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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S•• J•••• I••••••••• A•••••••• L••
Latest filing Feb 18, 2026
First filing on the tape May 6, 2016 · 36 filings
SEC status approved since May 18, 2016
RAUM
$512M
reported, Item 5.F
Discretionary
12%
of RAUM
Private clients
9.2%
$47.1M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$128M
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
36 filings and snapshots on the tape
RAUM$512M as of Feb 18, 2026
Jan 27, 2017$73.7M then
HNW client RAUM$33.0M as of Feb 18, 2026
Mar 7, 2018$18.0M then
State-registered IARs (5.B.3)4 as of Feb 18, 2026
Jan 27, 20173 then
Employees (5.A)7 as of Feb 18, 2026
Jan 27, 20175 then
Private funds: no history
RAUM +1001% over the last fiscal year+102% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 18, 2026; every figure names its basis
- RAUM per advisor
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $253,618derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 12%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1001%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 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
- Other investment advisers$452M88%
- High-net-worth individuals$33.0M6.5%
- Individuals$14.0M2.7%
- Pension and profit-sharing plans$12.3M2.4%
- Corporations and businesses$17,4790.0%
- Individual clients
- 95reported
- HNW clients
- 29reported
- Pension plan clients
- 8reported
- Charitable clients
- 0reported
- Accounts
- 2,017reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.09 fund_share=0.88 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• C••••••••• M••• | Port Jefferson, Ny | May 24, 2016 | 27 y | 2 |
| J••• A••••• S••••••••• | Port Jefferson, Ny | Jun 16, 2021 | 15 y | 0 |
| M•••••• S•••••• W•••••• | Port Jefferson, Ny | Jun 20, 2021 | 23 y | 2 |
| J••••••• T••• R••• | Port Jefferson, Ny | Mar 5, 2024 | 10 y | 0 |
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
- M••• E• P••••••• to A••••••••• F•••••••• S•••••••• L••Dec 19, 2017 · Other
Joined, latest
- M••• E• P••••••• from C•••• I••••••••• S••••••• C••••Apr 25, 2017 · Other
- B•••• C••••••••• M••• from L•••••• S•• J••••May 24, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• J•••••••• A•• · Chief Compliance Officercontrolsince 02/2018 · owns less than 5%
- M•••• B••••• C••••••••• · Managing Member & Portfolio Managercontrolsince 04/2016 · owns 75% or more
- S••••••••• J•••• A••••• · Executive Directorcontrolsince 01/2019 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Port Jefferson, Ny · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- client mix shiftChange between filings · filing Feb 18, 2026private-client share of RAUM moved from 81.0% to 9.0% between the annual amendments of 2025-03-05 and 2026-02-18peers: asset managers, $500M to $1B (784)
- discretionary share shiftChange between filings · filing Feb 18, 2026discretionary share of RAUM moved from 98.0% to 12.0% between the annual amendments of 2025-03-05 and 2026-02-18peers: asset managers, $500M to $1B (784)
- HNW share shiftChange between filings · filing Feb 18, 2026HNW share of RAUM moved from 46.0% to 6.0% between the annual amendments of 2025-03-05 and 2026-02-18peers: asset managers, $500M to $1B (784)
- institutional asset share shiftChange between filings · filing Feb 18, 2026institutional share of RAUM moved from 19.0% to 91.0% between the annual amendments of 2025-03-05 and 2026-02-18peers: asset managers, $500M to $1B (784)
What changed
consecutive filings, newest first
- Accounts · 137 to 2,017Mar 5, 2025 to Feb 18, 2026
- HNW clients · 20 to 29Mar 5, 2025 to Feb 18, 2026
- Individual clients · 91 to 95Mar 5, 2025 to Feb 18, 2026
- Pension plan clients · 25 to 8Mar 5, 2025 to Feb 18, 2026
- Discretionary RAUM · $45.7M to $59.4MMar 5, 2025 to Feb 18, 2026
- HNW RAUM · $21.6M to $33.0MMar 5, 2025 to Feb 18, 2026
- Individual RAUM · $16.0M to $14.0MMar 5, 2025 to Feb 18, 2026
- Non-discretionary RAUM · $793,938 to $452MMar 5, 2025 to Feb 18, 2026
- Pension RAUM · $8.9M to $12.3MMar 5, 2025 to Feb 18, 2026
- RAUM · $46.5M to $512MMar 5, 2025 to Feb 18, 2026
- Accounts · 216 to 137Oct 30, 2024 to Mar 5, 2025
- HNW clients · 32 to 20Oct 30, 2024 to Mar 5, 2025
- Individual clients · 159 to 91Oct 30, 2024 to Mar 5, 2025
- Pension plan clients · 24 to 25Oct 30, 2024 to Mar 5, 2025
- Financial planning clients · 0 to 0Oct 30, 2024 to Mar 5, 2025
- Other offices · 0 to 1Oct 30, 2024 to Mar 5, 2025
- Discretionary RAUM · $68.6M to $45.7MOct 30, 2024 to Mar 5, 2025
- HNW RAUM · $26.0M to $21.6MOct 30, 2024 to Mar 5, 2025
- Individual RAUM · $36.6M to $16.0MOct 30, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $68,626 to $793,938Oct 30, 2024 to Mar 5, 2025
- Pension RAUM · $6.1M to $8.9MOct 30, 2024 to Mar 5, 2025
- RAUM · $68.7M to $46.5MOct 30, 2024 to Mar 5, 2025
- Wrap assets (manager) · 584289.0 to unsetOct 30, 2024 to Mar 5, 2025
- Wrap assets (sponsor) · 0.0 to unsetOct 30, 2024 to Mar 5, 2025
- Accounts · 222 to 216Sep 8, 2023 to Mar 22, 2024
- Advisory employees · 3 to 4Sep 8, 2023 to Mar 22, 2024
- HNW clients · 28 to 32Sep 8, 2023 to Mar 22, 2024
- Individual clients · 168 to 159Sep 8, 2023 to Mar 22, 2024
- Pension plan clients · 25 to 24Sep 8, 2023 to Mar 22, 2024
- Financial planning clients · unset to 0Sep 8, 2023 to Mar 22, 2024
- State-registered IARs · 3 to 4Sep 8, 2023 to Mar 22, 2024
- Discretionary RAUM · $62.3M to $68.6MSep 8, 2023 to Mar 22, 2024
- HNW RAUM · $24.8M to $26.0MSep 8, 2023 to Mar 22, 2024
- Individual RAUM · $31.4M to $36.6MSep 8, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $57,901 to $68,626Sep 8, 2023 to Mar 22, 2024
- Pension RAUM · $6.1M to $6.1MSep 8, 2023 to Mar 22, 2024
- RAUM · $62.4M to $68.7MSep 8, 2023 to Mar 22, 2024
- Wrap assets (manager) · $587,177 to $584,289Sep 8, 2023 to Mar 22, 2024
- Accounts · 670 to 222Nov 9, 2022 to Mar 15, 2023
- HNW clients · 47 to 28Nov 9, 2022 to Mar 15, 2023
Signals
2 dated events
- A••••• J••• S••••••••• (Executive Director) appeared on Schedule A of S•• J•••• I••••••••• A•••••••• L••Jan 28, 2019 · Control person joined · fact
- S•• J•••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 6, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/st-james-investment-advisorsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- STJ••••IA.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (631) 979-6520reportedpublic record, Form ADV, Feb 18, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026