DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••• A••••••• G••••• I•••
Latest filing Feb 6, 2026
First filing on the tape Jul 5, 2016 · 28 filings
SEC status approved since Aug 1, 2016
RAUM
$63.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$63.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$63.6M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$63.6M as of Feb 6, 2026
Feb 15, 2017$25.2M then
HNW client RAUM$56.0M as of Feb 6, 2026
Mar 7, 2018$15.3M then
State-registered IARs (5.B.3)1 as of Feb 6, 2026
Feb 15, 20171 then
Employees (5.A)1 as of Feb 6, 2026
Feb 15, 20171 then
Private funds: no history
RAUM +18% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 6, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $63.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $557,579derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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$56.0M88%
- Individuals$7.6M12%
- Individual clients
- 11reported
- HNW clients
- 21reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 114reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• L•• S••••Certified Financial Planner | Glens Falls, Ny | Jan 3, 2017 | 32 y | 2 |
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••••• L•• S•••• from V••• F•••••••• A•••••••• I•••Jan 3, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• R•••••• L•• · President & Chief Compliance Officercontrolsince 04/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 120 to 114Feb 18, 2025 to Feb 6, 2026
- HNW clients · 15 to 21Feb 18, 2025 to Feb 6, 2026
- Individual clients · 21 to 11Feb 18, 2025 to Feb 6, 2026
- Discretionary RAUM · $53.8M to $63.6MFeb 18, 2025 to Feb 6, 2026
- HNW RAUM · $39.8M to $56.0MFeb 18, 2025 to Feb 6, 2026
- Individual RAUM · $14.0M to $7.6MFeb 18, 2025 to Feb 6, 2026
- RAUM · $53.8M to $63.6MFeb 18, 2025 to Feb 6, 2026
- Accounts · 126 to 120Aug 9, 2024 to Feb 18, 2025
- HNW clients · 16 to 15Aug 9, 2024 to Feb 18, 2025
- Individual clients · 27 to 21Aug 9, 2024 to Feb 18, 2025
- Financial planning clients · 11-25 to 26-50Aug 9, 2024 to Feb 18, 2025
- Discretionary RAUM · $50.9M to $53.8MAug 9, 2024 to Feb 18, 2025
- HNW RAUM · $36.7M to $39.8MAug 9, 2024 to Feb 18, 2025
- Individual RAUM · $14.2M to $14.0MAug 9, 2024 to Feb 18, 2025
- RAUM · $50.9M to $53.8MAug 9, 2024 to Feb 18, 2025
- Accounts · 129 to 126Nov 13, 2023 to Feb 8, 2024
- Individual clients · 30 to 27Nov 13, 2023 to Feb 8, 2024
- Discretionary RAUM · $49.0M to $50.9MNov 13, 2023 to Feb 8, 2024
- HNW RAUM · $34.8M to $36.7MNov 13, 2023 to Feb 8, 2024
- Individual RAUM · $14.2M to $14.2MNov 13, 2023 to Feb 8, 2024
- RAUM · $49.0M to $50.9MNov 13, 2023 to Feb 8, 2024
- Accounts · 128 to 129Feb 20, 2023 to Sep 25, 2023
- HNW clients · 15 to 16Feb 20, 2023 to Sep 25, 2023
- Individual clients · 31 to 30Feb 20, 2023 to Sep 25, 2023
- Discretionary RAUM · $43.9M to $49.0MFeb 20, 2023 to Sep 25, 2023
- HNW RAUM · $30.0M to $34.8MFeb 20, 2023 to Sep 25, 2023
- Individual RAUM · $13.9M to $14.2MFeb 20, 2023 to Sep 25, 2023
- RAUM · $43.9M to $49.0MFeb 20, 2023 to Sep 25, 2023
- Accounts · 114 to 128Feb 28, 2022 to Feb 20, 2023
- HNW clients · 18 to 15Feb 28, 2022 to Feb 20, 2023
- Individual clients · 25 to 31Feb 28, 2022 to Feb 20, 2023
- Discretionary RAUM · $43.3M to $43.9MFeb 28, 2022 to Feb 20, 2023
- HNW RAUM · $33.0M to $30.0MFeb 28, 2022 to Feb 20, 2023
- Individual RAUM · $10.3M to $13.9MFeb 28, 2022 to Feb 20, 2023
- RAUM · $43.3M to $43.9MFeb 28, 2022 to Feb 20, 2023
- Accounts · 119 to 114Oct 29, 2021 to Feb 8, 2022
- HNW clients · 16 to 18Oct 29, 2021 to Feb 8, 2022
- Individual clients · 28 to 25Oct 29, 2021 to Feb 8, 2022
- Discretionary RAUM · $37.2M to $43.3MOct 29, 2021 to Feb 8, 2022
- HNW RAUM · $26.8M to $33.0MOct 29, 2021 to Feb 8, 2022
Signals
1 dated events
- S•••• A••••••• G••••• I••• filed its initial SEC registration (Form ADV)Jul 5, 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
- Business phone
- 888-978-8880reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- S••••ADVISORYGROUP.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 888-978-8880reportedpublic record, Form ADV, Feb 6, 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
- $63.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026