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••••• I••••••••• M••••••• A•• A•••••••• L••
Latest filing Aug 17, 2026
First filing on the tape Jun 8, 2020 · 11 filings
SEC status approved since Jul 13, 2020
RAUM
$101M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$101M as of Aug 17, 2026
Mar 31, 2021$84.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 17, 2026
Mar 31, 20210 then
Employees (5.A)4 as of Aug 17, 2026
Mar 31, 202122 then
Private funds4 as of Aug 17, 2026
Mar 31, 20212 then
RAUM +8.1% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 17, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $14.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$100M100%
- Charitable organizations$1,2250.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••• A••••• R••••• F••• B• •••• E••• C•• | Other Private Fund | $85.9M | 3 | Mar 30, 2022 |
| S••• O••••••• S•••• A•• F•••••••• A••••• S••••• D••• F••• I• B••• | Other Private Fund | $2.0M | 3 | Jun 8, 2020 |
| S••• A••••• D••••••••• F•••••• F••• B••• | Other Private Fund | $1.6M | 3 | Jun 8, 2020 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• S•••• A••• · Director, Ceo And Managing Partnercontrolsince 06/2016 · owns 25% to 50%
- R••••••••• M••••••• G• · Director And Managing Partnercontrolsince 06/2016 · owns 10% to 25%
- D••••••• S••••• · Chief Compliance Officersince 03/2022 · owns less than 5%
- K••••• C•••••••• · Directorsince 09/2020 · owns 5% to 10%
- R••••• J•••• · Directorsince 09/2020 · owns 5% to 10%
- R••••• S••• M••••• M•••••• · Directorsince 06/2016 · owns 5% to 10%
- Z••••••• M•••••• · Directorsince 06/2016 · owns 5% to 10%
Entity owners
- J••• F• A•• M••• A• G••••• F••••••••• · Directordirect · owns 5% to 10%
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
- HQ city · NEW YORK to Mar 30, 2026 to Jul 15, 2026
- HQ state · NY to Mar 30, 2026 to Jul 15, 2026
- Advisory employees · 3 to 4Apr 18, 2025 to Mar 30, 2026
- Employees · 3 to 4Apr 18, 2025 to Mar 30, 2026
- Discretionary RAUM · $34,000 to $1,225Apr 18, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $93.0M to $101MApr 18, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $91.7M to $100MApr 18, 2025 to Mar 30, 2026
- RAUM · $93.0M to $101MApr 18, 2025 to Mar 30, 2026
- Accounts · 4 to 7Mar 29, 2024 to Apr 18, 2025
- Advisory employees · 36 to 3Mar 29, 2024 to Apr 18, 2025
- Charity clients · unset to 1.0Mar 29, 2024 to Apr 18, 2025
- Corporate clients · unset to 1.0Mar 29, 2024 to Apr 18, 2025
- Pooled vehicle clients · 3 to 4Mar 29, 2024 to Apr 18, 2025
- Employees · 36 to 3Mar 29, 2024 to Apr 18, 2025
- Financial planning clients · unset to Mar 29, 2024 to Apr 18, 2025
- Private funds · 3 to 4Mar 29, 2024 to Apr 18, 2025
- Discretionary RAUM · $0 to $34,000Mar 29, 2024 to Apr 18, 2025
- Non-discretionary RAUM · $90.8M to $93.0MMar 29, 2024 to Apr 18, 2025
- Pooled vehicle RAUM · $89.5M to $91.7MMar 29, 2024 to Apr 18, 2025
- RAUM · $90.8M to $93.0MMar 29, 2024 to Apr 18, 2025
- Accounts · 3 to 4Mar 30, 2023 to Mar 29, 2024
- Advisory employees · 29 to 36Mar 30, 2023 to Mar 29, 2024
- Employees · 29 to 36Mar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $64.2M to $90.8MMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $64.2M to $89.5MMar 30, 2023 to Mar 29, 2024
- RAUM · $64.2M to $90.8MMar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $104M to $64.2MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $104M to $64.2MMar 30, 2022 to Mar 30, 2023
- RAUM · $104M to $64.2MMar 30, 2022 to Mar 30, 2023
- Accounts · 2 to 3Mar 31, 2021 to Mar 30, 2022
- Advisory employees · 22 to 29Mar 31, 2021 to Mar 30, 2022
- Pooled vehicle clients · 2 to 3Mar 31, 2021 to Mar 30, 2022
- Assets in custody · $84.1M to $0Mar 31, 2021 to Mar 30, 2022
- Custody of client assets · true to falseMar 31, 2021 to Mar 30, 2022
- Employees · 22 to 29Mar 31, 2021 to Mar 30, 2022
- Private funds · 2 to 3Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $84.1M to $0Mar 31, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $0 to $104MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $84.1M to $104MMar 31, 2021 to Mar 30, 2022
- RAUM · $84.1M to $104MMar 31, 2021 to Mar 30, 2022
Signals
1 dated events
- S••••• I••••••••• M••••••• A•• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 8, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• I••••••••• M••••••• a•• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/10592647/admin/dashboardreportedpublic record, Form ADV, Sep 18, 2026
- Website
- s••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 917 750-5588reportedpublic record, Form ADV, Aug 17, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026