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•••• • A••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Jan 29, 2015 · 25 filings
SEC status approved since Feb 3, 2015
RAUM
$213M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
100%
$213M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$70.9M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$213M as of Mar 20, 2026
Mar 16, 2016$103M then
HNW client RAUM$185M as of Mar 20, 2026
Jun 11, 2018$128M then
State-registered IARs (5.B.3)3 as of Mar 20, 2026
Mar 16, 20163 then
Employees (5.A)4 as of Mar 20, 2026
Mar 16, 20166 then
Private funds: no history
RAUM +8.5% over the last fiscal year+7.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 20, 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
- $70.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $587,872derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$185M87%
- Individuals$27.3M13%
- Pension and profit-sharing plans$23,7550.0%
- Individual clients
- 77reported
- HNW clients
- 66reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 362reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••• G••••••• L••• | Warren, Nj | Oct 26, 2021 | 21 y | 2 |
| N••• J•• S•••• | Warren, Nj | Oct 26, 2021 | 35 y | 2 |
| J•••• D•• Y•••• | Warren, Nj | Jan 1, 2026 | 24 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J•••• D•• Y•••• from V••• F•••••••• A•••••••• I•••Jan 1, 2026 · Other
- N••• J•• S•••• from V••• F•••••••• A•••••••• I•••Oct 26, 2021 · Other
- E•••• G••••••• L••• from V••• F•••••••• A•••••••• I•••Oct 26, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from V••• F•••••••• A•••••••• I•••Feb 2, 2015 · Woodbridge, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• N•••• J•• · Chief Compliance Officer, Membercontrolsince 10/2008 · 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 |
|---|---|---|---|---|---|
| Warren, Nj · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 20, 2026HNW share of RAUM moved from 21.0% to 87.0% between the annual amendments of 2025-03-17 and 2026-03-20peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 365 to 362Nov 4, 2025 to Mar 20, 2026
- HNW clients · 7 to 66Nov 4, 2025 to Mar 20, 2026
- Individual clients · 133 to 77Nov 4, 2025 to Mar 20, 2026
- Pension plan clients · 0 to 1Nov 4, 2025 to Mar 20, 2026
- Discretionary RAUM · $162M to $175MNov 4, 2025 to Mar 20, 2026
- HNW RAUM · $41.0M to $185MNov 4, 2025 to Mar 20, 2026
- Individual RAUM · $155M to $27.3MNov 4, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $34.5M to $38.1MNov 4, 2025 to Mar 20, 2026
- Pension RAUM · $0 to $23,755Nov 4, 2025 to Mar 20, 2026
- RAUM · $196M to $213MNov 4, 2025 to Mar 20, 2026
- Employees · 5 to 4Mar 17, 2025 to Nov 4, 2025
- HQ city · BRIDGEWATER to WARRENMar 17, 2025 to Nov 4, 2025
- Accounts · 357 to 365Feb 16, 2024 to Mar 17, 2025
- HNW clients · 56 to 7Feb 16, 2024 to Mar 17, 2025
- Individual clients · 301 to 133Feb 16, 2024 to Mar 17, 2025
- Financial planning clients · 51-100 to 101-250Feb 16, 2024 to Mar 17, 2025
- Discretionary RAUM · $144M to $162MFeb 16, 2024 to Mar 17, 2025
- HNW RAUM · $101M to $41.0MFeb 16, 2024 to Mar 17, 2025
- Individual RAUM · $76.2M to $155MFeb 16, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $33.0M to $34.5MFeb 16, 2024 to Mar 17, 2025
- RAUM · $177M to $196MFeb 16, 2024 to Mar 17, 2025
- Accounts · 374 to 357Nov 16, 2023 to Feb 16, 2024
- HNW clients · 54 to 56Nov 16, 2023 to Feb 16, 2024
- Individual clients · 320 to 301Nov 16, 2023 to Feb 16, 2024
- Financial planning clients · 251-500 to 51-100Nov 16, 2023 to Feb 16, 2024
- Discretionary RAUM · $138M to $144MNov 16, 2023 to Feb 16, 2024
- HNW RAUM · $93.5M to $101MNov 16, 2023 to Feb 16, 2024
- Individual RAUM · $76.3M to $76.2MNov 16, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $32.0M to $33.0MNov 16, 2023 to Feb 16, 2024
- RAUM · $170M to $177MNov 16, 2023 to Feb 16, 2024
- Advisory employees · 4 to 3Mar 15, 2023 to Sep 18, 2023
- Employees · 6 to 5Mar 15, 2023 to Sep 18, 2023
- State-registered IARs · 4 to 3Mar 15, 2023 to Sep 18, 2023
- Accounts · 354 to 374Jan 6, 2023 to Mar 15, 2023
- HNW clients · 304 to 54Jan 6, 2023 to Mar 15, 2023
- Individual clients · 50 to 320Jan 6, 2023 to Mar 15, 2023
- Discretionary RAUM · $156M to $138MJan 6, 2023 to Mar 15, 2023
- HNW RAUM · $83.7M to $93.5MJan 6, 2023 to Mar 15, 2023
- Individual RAUM · $107M to $76.3MJan 6, 2023 to Mar 15, 2023
- Non-discretionary RAUM · $34.5M to $32.0MJan 6, 2023 to Mar 15, 2023
Signals
1 dated events
- S•••• • A••••••••• L•• filed its initial SEC registration (Form ADV)Jan 29, 2015 · 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
- info@sacks-associates.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- tstuart@sacks-associates.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 908-393-5814reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 908-864-4950reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/sacks-&-associates-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- S••••-ASSOCIATES.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 908-864-4950reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- sacks-associates.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $70.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026