DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S••••••• C•••••• I••••••••• A••••••• L••
Latest filing Jun 4, 2026
First filing on the tape Jan 31, 2020 · 13 filings
SEC status approved since May 29, 2025
RAUM
$138M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
95%
$132M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$19.8M
derived; firm RAUM over IAPD count
Employees
13
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$138M as of Jun 4, 2026
May 29, 2025$75.2M then
HNW client RAUM$75.4M as of Jun 4, 2026
May 29, 2025$24.2M then
State-registered IARs (5.B.3)7 as of Jun 4, 2026
May 29, 20255 then
Employees (5.A)13 as of Jun 4, 2026
May 29, 202512 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 4, 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
- 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
- RAUM per advisor
- $23.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 107derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $215,120derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 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$75.4M54%
- Individuals$56.6M41%
- Corporations and businesses$3.7M2.6%
- Pension and profit-sharing plans$2.7M2.0%
- Individual clients
- 582reported
- HNW clients
- 61reported
- Pension plan clients
- 15reported
- Charitable clients
- 0reported
- Accounts
- 643reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• D• P••••••• E•••••• | West Melbourne, Fl | Oct 11, 2023 | 10 y | 0 |
| S••••••••• F•••• T••••• | New York, Ny | Aug 12, 2024 | 24 y | 0 |
| M•••••• C••••••• C••••• | New York, Ny | Aug 12, 2024 | 21 y | 0 |
| G•••••• R••••••••• | New York, Ny | Apr 8, 2025 | 11 y | 0 |
| L•• J•• S•••• | New York, Ny | May 16, 2025 | 10 y | 0 |
| V••••••• M•••••• F••••• | Porto Alegre | Sep 24, 2025 | 11 y | 0 |
| E•••••• V••••• J••••• | Embu Das Artes | Jun 16, 2026 | 10 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
- C•••••• M••••••• C••••••• · Managing Member / Principal And Chief Compliance Officercontrolsince 01/2020 · owns 75% or more
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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 6 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Winhall, VT1 employees
What changed
consecutive filings, newest first
- Advisory employees · 6 to 7Mar 31, 2026 to Apr 24, 2026
- State-registered IARs · 6 to 7Mar 31, 2026 to Apr 24, 2026
- Accounts · 505 to 643Oct 1, 2025 to Mar 31, 2026
- Corporate clients · 49 to 5Oct 1, 2025 to Mar 31, 2026
- HNW clients · 22 to 61Oct 1, 2025 to Mar 31, 2026
- Individual clients · 434 to 582Oct 1, 2025 to Mar 31, 2026
- Pension plan clients · 0 to 15Oct 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $75.2M to $136MOct 1, 2025 to Mar 31, 2026
- HNW RAUM · $24.2M to $75.4MOct 1, 2025 to Mar 31, 2026
- Individual RAUM · $26.5M to $56.6MOct 1, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $2.6MOct 1, 2025 to Mar 31, 2026
- Pension RAUM · $0 to $2.7MOct 1, 2025 to Mar 31, 2026
- RAUM · $75.2M to $138MOct 1, 2025 to Mar 31, 2026
- Advisory employees · 5 to 6Jun 27, 2025 to Oct 1, 2025
- Employees · 12 to 13Jun 27, 2025 to Oct 1, 2025
- State-registered IARs · 5 to 6Jun 27, 2025 to Oct 1, 2025
- Other offices · 1 to 2Jun 27, 2025 to Oct 1, 2025
- Financial planning clients · unset to May 29, 2025 to Jun 27, 2025
- Accounts · 10 to 505Feb 9, 2021 to May 29, 2025
- Advisory employees · 1 to 5Feb 9, 2021 to May 29, 2025
- Charity clients · unset to 0.0Feb 9, 2021 to May 29, 2025
- Corporate clients · unset to 49.0Feb 9, 2021 to May 29, 2025
- HNW clients · unset to 22.0Feb 9, 2021 to May 29, 2025
- Individual clients · 10 to 434Feb 9, 2021 to May 29, 2025
- Pension plan clients · unset to 0.0Feb 9, 2021 to May 29, 2025
- Pooled vehicle clients · unset to 0.0Feb 9, 2021 to May 29, 2025
- Employees · 1 to 12Feb 9, 2021 to May 29, 2025
- HQ city · unset to NEW YORKFeb 9, 2021 to May 29, 2025
- HQ state · unset to NYFeb 9, 2021 to May 29, 2025
- State-registered IARs · 1 to 5Feb 9, 2021 to May 29, 2025
- Discretionary RAUM · $395,476 to $75.2MFeb 9, 2021 to May 29, 2025
- HNW RAUM · unset to 24159000.0Feb 9, 2021 to May 29, 2025
- Individual RAUM · $395,476 to $26.5MFeb 9, 2021 to May 29, 2025
- Pension RAUM · unset to 0.0Feb 9, 2021 to May 29, 2025
- Pooled vehicle RAUM · unset to 0.0Feb 9, 2021 to May 29, 2025
- RAUM · $395,476 to $75.2MFeb 9, 2021 to May 29, 2025
- Accounts · 0 to 10Aug 24, 2020 to Feb 9, 2021
- Individual clients · unset to 10.0Aug 24, 2020 to Feb 9, 2021
- Discretionary RAUM · $0 to $395,476Aug 24, 2020 to Feb 9, 2021
- Individual RAUM · unset to 395476.0Aug 24, 2020 to Feb 9, 2021
Signals
2 dated events
- C•••••• D• P••••••• E•••••• no longer holds an investment adviser registration (last listed at S••••••• C•••••• I••••••••• A••••••• L•• on the 2026-09-17 feed)Sep 17, 2026 · Advisor registration ended · derived
- S••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Jan 31, 2020 · 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
- a•••••••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-849-1773reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- + 1 (212) 849-1773reportedpublic record, Form ADV, Jun 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $19.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026