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.
Former SEC-registered adviser
S••••• • E••••••••• I••••••••• A•••••••• L••
Latest filing Mar 15, 2024
First filing on the tape Nov 22, 2016 · 19 filings
RAUM
$18.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$16.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$18.9M as of Mar 14, 2024
Mar 16, 2018$2.0M then
HNW client RAUM$5.0M as of Mar 14, 2024
Mar 12, 2020$964,711 then
State-registered IARs (5.B.3)3 as of Mar 14, 2024
Mar 16, 20181 then
Employees (5.A)3 as of Mar 14, 2024
Mar 16, 20184 then
Private funds: no history
RAUM +63% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 15, 2024; every figure names its basis
- RAUM per advisor
- $6.3MderivedRAUM 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
- $203,614derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +63%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$11.3M60%
- High-net-worth individuals$5.0M26%
- Pension and profit-sharing plans$2.7M14%
- Individual clients
- 59reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 93reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- R••• D•• B•••• to P•••••• A•••• M••••••••• I••Dec 31, 2024 · RIA to RIA
- B•••• A••••• H••• to H••• F•••••••• L••Dec 31, 2024 · RIA to a state-registered adviser
- J••• M••••• S••••••••• to P•••••• A•••• M••••••••• I••Dec 31, 2024 · RIA to RIA
Joined, latest
- R••• D•• B•••• from P•••••• A•••• M••••••••• I••Mar 24, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P•••••• A•••• M••••••••• I••Dec 31, 2024 · Montebello, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• C•••••••• J•• · Chief Compliance Officercontrolsince 10/2016 · owns less than 5%
- B••••• R•••• D•• · Co-Presidentcontrolsince 03/2005 · owns 50% to 75% of P•••••• A•••• M••••••••• I••
- H•••• B••••• A••••• · Ownercontrolsince 07/2019 · owns 75% or more of S••••• • E••••••••• C••••••• L••
- S••••••••• J•••• M••••• · Co-Presidentcontrolsince 03/2005 · owns 50% to 75% of P•••••• A•••• M••••••••• I••
Entity owners
- P•••••• A•••• M••••••••• I•• · Memberdirect · owns 50% to 75%
- S••••• • E••••••••• C••••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- H••• F••••••••real estaten
- M•••• L••••• F•••••••• G••••real estaten
- P•••••• A•••• M••••••••• I••investment adviseryRAUM $554M
- P•••••• G••••• L••investment adviseryRAUM $91.3M
Advisers that list S••••• • E••••••••• I••••••••• A•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Montebello, Ny · principal | 0 | 0 | 0 | ||
| Novi, Mi | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 94 to 93Feb 10, 2023 to Mar 14, 2024
- Pension plan clients · 1.0 to unsetFeb 10, 2023 to Mar 14, 2024
- Discretionary RAUM · $11.6M to $18.9MFeb 10, 2023 to Mar 14, 2024
- HNW RAUM · unset to 4965331.0Feb 10, 2023 to Mar 14, 2024
- Individual RAUM · $9.1M to $11.3MFeb 10, 2023 to Mar 14, 2024
- Pension RAUM · $2.5M to $2.7MFeb 10, 2023 to Mar 14, 2024
- RAUM · $11.6M to $18.9MFeb 10, 2023 to Mar 14, 2024
- Accounts · 93 to 94Apr 12, 2022 to Feb 9, 2023
- Individual clients · 55 to 59Apr 12, 2022 to Feb 9, 2023
- Pension plan clients · unset to 1.0Apr 12, 2022 to Feb 9, 2023
- Discretionary RAUM · $13.9M to $11.6MApr 12, 2022 to Feb 9, 2023
- HNW RAUM · 1030431.0 to unsetApr 12, 2022 to Feb 9, 2023
- Individual RAUM · $9.7M to $9.1MApr 12, 2022 to Feb 9, 2023
- Pension RAUM · $3.1M to $2.5MApr 12, 2022 to Feb 9, 2023
- RAUM · $13.9M to $11.6MApr 12, 2022 to Feb 9, 2023
- Accounts · 92 to 93Sep 1, 2021 to Mar 29, 2022
- Individual clients · 54 to 55Sep 1, 2021 to Mar 29, 2022
- Employees · 4 to 3Sep 1, 2021 to Mar 29, 2022
- Insurance-licensed employees · 1 to 2Sep 1, 2021 to Mar 29, 2022
- State-registered IARs · 1 to 3Sep 1, 2021 to Mar 29, 2022
- Discretionary RAUM · $11.5M to $13.9MSep 1, 2021 to Mar 29, 2022
- HNW RAUM · unset to 1030431.0Sep 1, 2021 to Mar 29, 2022
- Individual RAUM · $8.9M to $9.7MSep 1, 2021 to Mar 29, 2022
- Pension RAUM · $2.6M to $3.1MSep 1, 2021 to Mar 29, 2022
- RAUM · $11.5M to $13.9MSep 1, 2021 to Mar 29, 2022
- Other offices · 0 to 1Mar 19, 2021 to Sep 1, 2021
- Accounts · 84 to 92Jun 29, 2020 to Mar 18, 2021
- Individual clients · 50 to 54Jun 29, 2020 to Mar 18, 2021
- Discretionary RAUM · $10.5M to $11.5MJun 29, 2020 to Mar 18, 2021
- HNW RAUM · 964711.0 to unsetJun 29, 2020 to Mar 18, 2021
- Individual RAUM · $7.5M to $8.9MJun 29, 2020 to Mar 18, 2021
- Pension RAUM · $2.1M to $2.6MJun 29, 2020 to Mar 18, 2021
- RAUM · $10.5M to $11.5MJun 29, 2020 to Mar 18, 2021
- Accounts · 48 to 84Jul 9, 2019 to Mar 12, 2020
- Advisory employees · 2 to 3Jul 9, 2019 to Mar 12, 2020
- Individual clients · 27 to 50Jul 9, 2019 to Mar 12, 2020
- Employees · 3 to 4Jul 9, 2019 to Mar 12, 2020
- Insurance-licensed employees · 0 to 1Jul 9, 2019 to Mar 12, 2020
- Financial planning clients · 0 to unsetJul 9, 2019 to Mar 12, 2020
- Discretionary RAUM · $4.8M to $10.5MJul 9, 2019 to Mar 12, 2020
Signals
6 dated events
- R••• D•• B•••• left S••••• • E••••••••• I••••••••• A•••••••• L•• for P•••••• A•••• M••••••••• I•• (registered 2018-11-06)Dec 31, 2024 · Advisor changed firm · fact
- J••• M••••• S••••••••• left S••••• • E••••••••• I••••••••• A•••••••• L•• for P•••••• G••••• L•• (registered 2025-04-04)Dec 31, 2024 · Advisor changed firm · fact
- B•••• A••••• H••• left S••••• • E••••••••• I••••••••• A•••••••• L•• for H••• F•••••••• L•• (registered 2024-06-25)Dec 31, 2024 · Advisor changed firm · fact
- 2 advisors left S••••• • E••••••••• I••••••••• A•••••••• L•• (Montebello, NY) for P•••••• A•••• M••••••••• I•• on the same dayDec 31, 2024 · Team lift-out · derived
- A••••• B•••• H••• (Owner) appeared on Schedule A of S••••• • E••••••••• I••••••••• A•••••••• L••Jul 9, 2019 · Control person joined · fact
- S••••• • E••••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 22, 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