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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••••••••• A••••••• A••••••• L••
Latest filing Apr 16, 2026
First filing on the tape Dec 4, 2020 · 28 filings
SEC status approved since Jan 4, 2021
RAUM
$235M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
98%
$229M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$26.1M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$235M as of Apr 16, 2026
Mar 28, 2022$178M then
HNW client RAUM$146M as of Apr 16, 2026
Mar 28, 2022$94.3M then
State-registered IARs (5.B.3)8 as of Apr 16, 2026
Mar 28, 20225 then
Employees (5.A)8 as of Apr 16, 2026
Mar 28, 20225 then
Private funds: no history
RAUM +13% over the last fiscal year+12% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Apr 16, 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
- $26.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $217,446derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 1.3derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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$146M62%
- Individuals$83.0M35%
- Charitable organizations$4.1M1.8%
- Pension and profit-sharing plans$1.5M0.6%
- Individual clients
- 465reported
- HNW clients
- 94reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,080reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• L••• S••• | Tulsa, Ok | Jan 4, 2021 | 40 y | 5 |
| K••••• A••• S•••••••••Certified Financial Planner | Tulsa, Ok | Jan 5, 2021 | 21 y | 4 |
| L•••• W•••••• I••••• | Tulsa, Ok | Apr 8, 2021 | 13 y | 2 |
| H••••• J••••• M••••Certified Financial Planner | Saratoga Springs, Ny | Apr 15, 2021 | 39 y | 1 |
| P••••• S•••••• B•••••Certified Financial Planner | Tulsa, Ok | Apr 16, 2021 | 45 y | 3 |
| J•••• E•••• B••••Certified Financial Planner | Phoenix, Az | Nov 10, 2021 | 36 y | 1 |
| E•••••••• S••••••• L•••• | Saratoga Springs, Ny | Feb 12, 2025 | 16 y | 0 |
| C•••••• P•••• | Los Angeles, Ca | Dec 15, 2025 | 10 y | 0 |
| I•• B•••••• M•••••Certified Financial Planner | San Francisco, Ca | Jun 7, 2026 | 22 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- I•• B•••••• M••••• from I••••• I••••••••Jun 7, 2026 · RIA to RIA
- J•••• E•••• B•••• from F•••• A••••••••• F•••••••• N•••••• L••Nov 10, 2021 · RIA to RIA
- P••••• S•••••• B••••• from P•••••••• R•••••••• A•••••• G••••• I•••Apr 16, 2021 · RIA to a newly registered adviser
- H••••• J••••• M•••• from P•••••••• R•••••••• A•••••• G••••• I•••Apr 15, 2021 · RIA to a newly registered adviser
- L•••• W•••••• I••••• from F•••• A••••••••• F•••••••• N•••••• L••Apr 8, 2021 · RIA to a newly registered adviser
- K••••• A••• S••••••••• from P•••••••• R•••••••• A•••••• G••••• I•••Jan 5, 2021 · RIA to a newly registered adviser
- J•••• L••• S••• from S••• A••••••• L••Jan 4, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• P•••••• S•••••• · Membercontrolsince 04/2021 · owns 10% to 25%
- B••••• J••••• E•••• · Membercontrolsince 04/2021 · owns 10% to 25%
- I•••••• L••••• W•••••• · Membercontrolsince 04/2021 · owns 10% to 25%
- M••••• H•••••• J••••• · Membercontrolsince 04/2021 · owns 10% to 25%
- S•••• J••••• L••• · Member And Chief Compliance Officercontrolsince 11/2020 · owns 10% to 25%
- S••••••••• K•••••• A••• · Membercontrolsince 01/2021 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Tulsa, Ok · principal | 9 | 2 | 0 | ||
| Saratoga Springs, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Saratoga Springs, NY1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,064 to 1,080Aug 20, 2025 to Feb 23, 2026
- Advisory employees · 7 to 8Aug 20, 2025 to Feb 23, 2026
- HNW clients · 87 to 94Aug 20, 2025 to Feb 23, 2026
- Individual clients · 459 to 465Aug 20, 2025 to Feb 23, 2026
- State-registered IARs · 7 to 8Aug 20, 2025 to Feb 23, 2026
- Discretionary RAUM · $200M to $223MAug 20, 2025 to Feb 23, 2026
- HNW RAUM · $129M to $146MAug 20, 2025 to Feb 23, 2026
- Individual RAUM · $73.2M to $83.0MAug 20, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $6.9M to $11.5MAug 20, 2025 to Feb 23, 2026
- RAUM · $207M to $235MAug 20, 2025 to Feb 23, 2026
- Accounts · 771 to 1,064Jun 5, 2024 to Mar 25, 2025
- Advisory employees · 6 to 7Jun 5, 2024 to Mar 25, 2025
- HNW clients · 53 to 87Jun 5, 2024 to Mar 25, 2025
- Individual clients · 486 to 459Jun 5, 2024 to Mar 25, 2025
- Employees · 9 to 8Jun 5, 2024 to Mar 25, 2025
- Financial planning clients · 101-250 to 101-250Jun 5, 2024 to Mar 25, 2025
- State-registered IARs · 6 to 7Jun 5, 2024 to Mar 25, 2025
- Discretionary RAUM · $178M to $200MJun 5, 2024 to Mar 25, 2025
- HNW RAUM · $85.6M to $129MJun 5, 2024 to Mar 25, 2025
- Individual RAUM · $96.4M to $73.2MJun 5, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $9.1M to $6.9MJun 5, 2024 to Mar 25, 2025
- Pension RAUM · unset to 1505984.0Jun 5, 2024 to Mar 25, 2025
- RAUM · $187M to $207MJun 5, 2024 to Mar 25, 2025
- Accounts · 1,092 to 771Jul 19, 2023 to Mar 25, 2024
- Advisory employees · 5 to 6Jul 19, 2023 to Mar 25, 2024
- Charity clients · 6.0 to unsetJul 19, 2023 to Mar 25, 2024
- HNW clients · 86 to 53Jul 19, 2023 to Mar 25, 2024
- Individual clients · 374 to 486Jul 19, 2023 to Mar 25, 2024
- Employees · 5 to 9Jul 19, 2023 to Mar 25, 2024
- Insurance-licensed employees · 1 to 0Jul 19, 2023 to Mar 25, 2024
- Financial planning clients · 51-100 to 101-250Jul 19, 2023 to Mar 25, 2024
- State-registered IARs · 5 to 6Jul 19, 2023 to Mar 25, 2024
- Discretionary RAUM · $166M to $178MJul 19, 2023 to Mar 25, 2024
- HNW RAUM · $105M to $85.6MJul 19, 2023 to Mar 25, 2024
- Individual RAUM · $60.0M to $96.4MJul 19, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $2.4M to $9.1MJul 19, 2023 to Mar 25, 2024
- Pension RAUM · 1200000.0 to unsetJul 19, 2023 to Mar 25, 2024
- RAUM · $168M to $187MJul 19, 2023 to Mar 25, 2024
- Accounts · 953 to 1,092Nov 11, 2022 to Mar 29, 2023
- Charity clients · unset to 6.0Nov 11, 2022 to Mar 29, 2023
Signals
7 dated events
- Joseph Harold Moran (Investment Adviser Representative) appeared on Schedule A of S••••••••• A••••••• A••••••• L••Jul 19, 2023 · Control person joined · fact
- Ellen Janet Bryan (Investment Adviser Representative) appeared on Schedule A of S••••••••• A••••••• A••••••• L••Jul 19, 2023 · Control person joined · fact
- Anne Krista Strohoffer (Investment Adviser Representative) appeared on Schedule A of S••••••••• A••••••• A••••••• L••Jul 19, 2023 · Control person joined · fact
- Whitney Laura Isanuk (Investment Adviser Representative) appeared on Schedule A of S••••••••• A••••••• A••••••• L••Jul 19, 2023 · Control person joined · fact
- Stamper Pamela Brandt (Investment Adviser Representative) appeared on Schedule A of S••••••••• A••••••• A••••••• L••Jul 19, 2023 · Control person joined · fact
- S••••••••• A••••••• A••••••• L•• reported 5 offices beyond its principal office, up from 0 (2021-04-14 to 2021-05-05)May 5, 2021 · Office count change · derived
- S••••••••• A••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Dec 4, 2020 · ria f•••• adv filing · 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
- harry@sustainableadvisorsalliance.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- pam@sustainableadvisorsalliance.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 518-450-1755reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-413-6025reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 336-922-5891reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- sustainableadvisorsalliance.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 918-408-7981reportedpublic record, Form ADV, Apr 16, 2026
- Contact form
- sustainableadvisorsalliance.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $26.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026