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•••••• R••••••••• L••• L••
Latest filing Mar 30, 2026
First filing on the tape Apr 8, 2025 · 2 filings
SEC status approved since Apr 28, 2025
RAUM
$166M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
69%
$115M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$83.0M
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
2 filings and snapshots on the tape
RAUM$166M as of Mar 30, 2026
Apr 8, 2025$145M then
HNW client RAUM$98.9M as of Mar 30, 2026
Apr 8, 2025$81.7M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Apr 8, 20252 then
Employees (5.A)2 as of Mar 30, 2026
Apr 8, 20252 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $83.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $677,424derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 76%derivedof RAUM
- Institutional
- 7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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 an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$98.9M78%
- Individuals$15.8M13%
- Pension and profit-sharing plans$10.7M8.4%
- Charitable organizations$970,0000.8%
- Corporations and businesses$251,0000.2%
- Individual clients
- 45reported
- HNW clients
- 33reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 245reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.69 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H••••• N••• S•••••• | Basking Ridge, Nj | Mar 12, 2014 | 23 y | 2 |
| A•••••••• J••••• P••••••••• | Basking Ridge, Nj | Jan 28, 2019 | 15 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
none on the tape
Joined, latest
- H••••• N••• S•••••• from C•••••• I••••••••• A••••••• S••••••••• L••Mar 12, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• H•••••• N••• · President, Chief Investment Officer, Ccocontrolsince 01/2014 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Basking Ridge, Nj · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 30, 2026institutional share of RAUM moved from 35.0% to 7.0% between the annual amendments of 2025-04-08 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 220 to 245Apr 8, 2025 to Mar 30, 2026
- HNW clients · 30 to 33Apr 8, 2025 to Mar 30, 2026
- Individual clients · 48 to 45Apr 8, 2025 to Mar 30, 2026
- Pension plan clients · 21 to 5Apr 8, 2025 to Mar 30, 2026
- Discretionary RAUM · $111M to $127MApr 8, 2025 to Mar 30, 2026
- HNW RAUM · $81.7M to $98.9MApr 8, 2025 to Mar 30, 2026
- Individual RAUM · $13.3M to $15.8MApr 8, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $34.0M to $39.3MApr 8, 2025 to Mar 30, 2026
- Pension RAUM · $49.0M to $10.7MApr 8, 2025 to Mar 30, 2026
- RAUM · $145M to $166MApr 8, 2025 to Mar 30, 2026
Signals
No event on the tape.
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
- 732-481-2200reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/5311247reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 7324812200reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- srlam.com/contact.htmlreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- srlam.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $83.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026