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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Former SEC-registered adviser

S•••••• C••••••• L••

Former SEC-registered adviserNew Hartford, New YorkCRD 288180SEC 801-120948IAPD
Latest filing Jan 23, 2024
First filing on the tape Mar 26, 2021 · 5 filings
SEC status approved since Apr 26, 2021
RAUM
$51.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$50.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$51.0M as of Jan 23, 2024
Jan 28, 2022$53.3M then
HNW client RAUM$16.7M as of Jan 23, 2024
Jan 28, 2022$19.4M then
State-registered IARs (5.B.3)2 as of Jan 23, 2024
Jan 28, 20222 then
Employees (5.A)2 as of Jan 23, 2024
Jan 28, 20222 then
Private funds: no history
RAUM -8.0% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 23, 2024; every figure names its basis
RAUM per advisor
$25.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
94derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$760,576derivedHNW RAUM over HNW clients
Average account
$173,928derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-8.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.5%derived
Compensation
percentage of assets, 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)
  • 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$33.3M65%
  • High-net-worth individuals$16.7M33%
  • Charitable organizations$952,7251.9%
Individual clients
165reported
HNW clients
22reported
Pension plan clients
0reported
Charitable clients
2reported
Accounts
293reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••• R••••••• S•••• · Managing Member/Chief Compliance Officercontrol
        since 03/2017 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      New Hartford, Ny · principal000
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 282 to 293
        Sep 1, 2023 to Jan 23, 2024
      • Charity clients · 0 to 2
        Sep 1, 2023 to Jan 23, 2024
      • HNW clients · 17 to 22
        Sep 1, 2023 to Jan 23, 2024
      • Individual clients · 164 to 165
        Sep 1, 2023 to Jan 23, 2024
      • Discretionary RAUM · $48.1M to $51.0M
        Sep 1, 2023 to Jan 23, 2024
      • HNW RAUM · $14.8M to $16.7M
        Sep 1, 2023 to Jan 23, 2024
      • Individual RAUM · $33.3M to $33.3M
        Sep 1, 2023 to Jan 23, 2024
      • RAUM · $48.1M to $51.0M
        Sep 1, 2023 to Jan 23, 2024
      • Accounts · 276 to 282
        Jan 24, 2023 to Sep 1, 2023
      • HNW clients · 8 to 17
        Jan 24, 2023 to Sep 1, 2023
      • Individual clients · 178 to 164
        Jan 24, 2023 to Sep 1, 2023
      • Discretionary RAUM · $55.4M to $48.1M
        Jan 24, 2023 to Sep 1, 2023
      • HNW RAUM · $10.9M to $14.8M
        Jan 24, 2023 to Sep 1, 2023
      • Individual RAUM · $44.5M to $33.3M
        Jan 24, 2023 to Sep 1, 2023
      • RAUM · $55.4M to $48.1M
        Jan 24, 2023 to Sep 1, 2023
      • Accounts · 251 to 276
        Jan 28, 2022 to Jan 24, 2023
      • HNW clients · 24 to 8
        Jan 28, 2022 to Jan 24, 2023
      • Individual clients · 144 to 178
        Jan 28, 2022 to Jan 24, 2023
      • Discretionary RAUM · $53.3M to $55.4M
        Jan 28, 2022 to Jan 24, 2023
      • HNW RAUM · $19.4M to $10.9M
        Jan 28, 2022 to Jan 24, 2023
      • Individual RAUM · $33.9M to $44.5M
        Jan 28, 2022 to Jan 24, 2023
      • RAUM · $53.3M to $55.4M
        Jan 28, 2022 to Jan 24, 2023
      • Accounts · 238 to 251
        Mar 26, 2021 to Jan 28, 2022
      • HNW clients · 7 to 24
        Mar 26, 2021 to Jan 28, 2022
      • Individual clients · 146 to 144
        Mar 26, 2021 to Jan 28, 2022
      • Financial planning clients · 1-10 to 0
        Mar 26, 2021 to Jan 28, 2022
      • Discretionary RAUM · $46.0M to $53.3M
        Mar 26, 2021 to Jan 28, 2022
      • HNW RAUM · $9.8M to $19.4M
        Mar 26, 2021 to Jan 28, 2022
      • Individual RAUM · $36.3M to $33.9M
        Mar 26, 2021 to Jan 28, 2022
      • RAUM · $46.0M to $53.3M
        Mar 26, 2021 to Jan 28, 2022
      Signals
      5 dated events
      • S•••••• C••••••• L•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $51.0M)
        Feb 3, 2025 · Left the SEC roster · derived
      • J••••••• M•••• W•••• left S•••••• C••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2024-10-30)
        Jan 29, 2025 · Advisor changed firm · fact
      • R•••••• S•••• S•••••• left S•••••• C••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2024-10-30)
        Jan 29, 2025 · Advisor changed firm · fact
      • 2 advisors left S•••••• C••••••• L•• (New Hartford, NY) for C••••••••• F•••••••• N•••••• on the same day
        Jan 29, 2025 · Team lift-out · derived
      • S•••••• C••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 26, 2021 · 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