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 Apr 7, 2026
First filing on the tape Sep 12, 2016 · 23 filings
SEC status approved since Sep 29, 2016
RAUM
$455M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$432M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$455M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$455M as of Apr 7, 2026
Mar 9, 2017$360M then
HNW client RAUM$423M as of Apr 7, 2026
Feb 21, 2018$480M then
State-registered IARs (5.B.3)1 as of Apr 7, 2026
Mar 9, 20170 then
Employees (5.A)3 as of Apr 7, 2026
Mar 9, 20174 then
Private funds1 as of Apr 7, 2026
Feb 26, 20201 then
RAUM +20% over the last fiscal year+2.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 7, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $455MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $152M, 23 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$423M93%
- Pooled investment vehicles$23.3M5.1%
- Individuals$9.4M2.1%
- Individual clients
- 18reported
- HNW clients
- 91reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 207reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $152M for 23 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.05 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 |
|---|---|---|---|---|
| Y••• •••• H••••Chartered Financial Analyst | New York, Ny | Sep 14, 2017 | 18 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 headcount1 left over 36 months
Left, latest
- B•••••• K•••••••• B••••••••• to B••• I•••••••• C••••••• L••Mar 8, 2024 · RIA to a state-registered adviser
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• F•••• P•••••••• L• | Hedge Fund | $17.4M | 2 | Feb 26, 2020 |
Owners and control persons
Schedule A and B, latest filing
- H••••• Y•••• •••• · President, Chief Compliance Officercontrolsince 07/2016 · owns less than 5%
- J•••••••• P••••• P• •• O•••• · Treasurer, Chief Operating Officercontrolsince 07/2016 · owns less than 5%
- H••••• Y•••• •••• · Limited Partnercontrolsince 07/2016 · owns 50% to 75% of S••••• P•••••••• L•
- J•••••••• P••••• P• •• O•••• · Limited Partnercontrolsince 07/2016 · owns 25% to 50% of S••••• P•••••••• L•
Entity owners
- S••••• P•••••••• L• · Memberdirect · owns 75% or more
- S••••• M••••••••• L•• · General Partnerindirect · owns F of S••••• P•••••••• L•
Related persons
Schedule D 7.A
- S••••• 2••• P•••••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 213 to 207Mar 4, 2025 to Mar 19, 2026
- HNW clients · 90 to 91Mar 4, 2025 to Mar 19, 2026
- Individual clients · 17 to 18Mar 4, 2025 to Mar 19, 2026
- Assets in custody · $128M to $152MMar 4, 2025 to Mar 19, 2026
- Discretionary RAUM · $380M to $455MMar 4, 2025 to Mar 19, 2026
- HNW RAUM · $355M to $423MMar 4, 2025 to Mar 19, 2026
- Individual RAUM · $6.4M to $9.4MMar 4, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $18.8M to $23.3MMar 4, 2025 to Mar 19, 2026
- RAUM · $380M to $455MMar 4, 2025 to Mar 19, 2026
- Accounts · 234 to 213Oct 17, 2024 to Mar 4, 2025
- Charity clients · unset to 0.0Oct 17, 2024 to Mar 4, 2025
- Corporate clients · unset to 0.0Oct 17, 2024 to Mar 4, 2025
- HNW clients · 101 to 90Oct 17, 2024 to Mar 4, 2025
- Individual clients · 21 to 17Oct 17, 2024 to Mar 4, 2025
- Pension plan clients · unset to 0.0Oct 17, 2024 to Mar 4, 2025
- Assets in custody · $115M to $128MOct 17, 2024 to Mar 4, 2025
- Financial planning clients · 0 to 0Oct 17, 2024 to Mar 4, 2025
- Discretionary RAUM · $365M to $380MOct 17, 2024 to Mar 4, 2025
- HNW RAUM · $339M to $355MOct 17, 2024 to Mar 4, 2025
- Individual RAUM · $8.1M to $6.4MOct 17, 2024 to Mar 4, 2025
- Pooled vehicle RAUM · $17.4M to $18.8MOct 17, 2024 to Mar 4, 2025
- RAUM · $365M to $380MOct 17, 2024 to Mar 4, 2025
- Advisory employees · 2 to 1Jun 18, 2024 to Oct 17, 2024
- Employees · 4 to 3Jun 18, 2024 to Oct 17, 2024
- State-registered IARs · 2 to 1Jun 18, 2024 to Oct 17, 2024
- Other offices · 1 to 0Jun 18, 2024 to Oct 17, 2024
- Accounts · 248 to 234Mar 8, 2023 to Mar 8, 2024
- Advisory employees · 3 to 2Mar 8, 2023 to Mar 8, 2024
- Individual clients · 19 to 21Mar 8, 2023 to Mar 8, 2024
- Assets in custody · $180M to $115MMar 8, 2023 to Mar 8, 2024
- Employees · 5 to 4Mar 8, 2023 to Mar 8, 2024
- State-registered IARs · 3 to 2Mar 8, 2023 to Mar 8, 2024
- Discretionary RAUM · $420M to $365MMar 8, 2023 to Mar 8, 2024
- HNW RAUM · $398M to $339MMar 8, 2023 to Mar 8, 2024
- Individual RAUM · $6.8M to $8.1MMar 8, 2023 to Mar 8, 2024
- Pooled vehicle RAUM · $15.3M to $17.4MMar 8, 2023 to Mar 8, 2024
- RAUM · $420M to $365MMar 8, 2023 to Mar 8, 2024
- Accounts · 260 to 248Mar 16, 2022 to Mar 8, 2023
- HNW clients · 104 to 101Mar 16, 2022 to Mar 8, 2023
- Individual clients · 16 to 19Mar 16, 2022 to Mar 8, 2023
Signals
5 dated events
- Daniel Francois Sicart (Chairman) no longer on Schedule A of S••••• A••••••••• L•• (listed 2024-06-18, absent 2024-10-17)Oct 17, 2024 · Control person left · inference
- B•••••• K•••••••• B••••••••• left S••••• A••••••••• L•• for B••• I•••••••• C••••••• L•• (registered 2024-02-29)Mar 8, 2024 · Advisor changed firm · fact
- Krzysztof Bogumil Baranowski (Secretary, Vice President) no longer on Schedule A of S••••• A••••••••• L•• (listed 2023-03-08, absent 2024-03-08)Mar 8, 2024 · Control person left · inference
- S••••• A••••••••• L•• reported RAUM $490.8M, up 36% from $360.4M (2017-08-22 to 2018-02-21)Feb 21, 2018 · RAUM change · derived
- S••••• A••••••••• L•• filed its initial SEC registration (Form ADV)Sep 12, 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
- 212-208-4592reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 646-606-0290reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••ASSOCIATES.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-606-0290reportedpublic record, Form ADV, Apr 7, 2026
- Contact form
- sicartassociates.com/contactreportedpublished 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
- $455Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026