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.
SEC-registered adviser
S••••• A••••••• S••••••••
Asset manager (funds and pooled vehicles)West Palm Beach, FloridaCRD 297680SEC 801-113795websiteIAPD
Legal name S••••• A••••••• S•••••••• L••
Latest filing Sep 4, 2026
First filing on the tape Jul 6, 2018 · 32 filings
SEC status approved since Aug 7, 2018
RAUM
$27B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$13B
derived; firm RAUM over IAPD count
Employees
96
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$27B as of Mar 31, 2026
Mar 28, 2019$970M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 28, 2019$430M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20196 then
Employees (5.A)96 as of Mar 31, 2026
Mar 28, 201930 then
Private funds: no history
RAUM +1.7% over the last fiscal year+15% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
- RAUM per advisor
- $13BderivedRAUM 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
- $443MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 48.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$27B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 61reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=5.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••••• R••• T••••••• | West Palm Beach, Fl | Nov 9, 2018 | 17 y | 1 |
| L•••• M•••••• M••••• | Boynton Beach, Fl | Nov 16, 2018 | 12 y | 1 |
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
- J••• T•••••• B•••••• to Q• A•••• M••••••••• C•••••••••Jan 16, 2019 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• L••••• M•••••• · Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- P•••••• J•••••••• S••• · Chief Executive Officercontrolsince 08/2023 · owns less than 5%
Entity owners
- S••••• T••••••••• S•••••••• I••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- H•••••• S••••••••• L••broker-dealerbankn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| West Palm Beach, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 31, 2026 to Sep 4, 2026
- Succession · false to unsetMar 31, 2026 to Sep 4, 2026
- Accounts · 51 to 61Dec 22, 2025 to Mar 31, 2026
- Advisory activities · 2 to 3Dec 22, 2025 to Mar 31, 2026
- Employees · 94 to 96Dec 22, 2025 to Mar 31, 2026
- State-registered IARs · 1 to 0Dec 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $27B to $27BDec 22, 2025 to Mar 31, 2026
- RAUM · $27B to $27BDec 22, 2025 to Mar 31, 2026
- Accounts · 60 to 51Oct 22, 2024 to Apr 4, 2025
- Employees · 91 to 94Oct 22, 2024 to Apr 4, 2025
- Financial planning clients · unset to Oct 22, 2024 to Apr 4, 2025
- Discretionary RAUM · $23B to $27BOct 22, 2024 to Apr 4, 2025
- RAUM · $23B to $27BOct 22, 2024 to Apr 4, 2025
- Advisory employees · 6 to 2Dec 14, 2023 to Mar 15, 2024
- BD registered reps · 9 to 5Dec 14, 2023 to Mar 15, 2024
- Employees · 118 to 91Dec 14, 2023 to Mar 15, 2024
- State-registered IARs · 5 to 1Dec 14, 2023 to Mar 15, 2024
- Discretionary RAUM · $18B to $23BDec 14, 2023 to Mar 15, 2024
- RAUM · $18B to $23BDec 14, 2023 to Mar 15, 2024
- Accounts · 95 to 60Mar 31, 2022 to Mar 28, 2023
- Advisory employees · 4 to 6Mar 31, 2022 to Mar 28, 2023
- BD registered reps · 8 to 9Mar 31, 2022 to Mar 28, 2023
- Employees · 90 to 118Mar 31, 2022 to Mar 28, 2023
- State-registered IARs · 4 to 5Mar 31, 2022 to Mar 28, 2023
- Discretionary RAUM · $18B to $18BMar 31, 2022 to Mar 28, 2023
- RAUM · $18B to $18BMar 31, 2022 to Mar 28, 2023
- Related adviser · true to falseMar 31, 2022 to Mar 28, 2023
- Accounts · 77,410 to 95Oct 19, 2021 to Mar 31, 2022
- Advisory employees · 6 to 4Oct 19, 2021 to Mar 31, 2022
- BD registered reps · 7 to 8Oct 19, 2021 to Mar 31, 2022
- HNW clients · unset to 0.0Oct 19, 2021 to Mar 31, 2022
- Individual clients · 55,694 to 0Oct 19, 2021 to Mar 31, 2022
- Employees · 67 to 90Oct 19, 2021 to Mar 31, 2022
- State-registered IARs · 6 to 4Oct 19, 2021 to Mar 31, 2022
- Discretionary RAUM · $18B to $18BOct 19, 2021 to Mar 31, 2022
- HNW RAUM · unset to 0.0Oct 19, 2021 to Mar 31, 2022
- Individual RAUM · $18B to $0Oct 19, 2021 to Mar 31, 2022
- RAUM · $18B to $18BOct 19, 2021 to Mar 31, 2022
- Accounts · 55,694 to 77,410Mar 31, 2021 to Oct 19, 2021
- Employees · 47 to 67Mar 31, 2021 to Oct 19, 2021
Signals
10 dated events
- S••••• A••••••• S•••••••• reported RAUM $22.9B, up 31% from $17.6B (2023-12-14 to 2024-03-15)Mar 15, 2024 · RAUM change · derived
- Charles Alexander Smith-Ryland (Managing Director) no longer on Schedule A of S••••• A••••••• S•••••••• (listed 2023-08-14, absent 2023-12-14)Dec 14, 2023 · Control person left · inference
- Scott Evan Rapoport (Chief Executive Officer) no longer on Schedule A of S••••• A••••••• S•••••••• (listed 2023-03-28, absent 2023-08-14)Aug 14, 2023 · Control person left · inference
- Seth Jonathan Pincus (Chief Executive Officer) appeared on Schedule A of S••••• A••••••• S••••••••Aug 14, 2023 · Control person joined · fact
- S••••• A••••••• S•••••••• reported RAUM $18.1B, up 26% from $14.4B (2021-03-31 to 2021-10-19)Oct 19, 2021 · RAUM change · derived
- S••••• A••••••• S•••••••• reported RAUM $13.0B, up 28% from $10.2B (2021-01-06 to 2021-03-12)Mar 12, 2021 · RAUM change · derived
- S••••• A••••••• S•••••••• reported RAUM $8.9B, up 506% from $1.5B (2020-09-04 to 2020-10-21)Oct 21, 2020 · RAUM change · derived
- David Joseph Goldstein (Chief Financial Officer) no longer on Schedule A of S••••• A••••••• S•••••••• (listed 2020-06-30, absent 2020-08-10)Aug 10, 2020 · Control person left · inference
- S••••• A••••••• S•••••••• reported RAUM $1.2B, up 26% from $969.8M (2019-03-28 to 2019-04-04)Apr 4, 2019 · RAUM change · derived
- S••••• A••••••• S•••••••• filed its initial SEC registration (Form ADV)Jul 6, 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
- Website
- S•••••ADVISORYS••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 561-835-8690reportedpublic record, Form ADV, Sep 4, 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
- $13Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026