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••••••• F•••••••• L••
Legal name S••••• P•••• I•••••••• L••
Latest filing Sep 8, 2026
First filing on the tape Sep 28, 2018 · 26 filings
SEC status approved since Nov 1, 2018
RAUM
$397M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
85%
$336M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$397M as of Apr 21, 2026
Mar 4, 2019$106M then
HNW client RAUM$286M as of Apr 21, 2026
Mar 4, 2019$72.7M then
State-registered IARs (5.B.3)4 as of Apr 21, 2026
Mar 4, 20193 then
Employees (5.A)4 as of Apr 21, 2026
Mar 4, 20193 then
Private funds: no history
RAUM +18% over the last fiscal year+26% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Sep 8, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $868,775derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 8.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $60.2M, 3 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$286M72%
- Individuals$49.5M12%
- Charitable organizations$30.3M7.6%
- Corporations and businesses$26.9M6.8%
- Pension and profit-sharing plans$4.2M1.1%
- Individual clients
- 105reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 457reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $60.2M for 3 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| V••• C•••••••• | Armonk, Ny | Sep 25, 2020 | 12 y | 1 |
| D•••• V•••••• S•••••••Chartered Financial Analyst | Armonk, Ny | Oct 28, 2020 | 18 y | 1 |
| D••••• S••••••• | Katonah, Ny | Jul 13, 2021 | 30 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- M•••••• C•••••• to J••• M••••• S••••••••• L••Jul 2, 2026 · RIA to wirehouse
Joined, latest
- M•••••• C•••••• from P•••• S••••••••• L••May 4, 2023 · Affiliated broker-dealer or bank to independent RIA
- D•••• V•••••• S••••••• from C••••• I••••••••• A••••••• L••Oct 28, 2020 · Affiliated broker-dealer or bank to independent RIA
- V••• C•••••••• from C••••• I••••••••• A••••••• L••Sep 25, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• V••• · Chief Compliance Officer, Financial Advisorcontrolsince 03/2023 · owns less than 5%
- S•••••••• D••••• V•••••• · Managing Member, Chief Financial Officercontrolsince 09/2018 · owns 50% to 75%
- S•••••••• D••••• · Managing Member / Chief Executive Officercontrolsince 09/2018 · owns 50% to 75%
Related persons
Schedule D 7.A
- D•• S•••••••• C••• P•••insurancen
- D•• C•••••• M••••••••• L••pooled vehicle sponsorn
- D•• C•••••• P••••••• G•• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Armonk, Ny · principal | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Greenwich, CT1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Apr 21, 2026 to Sep 8, 2026
- Succession · false to unsetApr 21, 2026 to Sep 8, 2026
- Accounts · 417 to 457Jul 22, 2025 to Feb 9, 2026
- BD registered reps · 1 to 0Jul 22, 2025 to Feb 9, 2026
- Corporate clients · unset to 5.0Jul 22, 2025 to Feb 9, 2026
- HNW clients · 51 to 50Jul 22, 2025 to Feb 9, 2026
- Individual clients · 108 to 105Jul 22, 2025 to Feb 9, 2026
- Assets in custody · $56.1M to $60.2MJul 22, 2025 to Feb 9, 2026
- Employees · 5 to 4Jul 22, 2025 to Feb 9, 2026
- Discretionary RAUM · $297M to $357MJul 22, 2025 to Feb 9, 2026
- HNW RAUM · $245M to $286MJul 22, 2025 to Feb 9, 2026
- Individual RAUM · $38.8M to $49.5MJul 22, 2025 to Feb 9, 2026
- Non-discretionary RAUM · $39.6M to $40.5MJul 22, 2025 to Feb 9, 2026
- Pension RAUM · $3.5M to $4.2MJul 22, 2025 to Feb 9, 2026
- RAUM · $337M to $397MJul 22, 2025 to Feb 9, 2026
- Financial planning clients · 1-10 to 1-10Mar 7, 2025 to Jul 22, 2025
- HQ city · to ARMONKMar 7, 2025 to Jul 22, 2025
- HQ state · to NYMar 7, 2025 to Jul 22, 2025
- Accounts · 357 to 417Apr 12, 2024 to Mar 7, 2025
- BD registered reps · 3 to 1Apr 12, 2024 to Mar 7, 2025
- HNW clients · 30 to 51Apr 12, 2024 to Mar 7, 2025
- Individual clients · 85 to 108Apr 12, 2024 to Mar 7, 2025
- Assets in custody · $84.1M to $56.1MApr 12, 2024 to Mar 7, 2025
- HQ city · unset to Apr 12, 2024 to Mar 7, 2025
- HQ state · unset to Apr 12, 2024 to Mar 7, 2025
- Discretionary RAUM · $228M to $297MApr 12, 2024 to Mar 7, 2025
- HNW RAUM · $156M to $245MApr 12, 2024 to Mar 7, 2025
- Individual RAUM · $32.1M to $38.8MApr 12, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $3.2M to $39.6MApr 12, 2024 to Mar 7, 2025
- Pension RAUM · $3.2M to $3.5MApr 12, 2024 to Mar 7, 2025
- RAUM · $231M to $337MApr 12, 2024 to Mar 7, 2025
- Accounts · 368 to 357Dec 7, 2023 to Jan 29, 2024
- Advisory employees · 3 to 4Dec 7, 2023 to Jan 29, 2024
- BD registered reps · 2 to 3Dec 7, 2023 to Jan 29, 2024
- HNW clients · 24 to 30Dec 7, 2023 to Jan 29, 2024
- Individual clients · 92 to 85Dec 7, 2023 to Jan 29, 2024
- Assets in custody · $74.1M to $84.1MDec 7, 2023 to Jan 29, 2024
- Employees · 4 to 5Dec 7, 2023 to Jan 29, 2024
- State-registered IARs · 3 to 4Dec 7, 2023 to Jan 29, 2024
- Discretionary RAUM · $197M to $228MDec 7, 2023 to Jan 29, 2024
Signals
4 dated events
- M•••••• C•••••• left S••••••• F•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2026-07-23)Jul 2, 2026 · Advisor changed firm · fact
- S••••••• F•••••••• L•• reported RAUM $336.8M, up 46% from $230.8M (2024-04-12 to 2025-03-07)Mar 7, 2025 · RAUM change · derived
- V••• C•••••••• (Chief Compliance Officer, Financial Advisor) appeared on Schedule A of S••••••• F•••••••• L••Mar 10, 2023 · Control person joined · fact
- S••••••• F•••••••• L•• filed its initial SEC registration (Form ADV)Sep 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 phone
- 914-617-1517reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 914-767-0972reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 914-767-0974reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- settannifinancial.com/blogreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (914) 767-0974reportedpublic record, Form ADV, Sep 8, 2026
- Contact form
- settannifinancial.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- settannifinancial.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026