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.

Former SEC-registered adviser

Sungarden Fund Management

Former SEC-registered adviserWeston, FloridaCRD 283809SEC 801-107914IAPD
Latest filing Mar 29, 2019
First filing on the tape May 26, 2016 · 5 filings
RAUM
$37.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$37.0M as of Mar 29, 2019
Mar 28, 2017$27.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20170 then
Employees (5.A)7 as of Mar 29, 2019
Mar 28, 20177 then
Private funds: no history
RAUM -16% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$37.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-16%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-basedreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$37.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Michael Vincent Esposito · Chief Executive Officer, Chief Compliance Officercontrol
        since 05/2016 · owns less than 5%
      • Alan Robert Isbitts · Chief Investment Officercontrol
        since 05/2016 · owns less than 5%
      • Michael Vincent Esposito · Membercontrol
        since 03/2000 · owns 75% or more of Esposito Financial, LLC
      • Alan Robert Isbitts · Membercontrol
        since 10/2011 · owns 75% or more of Sungarden Investment Management, LLC
      Entity owners
      • Esposito Financial, LLC · Member
        direct · owns 50% to 75%
      • Sungarden Investment Management, LLC · Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • Dynamic
        investment advisernRAUM $5.6B
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $44.0M to $37.0M
        Mar 26, 2018 to Mar 29, 2019
      • RAUM · $44.0M to $37.0M
        Mar 26, 2018 to Mar 29, 2019
      • Other offices · unset to 1.0
        Mar 28, 2017 to Mar 26, 2018
      • Discretionary RAUM · $27.5M to $44.0M
        Mar 28, 2017 to Mar 26, 2018
      • RAUM · $27.5M to $44.0M
        Mar 28, 2017 to Mar 26, 2018
      • Accounts · 0 to 1
        Jul 7, 2016 to Mar 28, 2017
      • Discretionary RAUM · $0 to $27.5M
        Jul 7, 2016 to Mar 28, 2017
      • RAUM · $0 to $27.5M
        Jul 7, 2016 to Mar 28, 2017
      • HQ city · GUILFORD to WESTON
        May 26, 2016 to Jul 7, 2016
      • HQ state · CT to FL
        May 26, 2016 to Jul 7, 2016
      Signals
      1 dated events
      • Sungarden Fund Management filed its initial SEC registration (Form ADV)
        May 26, 2016 · 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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026