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•••• I••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Jun 29, 2018 · 13 filings
SEC status approved since Jul 31, 2018
RAUM
$3.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$3.5B individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$3.5B
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
13 filings and snapshots on the tape
RAUM$3.5B as of Mar 23, 2026
Feb 12, 2019$286M then
HNW client RAUM$3.5B as of Mar 23, 2026
Feb 12, 2019$286M then
State-registered IARs (5.B.3)1 as of Mar 23, 2026
Feb 12, 20190 then
Employees (5.A)1 as of Mar 23, 2026
Feb 12, 20191 then
Private funds: no history
RAUM +28% over the last fiscal year+21% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $3.5BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7BderivedHNW RAUM over HNW clients
- Average account
- $158MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- +28%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 individualsreportedItem 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
- High-net-worth individuals$3.5B100%
- Individual clients
- n/areported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 22reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• E•••• E••••Chartered Financial Analyst | Princeton, Nj | Jan 1, 2026 | 29 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- S•••••• E•••• E•••• from A••••••• R••••••• I••Jan 1, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• C••••••••• L•• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- E••••• S••••••• E•••• · Member And Managercontrolsince 06/2018 · owns 75% or more
Related persons
Schedule D 7.A
- P••• I••••••••• A•••••••• L•••investment advisernRAUM $670M
- P••• S••••••••• L••broker-dealern
Advisers that list S••••••••• A•••• I••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 175 to 22Mar 25, 2025 to Mar 23, 2026
- Discretionary RAUM · $2.7B to $3.5BMar 25, 2025 to Mar 23, 2026
- HNW RAUM · $2.7B to $3.5BMar 25, 2025 to Mar 23, 2026
- RAUM · $2.7B to $3.5BMar 25, 2025 to Mar 23, 2026
- HNW RAUM · $2.3B to $2.7BMar 12, 2024 to Mar 25, 2025
- RAUM · $2.3B to $2.7BMar 12, 2024 to Mar 25, 2025
- Accounts · 100 to 175Mar 12, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 12, 2024 to Mar 25, 2025
- Discretionary RAUM · $2.3B to $2.7BMar 12, 2024 to Mar 25, 2025
- Accounts · 3 to 100Mar 21, 2023 to Mar 12, 2024
- HNW clients · unset to 2.0Mar 21, 2023 to Mar 12, 2024
- Discretionary RAUM · $2.0B to $2.3BMar 21, 2023 to Mar 12, 2024
- HNW RAUM · $2.0B to $2.3BMar 21, 2023 to Mar 12, 2024
- RAUM · $2.0B to $2.3BMar 21, 2023 to Mar 12, 2024
- Accounts · 110 to 3Jan 5, 2023 to Mar 21, 2023
- Discretionary RAUM · $1.8B to $2.0BJan 5, 2023 to Mar 21, 2023
- HNW RAUM · $1.8B to $2.0BJan 5, 2023 to Mar 21, 2023
- RAUM · $1.8B to $2.0BJan 5, 2023 to Mar 21, 2023
- Related broker-dealer · false to trueMar 26, 2022 to Jan 5, 2023
- Accounts · 65 to 110Mar 2, 2021 to Mar 26, 2022
- Discretionary RAUM · $980M to $1.8BMar 2, 2021 to Mar 26, 2022
- HNW RAUM · $980M to $1.8BMar 2, 2021 to Mar 26, 2022
- RAUM · $980M to $1.8BMar 2, 2021 to Mar 26, 2022
- Related adviser · false to trueMar 2, 2021 to Mar 26, 2022
- Accounts · 5 to 65Jun 29, 2020 to Mar 2, 2021
- Discretionary RAUM · $482M to $980MJun 29, 2020 to Mar 2, 2021
- HNW RAUM · $480M to $980MJun 29, 2020 to Mar 2, 2021
- Individual RAUM · 1500000.0 to unsetJun 29, 2020 to Mar 2, 2021
- RAUM · $482M to $980MJun 29, 2020 to Mar 2, 2021
- Accounts · 4 to 5Jul 8, 2019 to Feb 8, 2020
- HNW clients · 4.0 to unsetJul 8, 2019 to Feb 8, 2020
- State-registered IARs · 0 to 1Jul 8, 2019 to Feb 8, 2020
- Discretionary RAUM · $286M to $482MJul 8, 2019 to Feb 8, 2020
- HNW RAUM · $286M to $480MJul 8, 2019 to Feb 8, 2020
- Individual RAUM · unset to 1500000.0Jul 8, 2019 to Feb 8, 2020
- RAUM · $286M to $482MJul 8, 2019 to Feb 8, 2020
- HNW clients · unset to 4.0Oct 17, 2018 to Feb 12, 2019
- Discretionary RAUM · $353M to $286MOct 17, 2018 to Feb 12, 2019
- HNW RAUM · unset to 286250578.0Oct 17, 2018 to Feb 12, 2019
- RAUM · $353M to $286MOct 17, 2018 to Feb 12, 2019
Signals
6 dated events
- S••••••••• A•••• I••••••••• L•• reported RAUM $3.5B, up 28% from $2.7B (2025-03-25 to 2026-03-23)Mar 23, 2026 · RAUM change · derived
- Lee Christopher Ainsworth (Chief Compliance Officer) appeared on Schedule A of S••••••••• A•••• I••••••••• L••Jan 5, 2023 · Control person joined · fact
- S••••••••• A•••• I••••••••• L•• reported RAUM $1.8B, up 79% from $980.0M (2021-03-02 to 2022-03-26)Mar 26, 2022 · RAUM change · derived
- S••••••••• A•••• I••••••••• L•• reported RAUM $980.0M, up 104% from $481.5M (2020-06-29 to 2021-03-02)Mar 2, 2021 · RAUM change · derived
- S••••••••• A•••• I••••••••• L•• reported RAUM $481.5M, up 68% from $286.3M (2019-07-08 to 2020-02-08)Feb 8, 2020 · RAUM change · derived
- S••••••••• A•••• I••••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••••• A•••• I••••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- 609-751-7550reportedpublic record, Form ADV, Mar 23, 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
- $3.5Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026