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•••••• G••••
Legal name A••• C••••••••• L•••
Latest filing Apr 30, 2026
First filing on the tape Sep 30, 2015 · 46 filings
SEC status approved since Oct 13, 2015
RAUM
$213M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$208M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$30.4M
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$213M as of Apr 30, 2026
Feb 4, 2016$126M then
HNW client RAUM$108M as of Apr 30, 2026
Mar 10, 2018$46.2M then
State-registered IARs (5.B.3)8 as of Apr 30, 2026
Feb 4, 20162 then
Employees (5.A)11 as of Apr 30, 2026
Feb 4, 20165 then
Private funds: no history
RAUM +9.5% over the last fiscal year+4.5% a year over threeIARs 3 to 8offices 4 to 5
Practice profile
derived from the filing of Apr 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $30.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $460,081derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.2derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +167%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $211MreportedItem 5.I
- Custody
- $58.9M, 140 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$108M51%
- Individuals$99.8M47%
- Charitable organizations$4.9M2.3%
- Corporations and businesses$47,6960.0%
- Individual clients
- 397reported
- HNW clients
- 53reported
- Pension plan clients
- 0reported
- Charitable clients
- 12reported
- Accounts
- 463reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $58.9M for 140 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• E••••• S••••••Certified Financial Planner | St. J•••'S, Fl | Apr 28, 2020 | 38 y | 0 |
| R••••• A•••••• D•••••Certified Financial Planner | Riverside, Ca | May 19, 2023 | 28 y | 2 |
| Z•••••• J••• H••••••••• | Halfmoon, Ny | Sep 6, 2023 | 13 y | 0 |
| J••••• W•••••• H••• | Chicago, Il | Nov 8, 2023 | 15 y | 0 |
| M•••••• T• S•••••• | Halfmoon, Ny | Jan 23, 2024 | 10 y | 0 |
| A•••• M•••••• B••••• | Halfmoon, Ny | Mar 7, 2024 | 11 y | 0 |
| B••••••• J• S•••••• | Halfmoon, Ny | Apr 25, 2024 | 18 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 headcount1 left over 36 months
Left, latest
- D••••• J•••• L••••• to A••••• G•••• W••••• M•••••••••Mar 25, 2024 · RIA to RIA
Joined, latest
- B••••••• J• S•••••• from J••• M••••• S••••••••• L••Apr 25, 2024 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• J•••••• W•••••• · Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- S••••••• D•••••• E••••• · Founder, Principal And Executive Directorcontrolsince 08/2015 · owns 75% or more
- H••••••• A••••• K•••••• · Ownersince 08/2015 · owns 10% to 25%
- L•••••• D•••••• J•••• · Ownersince 09/2015 · owns 10% to 25%
Related persons
Schedule D 7.A
- S•••••• A••••••• G••••• L••investment advisernRAUM $105M
Advisers that list S•••••• C•••••• G•••• as a related person
- 321846 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Halfmoon, Ny · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 455 to 463Mar 26, 2025 to Mar 25, 2026
- Advisory employees · 4 to 8Mar 26, 2025 to Mar 25, 2026
- Charity clients · 11 to 12Mar 26, 2025 to Mar 25, 2026
- HNW clients · 42 to 53Mar 26, 2025 to Mar 25, 2026
- Individual clients · 401 to 397Mar 26, 2025 to Mar 25, 2026
- Assets in custody · $2.5M to $58.9MMar 26, 2025 to Mar 25, 2026
- Employees · 7 to 11Mar 26, 2025 to Mar 25, 2026
- Insurance-licensed employees · 1 to 5Mar 26, 2025 to Mar 25, 2026
- Financial planning clients · 51-100 to 26-50Mar 26, 2025 to Mar 25, 2026
- State-registered IARs · 3 to 8Mar 26, 2025 to Mar 25, 2026
- Other offices · 4 to 5Mar 26, 2025 to Mar 25, 2026
- Discretionary RAUM · $194M to $213MMar 26, 2025 to Mar 25, 2026
- HNW RAUM · $83.7M to $108MMar 26, 2025 to Mar 25, 2026
- Individual RAUM · $102M to $99.8MMar 26, 2025 to Mar 25, 2026
- RAUM · $194M to $213MMar 26, 2025 to Mar 25, 2026
- Related insurance company · false to trueMar 26, 2025 to Mar 25, 2026
- Accounts · 1,443 to 455Sep 11, 2024 to Mar 26, 2025
- Charity clients · 30 to 11Sep 11, 2024 to Mar 26, 2025
- Corporate clients · 0 to 1Sep 11, 2024 to Mar 26, 2025
- HNW clients · 56 to 42Sep 11, 2024 to Mar 26, 2025
- Individual clients · 452 to 401Sep 11, 2024 to Mar 26, 2025
- Assets in custody · $1.4M to $2.5MSep 11, 2024 to Mar 26, 2025
- Financial planning clients · 51-100 to 51-100Sep 11, 2024 to Mar 26, 2025
- Other offices · 1 to 4Sep 11, 2024 to Mar 26, 2025
- Discretionary RAUM · $211M to $194MSep 11, 2024 to Mar 26, 2025
- HNW RAUM · $102M to $83.7MSep 11, 2024 to Mar 26, 2025
- Individual RAUM · $98.9M to $102MSep 11, 2024 to Mar 26, 2025
- RAUM · $211M to $194MSep 11, 2024 to Mar 26, 2025
- Accounts · 1,232 to 1,443Feb 7, 2024 to Mar 20, 2024
- Advisory employees · 3 to 4Feb 7, 2024 to Mar 20, 2024
- Advisory activities · 5 to 4Feb 7, 2024 to Mar 20, 2024
- Charity clients · 27 to 30Feb 7, 2024 to Mar 20, 2024
- HNW clients · 26 to 56Feb 7, 2024 to Mar 20, 2024
- Individual clients · 654 to 452Feb 7, 2024 to Mar 20, 2024
- Assets in custody · unset to 1433162.0Feb 7, 2024 to Mar 20, 2024
- Custody of client assets · false to trueFeb 7, 2024 to Mar 20, 2024
- Employees · 8 to 7Feb 7, 2024 to Mar 20, 2024
- Financial planning clients · 26-50 to 51-100Feb 7, 2024 to Mar 20, 2024
- Discretionary RAUM · $187M to $211MFeb 7, 2024 to Mar 20, 2024
- HNW RAUM · $35.9M to $102MFeb 7, 2024 to Mar 20, 2024
Signals
3 dated events
- William Jansen Hein (Chief Compliance Officer) appeared on Schedule A of S•••••• C•••••• G••••Jul 3, 2024 · Control person joined · fact
- D••••• J•••• L••••• left S•••••• C•••••• G•••• for A••••• G•••• W••••• M••••••••• (registered 2024-09-20)Mar 25, 2024 · Advisor changed firm · fact
- S•••••• C•••••• G•••• filed its initial SEC registration (Form ADV)Sep 30, 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
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- r••••••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 518-406-5624reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 518-406-5625reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/simmons-capital-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (518) 406-5624reportedpublic record, Form ADV, Apr 30, 2026
- Contact form
- s•••••••••.comreportedpublished 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
- $30.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026