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•••• M••••••••• L••
Latest filing May 5, 2026
First filing on the tape Jan 13, 2022 · 16 filings
SEC status approved since Feb 14, 2022
RAUM
$878M
reported, Item 5.F
Discretionary
12%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$878M
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
16 filings and snapshots on the tape
RAUM$878M as of May 5, 2026
Mar 31, 2023$43.5M then
HNW client RAUM: $6.8M
State-registered IARs (5.B.3)1 as of May 5, 2026
Mar 31, 20231 then
Employees (5.A)1 as of May 5, 2026
Mar 31, 20231 then
Private funds: no history
RAUM +130% over the last fiscal year+172% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $878MderivedRAUM 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
- $293MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 12%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
- +129%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, 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
- Investment companies$878M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• T••••••• J• · Chief Executive Officercontrolsince 12/2017 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 11, 2026RAUM (Item 5.F) moved from $382,205,000 to $873,503,552 (+129.0%) between the annual amendments of 2025-03-31 and 2026-03-11; the peer median change was +8.0% (672 comparable advisers, 96.0th percentile of changes)peers: asset managers, $500M to $1B (672) · 96% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $106M to $105MMar 11, 2026 to May 5, 2026
- Non-discretionary RAUM · $767M to $773MMar 11, 2026 to May 5, 2026
- RAUM · $874M to $878MMar 11, 2026 to May 5, 2026
- Financial planning clients · to 0Dec 9, 2025 to Mar 11, 2026
- Discretionary RAUM · $99.4M to $106MDec 9, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $662M to $767MDec 9, 2025 to Mar 11, 2026
- RAUM · $762M to $874MDec 9, 2025 to Mar 11, 2026
- Insurance-licensed employees · 0 to 1Mar 31, 2025 to Nov 7, 2025
- Discretionary RAUM · $70.7M to $99.4MMar 31, 2025 to Nov 7, 2025
- Non-discretionary RAUM · $312M to $662MMar 31, 2025 to Nov 7, 2025
- RAUM · $382M to $762MMar 31, 2025 to Nov 7, 2025
- Advisory activities · 3 to 2Feb 12, 2025 to Mar 31, 2025
- Financial planning clients · 0 to Feb 12, 2025 to Mar 31, 2025
- Discretionary RAUM · $68.0M to $70.7MFeb 12, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $299M to $312MFeb 12, 2025 to Mar 31, 2025
- RAUM · $367M to $382MFeb 12, 2025 to Mar 31, 2025
- Accounts · 2 to 3Nov 13, 2024 to Feb 12, 2025
- Advisory activities · 4 to 3Nov 13, 2024 to Feb 12, 2025
- Discretionary RAUM · $35.0M to $68.0MNov 13, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $25.0M to $299MNov 13, 2024 to Feb 12, 2025
- RAUM · $60.0M to $367MNov 13, 2024 to Feb 12, 2025
- Accounts · 1 to 2Dec 11, 2023 to Mar 27, 2024
- BD registered reps · 1 to 0Dec 11, 2023 to Mar 27, 2024
- Discretionary RAUM · $0 to $35.0MDec 11, 2023 to Mar 27, 2024
- HNW RAUM · 6750000.0 to unsetDec 11, 2023 to Mar 27, 2024
- Individual RAUM · 6750000.0 to unsetDec 11, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $43.5M to $25.0MDec 11, 2023 to Mar 27, 2024
- RAUM · $43.5M to $60.0MDec 11, 2023 to Mar 27, 2024
- Accounts · unset to 1.0Jan 12, 2023 to Mar 31, 2023
- HQ city · QUOGUE to NEW YORKJan 12, 2023 to Mar 31, 2023
- Discretionary RAUM · unset to 0.0Jan 12, 2023 to Mar 31, 2023
- HNW RAUM · unset to 6750000.0Jan 12, 2023 to Mar 31, 2023
- Individual RAUM · unset to 6750000.0Jan 12, 2023 to Mar 31, 2023
- Non-discretionary RAUM · unset to 43500000.0Jan 12, 2023 to Mar 31, 2023
- RAUM · unset to 43500000.0Jan 12, 2023 to Mar 31, 2023
Signals
3 dated events
- S•••••• A•••• M••••••••• L•• reported RAUM $761.7M, up 99% from $382.2M (2025-03-31 to 2025-11-07)Nov 7, 2025 · RAUM change · derived
- S•••••• A•••• M••••••••• L•• reported RAUM $367.0M, up 512% from $60.0M (2024-11-13 to 2025-02-12)Feb 12, 2025 · RAUM change · derived
- S•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 13, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••• A•••• M••••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Website
- s••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 2123414030reportedpublic record, Form ADV, May 5, 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
- $878Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026