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•••• A•••• A•••••••
Legal name S•• A•••• A•••• A••••••• L••
Latest filing Feb 4, 2026
First filing on the tape Mar 28, 2018 · 28 filings
SEC status approved since May 3, 2018
RAUM
$216M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
72%
$155M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$108M
derived; firm RAUM over IAPD count
Employees
3
2 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$216M as of Feb 4, 2026
Mar 27, 2019$228M then
HNW client RAUM$146M as of Feb 4, 2026
Mar 27, 2019$213M then
State-registered IARs (5.B.3)2 as of Feb 4, 2026
Mar 27, 20193 then
Employees (5.A)3 as of Feb 4, 2026
Mar 27, 20195 then
Private funds1 as of Mar 17, 2021
Mar 27, 20201 then
RAUM +3.8% over the last fiscal year-7.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $108MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 143derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $762,996derivedHNW RAUM over HNW clients
- Average account
- $679,180derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%derived
- Compensation
- percentage of assets, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $50.0M, 47 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$146M67%
- Corporations and businesses$54.7M25%
- Individuals$9.3M4.3%
- Charitable organizations$6.3M2.9%
- Individual clients
- 95reported
- HNW clients
- 191reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 318reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $50.0M for 47 clientsreported
- Compensation
- % of AUM, commissionsreported
- Class basis
- private_client_share=0.72 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J•• S•••••• | Boca Raton, Fl | Aug 23, 2018 | 32 y | 3 |
| E•••• A••••• R••••••••Chartered Financial Consultant | Boca Raton, Fl | Jun 14, 2023 | 27 y | 3 |
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 headcount2 left over 36 months
Left, latest
- J••• E•••••••• to A••••• P•••••• W•••••Feb 20, 2024 · RIA to RIA
- A••• L•• to A••••• P•••••• W•••••Feb 20, 2024 · RIA to RIA
- N••••••• D•••••• D•••••••• to C••••• W••••• M•••••••••Dec 10, 2021 · RIA to RIA
Joined, latest
- E•••• A••••• R•••••••• from N••• C•••••••••Jun 14, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••• E•••••••• from M••••• S••••••Aug 12, 2019 · Wirehouse to independent RIA
- M•••••• J•• S•••••• from O••••••••• • C•• I•••Aug 23, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- A••• L•• from O••••••••• • C•• I•••Aug 21, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A••••• P•••••• W•••••Feb 20, 2024 · Boca Raton, Fl
- 2 joined from O••••••••• • C•• I•••Aug 24, 2018 · Boca Raton, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••••• E••••• A••••• · Managing Partner & Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
- S••••••• M••••••• J•• · Chief Investment Officercontrolsince 07/2018 · owns less than 5%
- S••••••• M••••••• J•• · Managercontrolsince 08/2018 · owns F of C••••• L••
Entity owners
- S•• 2• L•• · Managing Memberdirect · owns 75% or more
- C••••• L•• · Ownerindirect · owns 75% or more of S•• 2• L••
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boca Raton, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 4, 2026custody of client assets (Item 9.A): no on the filing of 2025-08-26, yes on the filing of 2026-02-04peers: independent wealth managers, $100M to $500M (5,676)
- compensation changedChange between filings · filing Feb 4, 2026performance-based compensation (Item 5.E.6): yes on the filing of 2025-08-26, no on the filing of 2026-02-04peers: independent wealth managers, $100M to $500M (5,676)
- compensation changedChange between filings · filing Feb 4, 2026commissions (Item 5.E.5): no on the filing of 2025-08-26, yes on the filing of 2026-02-04peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 302 to 318Aug 26, 2025 to Feb 4, 2026
- Charity clients · unset to 6.0Aug 26, 2025 to Feb 4, 2026
- Corporate clients · 19 to 26Aug 26, 2025 to Feb 4, 2026
- HNW clients · 251 to 191Aug 26, 2025 to Feb 4, 2026
- Individual clients · 30 to 95Aug 26, 2025 to Feb 4, 2026
- Commission compensation · false to trueAug 26, 2025 to Feb 4, 2026
- Assets in custody · $0 to $50.0MAug 26, 2025 to Feb 4, 2026
- Custody of client assets · false to trueAug 26, 2025 to Feb 4, 2026
- Employees · 4 to 3Aug 26, 2025 to Feb 4, 2026
- Discretionary RAUM · $208M to $216MAug 26, 2025 to Feb 4, 2026
- HNW RAUM · $120M to $146MAug 26, 2025 to Feb 4, 2026
- Individual RAUM · $19.0M to $9.3MAug 26, 2025 to Feb 4, 2026
- RAUM · $208M to $216MAug 26, 2025 to Feb 4, 2026
- Business name · S•• A•••• A•••• A••••••• L•• to S•• A•••• A•••• A•••••••Mar 6, 2025 to Aug 26, 2025
- Financial planning clients · 0 to 0Mar 6, 2025 to Aug 26, 2025
- Accounts · 289 to 302Mar 12, 2024 to Mar 6, 2025
- Charity clients · 0.0 to unsetMar 12, 2024 to Mar 6, 2025
- Corporate clients · 0 to 19Mar 12, 2024 to Mar 6, 2025
- HNW clients · 131 to 251Mar 12, 2024 to Mar 6, 2025
- Individual clients · 19 to 30Mar 12, 2024 to Mar 6, 2025
- Pension plan clients · 0.0 to unsetMar 12, 2024 to Mar 6, 2025
- Pooled vehicle clients · 0.0 to unsetMar 12, 2024 to Mar 6, 2025
- Employees · 3 to 4Mar 12, 2024 to Mar 6, 2025
- Discretionary RAUM · $207M to $208MMar 12, 2024 to Mar 6, 2025
- HNW RAUM · $176M to $120MMar 12, 2024 to Mar 6, 2025
- Individual RAUM · $31.0M to $19.0MMar 12, 2024 to Mar 6, 2025
- Pension RAUM · 0.0 to unsetMar 12, 2024 to Mar 6, 2025
- Pooled vehicle RAUM · 0.0 to unsetMar 12, 2024 to Mar 6, 2025
- RAUM · $207M to $208MMar 12, 2024 to Mar 6, 2025
- Accounts · 141 to 289Oct 13, 2023 to Mar 12, 2024
- Advisory activities · 2 to 3Oct 13, 2023 to Mar 12, 2024
- Corporate clients · 1 to 0Oct 13, 2023 to Mar 12, 2024
- HNW clients · 125 to 131Oct 13, 2023 to Mar 12, 2024
- Individual clients · 16 to 19Oct 13, 2023 to Mar 12, 2024
- Financial planning clients · 1-10 to 0Oct 13, 2023 to Mar 12, 2024
- Discretionary RAUM · $269M to $207MOct 13, 2023 to Mar 12, 2024
- HNW RAUM · $262M to $176MOct 13, 2023 to Mar 12, 2024
- Individual RAUM · $5.0M to $31.0MOct 13, 2023 to Mar 12, 2024
- RAUM · $269M to $207MOct 13, 2023 to Mar 12, 2024
- Advisory employees · 5 to 2Jun 16, 2023 to Oct 13, 2023
Signals
7 dated events
- J••• E•••••••• left S•• A•••• A•••• A••••••• for A••••• P•••••• W••••• (registered 2026-08-31)Feb 20, 2024 · Advisor changed firm · fact
- A••• L•• left S•• A•••• A•••• A••••••• for A••••• P•••••• W••••• (registered 2025-11-14)Feb 20, 2024 · Advisor changed firm · fact
- 2 advisors left S•• A•••• A•••• A••••••• (Boca Raton, FL) for A••••• P•••••• W••••• on the same dayFeb 20, 2024 · Team lift-out · derived
- A••• L•• (Chief Compliance Officer) no longer on Schedule A of S•• A•••• A•••• A••••••• (listed 2023-06-16, absent 2023-10-13)Oct 13, 2023 · Control person left · inference
- Amable Elvis Rodriguez (Managing Partner & Chief Compliance Officer) appeared on Schedule A of S•• A•••• A•••• A•••••••Oct 13, 2023 · Control person joined · fact
- S•• A•••• A•••• A••••••• reported RAUM $242.0M, up 91% from $127.0M (2018-08-28 to 2018-11-20)Nov 20, 2018 · RAUM change · derived
- L•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 28, 2018 · 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 email
- info@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- kenneth.bristow@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 561-410-7790reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- skyalphaadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 561-410-7790reportedpublic record, Form ADV, Feb 4, 2026
- Contact form
- skyalphaadvisors.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- skyalphaadvisors.com/our-teamreportedpublished 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
- $108Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026