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•••••• M••••••••• L•••
Legal name S••••••••• C•••••• M••••••••• L••
Latest filing Mar 4, 2026
First filing on the tape Apr 7, 2014 · 30 filings
SEC status approved since Aug 14, 2020
RAUM
$97.0M
reported, Item 5.F
Discretionary
4.6%
of RAUM
Private clients
68%
$65.5M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$48.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$97.0M as of Mar 4, 2026
Feb 24, 2015$33.4M then
HNW client RAUM$37.2M as of Mar 4, 2026
Jan 29, 2021$22.4M then
State-registered IARs (5.B.3)2 as of Mar 4, 2026
Feb 24, 20153 then
Employees (5.A)2 as of Mar 4, 2026
Feb 24, 20155 then
Private funds: no history
RAUM +25% over the last fiscal year+17% a year over threeIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Mar 4, 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
- RAUM per advisor
- $48.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $584,337derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 4.6%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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
- 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$37.2M38%
- Corporations and businesses$31.5M32%
- Individuals$28.3M29%
- Individual clients
- 77reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 166reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.68 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| M••••• L•••••• | Stockholm | Oct 1, 2015 | 13 y | 0 |
| R••••• J••••• D•••••• | New York, Ny | Oct 5, 2015 | 23 y | 3 |
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
- R••••• J••••• D•••••• from J•• A•••• M••••••••• L••Oct 5, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• R•••••• J• · Chief Compliance Officercontrolsince 04/2014 · owns less than 5%
- D••••••• R•••••• J• · Membercontrolsince 02/2014 · owns 50% to 75% of S••••••••• P••••••• L••
- L••••••• M••••• · Membercontrolsince 02/2014 · owns 25% to 50% of S••••••••• P••••••• L••
Entity owners
- S••••••••• P••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- R••••• D••••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 160 to 166Feb 20, 2025 to Mar 4, 2026
- Corporate clients · 1 to 2Feb 20, 2025 to Mar 4, 2026
- Individual clients · 76 to 77Feb 20, 2025 to Mar 4, 2026
- Other offices · 0 to 1Feb 20, 2025 to Mar 4, 2026
- Discretionary RAUM · $2.7M to $4.5MFeb 20, 2025 to Mar 4, 2026
- HNW RAUM · $36.3M to $37.2MFeb 20, 2025 to Mar 4, 2026
- Individual RAUM · $22.5M to $28.3MFeb 20, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $74.8M to $92.5MFeb 20, 2025 to Mar 4, 2026
- RAUM · $77.5M to $97.0MFeb 20, 2025 to Mar 4, 2026
- Accounts · 89 to 160Feb 5, 2024 to Feb 20, 2025
- Individual clients · 55 to 76Feb 5, 2024 to Feb 20, 2025
- Financial planning clients · unset to Feb 5, 2024 to Feb 20, 2025
- Discretionary RAUM · $1.2M to $2.7MFeb 5, 2024 to Feb 20, 2025
- HNW RAUM · $31.8M to $36.3MFeb 5, 2024 to Feb 20, 2025
- Individual RAUM · $17.8M to $22.5MFeb 5, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $67.7M to $74.8MFeb 5, 2024 to Feb 20, 2025
- RAUM · $68.9M to $77.5MFeb 5, 2024 to Feb 20, 2025
- Financial planning clients · 0 to unsetSep 20, 2023 to Jan 25, 2024
- Discretionary RAUM · $600,000 to $1.2MSep 20, 2023 to Jan 25, 2024
- HNW RAUM · $30.6M to $31.8MSep 20, 2023 to Jan 25, 2024
- Individual RAUM · $15.8M to $17.8MSep 20, 2023 to Jan 25, 2024
- Non-discretionary RAUM · $70.4M to $67.7MSep 20, 2023 to Jan 25, 2024
- RAUM · $71.0M to $68.9MSep 20, 2023 to Jan 25, 2024
- Accounts · 177 to 89Feb 2, 2023 to Sep 20, 2023
- HNW clients · 10 to 32Feb 2, 2023 to Sep 20, 2023
- Individual clients · 70 to 55Feb 2, 2023 to Sep 20, 2023
- Discretionary RAUM · $890,000 to $600,000Feb 2, 2023 to Sep 20, 2023
- HNW RAUM · $19.2M to $30.6MFeb 2, 2023 to Sep 20, 2023
- Individual RAUM · $16.9M to $15.8MFeb 2, 2023 to Sep 20, 2023
- Non-discretionary RAUM · $59.7M to $70.4MFeb 2, 2023 to Sep 20, 2023
- RAUM · $60.6M to $71.0MFeb 2, 2023 to Sep 20, 2023
- Accounts · 91 to 177Feb 1, 2022 to Feb 2, 2023
- HNW clients · 11 to 10Feb 1, 2022 to Feb 2, 2023
- Individual clients · 78 to 70Feb 1, 2022 to Feb 2, 2023
- Discretionary RAUM · $600,000 to $890,000Feb 1, 2022 to Feb 2, 2023
- HNW RAUM · $17.3M to $19.2MFeb 1, 2022 to Feb 2, 2023
- Individual RAUM · $51.0M to $16.9MFeb 1, 2022 to Feb 2, 2023
- Non-discretionary RAUM · $80.0M to $59.7MFeb 1, 2022 to Feb 2, 2023
- RAUM · $80.6M to $60.6MFeb 1, 2022 to Feb 2, 2023
- Accounts · 157 to 91Apr 22, 2021 to Feb 1, 2022
Signals
1 dated events
- S••••••••• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)Apr 7, 2014 · 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 email
- contact@stratacore.netreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 646-846-6500reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••••••.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-846-6500reportedpublic record, Form ADV, Mar 4, 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
- $48.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026