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•••••• C••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Dec 24, 2019 · 11 filings
SEC status approved since Jan 27, 2020
RAUM
$508M
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
100%
$508M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$508M
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
11 filings and snapshots on the tape
RAUM$508M as of Mar 10, 2026
Mar 26, 2021$361M then
HNW client RAUM$508M as of Mar 10, 2026
Mar 26, 2021$361M then
State-registered IARs (5.B.3)1 as of Mar 10, 2026
Mar 26, 20211 then
Employees (5.A)1 as of Mar 10, 2026
Mar 26, 20211 then
Private funds: no history
RAUM +13% over the last fiscal year+8.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 10, 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
- $508MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $508MderivedHNW RAUM over HNW clients
- Average account
- $6.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%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
- +13%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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$508M100%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 85reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false 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 |
|---|---|---|---|---|
| W•••••• E••••• E••••••• | Darien, Ct | Mar 12, 2020 | 28 y | 0 |
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
- E•••••••• W••••••• E••••• · Managing Member/Chief Compliance Officercontrolsince 01/2019 · 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.
What changed
consecutive filings, newest first
- Discretionary RAUM · $296M to $334MFeb 25, 2025 to Mar 10, 2026
- HNW RAUM · $449M to $508MFeb 25, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $153M to $173MFeb 25, 2025 to Mar 10, 2026
- RAUM · $449M to $508MFeb 25, 2025 to Mar 10, 2026
- Accounts · 81 to 85Mar 26, 2024 to Feb 25, 2025
- Financial planning clients · unset to Mar 26, 2024 to Feb 25, 2025
- Discretionary RAUM · $276M to $296MMar 26, 2024 to Feb 25, 2025
- HNW RAUM · $399M to $449MMar 26, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $123M to $153MMar 26, 2024 to Feb 25, 2025
- RAUM · $399M to $449MMar 26, 2024 to Feb 25, 2025
- Discretionary RAUM · $274M to $276MMar 15, 2023 to Mar 26, 2024
- HNW RAUM · $396M to $399MMar 15, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $122M to $123MMar 15, 2023 to Mar 26, 2024
- RAUM · $396M to $399MMar 15, 2023 to Mar 26, 2024
- Discretionary RAUM · $285M to $274MMar 21, 2022 to Mar 15, 2023
- HNW RAUM · $412M to $396MMar 21, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $127M to $122MMar 21, 2022 to Mar 15, 2023
- RAUM · $412M to $396MMar 21, 2022 to Mar 15, 2023
- Accounts · 116 to 81Dec 10, 2021 to Mar 21, 2022
- HNW clients · 3 to 1Dec 10, 2021 to Mar 21, 2022
- Discretionary RAUM · $139M to $285MDec 10, 2021 to Mar 21, 2022
- HNW RAUM · $361M to $412MDec 10, 2021 to Mar 21, 2022
- Non-discretionary RAUM · $222M to $127MDec 10, 2021 to Mar 21, 2022
- RAUM · $361M to $412MDec 10, 2021 to Mar 21, 2022
- Accounts · 81 to 116Jun 30, 2020 to Mar 26, 2021
- HNW clients · 2 to 3Jun 30, 2020 to Mar 26, 2021
- HQ city · unset to DARIENJun 30, 2020 to Mar 26, 2021
- HQ state · unset to CTJun 30, 2020 to Mar 26, 2021
- Discretionary RAUM · $208M to $139MJun 30, 2020 to Mar 26, 2021
- HNW RAUM · $301M to $361MJun 30, 2020 to Mar 26, 2021
- Non-discretionary RAUM · $93.0M to $222MJun 30, 2020 to Mar 26, 2021
- RAUM · $301M to $361MJun 30, 2020 to Mar 26, 2021
- Accounts · 0 to 81Mar 26, 2020 to May 21, 2020
- HNW clients · unset to 2.0Mar 26, 2020 to May 21, 2020
- Discretionary RAUM · $0 to $208MMar 26, 2020 to May 21, 2020
- HNW RAUM · unset to 301352772.0Mar 26, 2020 to May 21, 2020
- Non-discretionary RAUM · $0 to $93.0MMar 26, 2020 to May 21, 2020
- RAUM · $0 to $301MMar 26, 2020 to May 21, 2020
Signals
1 dated events
- S•••••• C••••••• L•• filed its initial SEC registration (Form ADV)Dec 24, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••• C••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- info@stratiscap.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 203-302-9530reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- stratiscap.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 917-705-2500reportedpublic record, Form ADV, Mar 10, 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
- $508Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026