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••••• I••••••••• L••
Latest filing Jul 29, 2026
First filing on the tape Dec 20, 2018 · 19 filings
SEC status approved since Feb 19, 2019
RAUM
$130M
reported, Item 5.F
Discretionary
68%
of RAUM
Private clients
98%
$127M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$26.0M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$130M as of Jul 29, 2026
Mar 30, 2020$32.6M then
HNW client RAUM$123M as of Jul 29, 2026
Mar 30, 2020$26.4M then
State-registered IARs (5.B.3)5 as of Jul 29, 2026
Mar 30, 20204 then
Employees (5.A)5 as of Jul 29, 2026
Mar 30, 20204 then
Private funds: no history
RAUM -5.6% over the last fiscal year+5.6% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jul 29, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $26.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 8derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.6MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 68%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -25%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- High-net-worth individuals$123M95%
- Individuals$3.8M2.9%
- Corporations and businesses$2.9M2.3%
- Individual clients
- 17reported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 78reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• D•••••••• R•••••••••Chartered Financial Analyst | Greenwich, Ct | Oct 16, 2014 | 18 y | 0 |
| V•••• M•••• | Lathrop, Ca | Oct 31, 2014 | 15 y | 2 |
| E••••• I•••••••• O••••• | New York, Ny | Oct 31, 2017 | 32 y | 0 |
| W••••• E••••• A••• | Greenwich, Ct | Jul 9, 2018 | 40 y | 1 |
| G••••• V••••••••• M•••••• | New York, Ny | Jan 24, 2021 | 14 y | 1 |
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
- G••••• V••••••••• M•••••• from M•• C•••••• M••••••••• I••Jan 24, 2021 · RIA to RIA
- W••••• E••••• A••• from H•••••• J• S••• C•••••• M••••••••• I•••Jul 9, 2018 · RIA to RIA
- V•••• M•••• from C•••• C•••••• M••••••••• I••Oct 31, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••••• T•••••• D•••••••• · Managing Member & Ccocontrolsince 04/2008 · owns 75% or more
- O•••••• E•••••• I•••••••• · Chairmansince 09/2017 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 5 | 0 | 0 | ||
| Greenwich, Ct | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 79 to 78Oct 7, 2025 to Mar 30, 2026
- Individual clients · 18 to 17Oct 7, 2025 to Mar 30, 2026
- Discretionary RAUM · $85.8M to $89.0MOct 7, 2025 to Mar 30, 2026
- HNW RAUM · $122M to $123MOct 7, 2025 to Mar 30, 2026
- Individual RAUM · $3.8M to $3.8MOct 7, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $42.7M to $40.9MOct 7, 2025 to Mar 30, 2026
- RAUM · $129M to $130MOct 7, 2025 to Mar 30, 2026
- Accounts · 85 to 79Apr 1, 2025 to Oct 7, 2025
- HNW clients · 27 to 22Apr 1, 2025 to Oct 7, 2025
- Individual clients · 25 to 18Apr 1, 2025 to Oct 7, 2025
- Discretionary RAUM · $94.4M to $85.8MApr 1, 2025 to Oct 7, 2025
- HNW RAUM · $131M to $122MApr 1, 2025 to Oct 7, 2025
- Individual RAUM · $3.9M to $3.8MApr 1, 2025 to Oct 7, 2025
- Non-discretionary RAUM · $43.2M to $42.7MApr 1, 2025 to Oct 7, 2025
- RAUM · $138M to $129MApr 1, 2025 to Oct 7, 2025
- Accounts · 95 to 85Nov 13, 2024 to Apr 1, 2025
- HNW clients · 28 to 27Nov 13, 2024 to Apr 1, 2025
- Financial planning clients · unset to Nov 13, 2024 to Apr 1, 2025
- Discretionary RAUM · $94.1M to $94.4MNov 13, 2024 to Apr 1, 2025
- HNW RAUM · $132M to $131MNov 13, 2024 to Apr 1, 2025
- Individual RAUM · $3.7M to $3.9MNov 13, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $43.9M to $43.2MNov 13, 2024 to Apr 1, 2025
- RAUM · $138M to $138MNov 13, 2024 to Apr 1, 2025
- Accounts · 98 to 95Feb 16, 2024 to Oct 23, 2024
- HNW clients · 29 to 28Feb 16, 2024 to Oct 23, 2024
- Individual clients · 24 to 25Feb 16, 2024 to Oct 23, 2024
- Discretionary RAUM · $90.8M to $94.1MFeb 16, 2024 to Oct 23, 2024
- HNW RAUM · $125M to $132MFeb 16, 2024 to Oct 23, 2024
- Individual RAUM · $2.8M to $3.7MFeb 16, 2024 to Oct 23, 2024
- Non-discretionary RAUM · $39.5M to $43.9MFeb 16, 2024 to Oct 23, 2024
- RAUM · $130M to $138MFeb 16, 2024 to Oct 23, 2024
- Accounts · 99 to 98Mar 30, 2023 to Jan 23, 2024
- HNW clients · 26 to 29Mar 30, 2023 to Jan 23, 2024
- Individual clients · 25 to 24Mar 30, 2023 to Jan 23, 2024
- Discretionary RAUM · $75.2M to $90.8MMar 30, 2023 to Jan 23, 2024
- HNW RAUM · $104M to $125MMar 30, 2023 to Jan 23, 2024
- Individual RAUM · $4.4M to $2.8MMar 30, 2023 to Jan 23, 2024
- Non-discretionary RAUM · $35.2M to $39.5MMar 30, 2023 to Jan 23, 2024
- RAUM · $110M to $130MMar 30, 2023 to Jan 23, 2024
- Accounts · 95 to 99Apr 1, 2022 to Mar 30, 2023
Signals
1 dated events
- S••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Dec 20, 2018 · 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
- Business phone
- 212-572-6360reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••.COreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-572-6360reportedpublic record, Form ADV, Jul 29, 2026
- Contact form
- s•••••.coreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- s•••••.coreportedpublished 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
- $26.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026