- Private funds · 16 to 15Jun 26, 2024 to Mar 25, 2025
- Accounts · 173 to 175Jun 26, 2024 to Mar 25, 2025
- Charity clients · 8 to 9Jun 26, 2024 to Mar 25, 2025
- Pooled vehicle clients · 16 to 17Jun 26, 2024 to Mar 25, 2025
- Assets in custody · $590M to $423MJun 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.9B to $1.9BJun 26, 2024 to Mar 25, 2025
- HNW RAUM · $2.8B to $2.8BJun 26, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $2.7B to $2.7BJun 26, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $1.1B to $1.0BJun 26, 2024 to Mar 25, 2025
- RAUM · $4.6B to $4.6BJun 26, 2024 to Mar 25, 2025
- Accounts · 161 to 173Mar 28, 2023 to Mar 25, 2024
- HNW clients · 125 to 135Mar 28, 2023 to Mar 25, 2024
- Pooled vehicle clients · 14 to 16Mar 28, 2023 to Mar 25, 2024
- Assets in custody · $456M to $590MMar 28, 2023 to Mar 25, 2024
- Employees · 25 to 23Mar 28, 2023 to Mar 25, 2024
- Private funds · 12 to 16Mar 28, 2023 to Mar 25, 2024
- Discretionary RAUM · $2.2B to $1.9BMar 28, 2023 to Mar 25, 2024
- HNW RAUM · $2.6B to $2.8BMar 28, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $2.6B to $2.7BMar 28, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $1.3B to $1.1BMar 28, 2023 to Mar 25, 2024
- RAUM · $4.8B to $4.6BMar 28, 2023 to Mar 25, 2024
- Accounts · 157 to 161Sep 7, 2022 to Mar 28, 2023
- Charity clients · 9 to 8Sep 7, 2022 to Mar 28, 2023
- Pooled vehicle clients · 11 to 14Sep 7, 2022 to Mar 28, 2023
- Assets in custody · $358M to $456MSep 7, 2022 to Mar 28, 2023
- Employees · 27 to 25Sep 7, 2022 to Mar 28, 2023
Signals
3 dated events
- S•••• B•••••• A••••••• L•• reported RAUM $4.8B, down 27% from $6.6B (2022-09-07 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- C Joseph Jablonski (Chief Financial Officer) appeared on Schedule A of S•••• B•••••• A••••••• L••Mar 28, 2022 · Control person joined · fact
- S•••• B•••••• A••••••• L•• reported RAUM $6.4B, up 25% from $5.1B (2020-07-22 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S•••• B•••••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S•••• B•••••• A••••••• L•• · Private Equityshared crd · organization
- S•••• B•••••• A••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- contact@sevenbridgesadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-490-6320reportedpublic record, Form ADV, Jun 23, 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