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••••
Legal name S•••• I••••••• L••
Latest filing Jul 9, 2026
First filing on the tape Apr 29, 2020 · 25 filings
SEC status approved since Apr 25, 2022
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.0B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$334M
derived; firm RAUM over IAPD count
Employees
25
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.0B as of Jul 9, 2026
Mar 20, 2023$71.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jul 9, 2026
Mar 20, 20232 then
Employees (5.A)25 as of Jul 9, 2026
Mar 20, 20238 then
Private funds: no history
RAUM +106% over the last fiscal year+141% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jul 9, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $334MderivedRAUM 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
- $508,757derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +106%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 individuals, portfolio management for businesses and institutions, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.0B100%
- Individual clients
- 937reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,968reported
- 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=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• J•••• M•••••••• | New York, Ny | Apr 20, 2026 | 12 y | 1 |
| A•• L••• M•••••••Chartered Financial Analyst | New York, Ny | Jul 8, 2026 | 19 y | 4 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A•• L••• M••••••• from R•• P•••••• W•••••Jul 8, 2026 · RIA to RIA
- T•••••• J•••• M•••••••• from M•••• W••••• P•••••••• L••Apr 20, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• Z••••••• A••• · Chief Executive Officercontrolsince 04/2020 · owns less than 5%
- C•••••• Z••••••• A••• · Managing Membercontrolsince 04/2020 · owns 50% to 75% of S•••• I••••••• H•••••••• I•••
- C•••••• M••••••• W•••••• · Chairmansince 04/2020 · owns less than 5%
- M••••• D•••••• M•••• · Ccosince 01/2025 · owns less than 5%
Entity owners
- S•••• I••••••• H•••••••• I••• · Managing Memberdirect · 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 | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Apr 15, 2026accounts (Item 5.F.2.f) moved from 803.0 to 1,968.0 (+145.0%) between the annual amendments of 2025-03-28 and 2026-04-15; the peer median change was +6.0% (1206 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 97% percentile
- RAUM up 50 %Change between filings · filing Apr 15, 2026RAUM (Item 5.F) moved from $485,628,448 to $1,001,233,189 (+106.0%) between the annual amendments of 2025-03-28 and 2026-04-15; the peer median change was +17.0% (1298 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 803 to 1,968Jun 9, 2025 to Mar 31, 2026
- Individual clients · 534 to 937Jun 9, 2025 to Mar 31, 2026
- Employees · 19 to 25Jun 9, 2025 to Mar 31, 2026
- Discretionary RAUM · $486M to $1.0BJun 9, 2025 to Mar 31, 2026
- Individual RAUM · $486M to $1.0BJun 9, 2025 to Mar 31, 2026
- RAUM · $486M to $1.0BJun 9, 2025 to Mar 31, 2026
- Business name · S•••• I••••••• L•• to S••••May 8, 2025 to Jun 9, 2025
- Financial planning clients · unset to May 8, 2025 to Jun 9, 2025
- Accounts · 381 to 803Sep 20, 2024 to Mar 28, 2025
- Advisory employees · 2 to 5Sep 20, 2024 to Mar 28, 2025
- Advisory activities · 2 to 3Sep 20, 2024 to Mar 28, 2025
- BD registered reps · 1 to 0Sep 20, 2024 to Mar 28, 2025
- Individual clients · unset to 534.0Sep 20, 2024 to Mar 28, 2025
- Employees · 18 to 19Sep 20, 2024 to Mar 28, 2025
- Discretionary RAUM · $165M to $486MSep 20, 2024 to Mar 28, 2025
- Individual RAUM · unset to 485628448.0Sep 20, 2024 to Mar 28, 2025
- RAUM · $165M to $486MSep 20, 2024 to Mar 28, 2025
- Related adviser · false to trueSep 20, 2024 to Mar 28, 2025
- Accounts · 95 to 381Nov 16, 2023 to Mar 28, 2024
- Advisory employees · 3 to 2Nov 16, 2023 to Mar 28, 2024
- Advisory activities · 1 to 2Nov 16, 2023 to Mar 28, 2024
- BD registered reps · 0 to 1Nov 16, 2023 to Mar 28, 2024
- Employees · 8 to 18Nov 16, 2023 to Mar 28, 2024
- Insurance-licensed employees · 2 to 1Nov 16, 2023 to Mar 28, 2024
- State-registered IARs · 2 to 1Nov 16, 2023 to Mar 28, 2024
- Discretionary RAUM · $71.7M to $165MNov 16, 2023 to Mar 28, 2024
- RAUM · $71.7M to $165MNov 16, 2023 to Mar 28, 2024
- BD registered reps · 2 to 0Oct 24, 2023 to Nov 16, 2023
- Accounts · 83 to 95Apr 5, 2022 to Mar 20, 2023
- Advisory employees · 2 to 3Apr 5, 2022 to Mar 20, 2023
- Employees · 7 to 8Apr 5, 2022 to Mar 20, 2023
- Other offices · 1 to 0Apr 5, 2022 to Mar 20, 2023
- Discretionary RAUM · $33.8M to $71.7MApr 5, 2022 to Mar 20, 2023
- RAUM · $33.8M to $71.7MApr 5, 2022 to Mar 20, 2023
- Accounts · 0 to 83Dec 14, 2020 to Mar 21, 2022
- Advisory employees · 1 to 2Dec 14, 2020 to Mar 21, 2022
- BD registered reps · 1 to 2Dec 14, 2020 to Mar 21, 2022
- Employees · 1 to 7Dec 14, 2020 to Mar 21, 2022
- Insurance-licensed employees · 0 to 2Dec 14, 2020 to Mar 21, 2022
- State-registered IARs · 1 to 2Dec 14, 2020 to Mar 21, 2022
Signals
5 dated events
- Seeds reported RAUM $1.0B, up 106% from $485.6M (2025-06-09 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Seeds reported RAUM $485.6M, up 194% from $165.5M (2024-09-20 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Ann Stephanie Lawrence (Chief Operating Officer) no longer on Schedule A of Seeds (listed 2024-09-12, absent 2024-09-20)Sep 20, 2024 · Control person left · inference
- Ann Stephanie Lawrence (Chief Operating Officer) appeared on Schedule A of SeedsApr 24, 2023 · Control person joined · fact
- S•••• I••••••• L•• filed its initial SEC registration (Form ADV)Apr 29, 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
- Firm profile
- linkedin.com/company/seeds-investorreportedpublic record, Form ADV, Sep 19, 2026
- Website
- useseeds.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (212) 287-7370reportedpublic record, Form ADV, Jul 9, 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
- $334Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026