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 Apr 1, 2026
First filing on the tape Dec 18, 2020 · 14 filings
SEC status approved since Jan 17, 2021
RAUM
$459M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
96%
$442M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$230M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$459M as of Apr 1, 2026
Mar 31, 2022$538M then
HNW client RAUM$396M as of Apr 1, 2026
Mar 31, 2022$228M then
State-registered IARs (5.B.3)2 as of Apr 1, 2026
Mar 31, 20222 then
Employees (5.A)4 as of Apr 1, 2026
Mar 31, 20223 then
Private funds: no history
RAUM +27% over the last fiscal year-4.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 1, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $230MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 113derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $659,053derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $258M, 294 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$396M86%
- Individuals$45.8M10.0%
- Banks and thrifts$15.9M3.5%
- Corporations and businesses$1.1M0.2%
- Individual clients
- 103reported
- HNW clients
- 122reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 697reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $258M for 294 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 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 |
|---|---|---|---|---|
| P••• B•••• S•••••Certified Financial Planner | Wyckoff, Nj | Feb 12, 2021 | 25 y | 2 |
| R••••• L•• C•••••• | Wyckoff, Nj | Feb 25, 2021 | 18 y | 1 |
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
- R••••• L•• C•••••• from W•••• F•••• A•••••••Feb 25, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- P••• B•••• S••••• from W•••• F•••• A•••••••Feb 12, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Feb 18, 2021 · Morristown, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• P•••• B•••• · Chief Executive Officer, Chief Compliance Officer & Sole Membercontrolsince 02/2021 · 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 |
|---|---|---|---|---|---|
| Wyckoff, Nj · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 648 to 697May 21, 2025 to Mar 31, 2026
- HNW clients · 104 to 122May 21, 2025 to Mar 31, 2026
- Individual clients · 102 to 103May 21, 2025 to Mar 31, 2026
- Assets in custody · $111M to $258MMay 21, 2025 to Mar 31, 2026
- Discretionary RAUM · $322M to $418MMay 21, 2025 to Mar 31, 2026
- HNW RAUM · $299M to $396MMay 21, 2025 to Mar 31, 2026
- Individual RAUM · $46.5M to $45.8MMay 21, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $39.2M to $41.6MMay 21, 2025 to Mar 31, 2026
- RAUM · $361M to $459MMay 21, 2025 to Mar 31, 2026
- Advisory activities · 4 to 5Mar 27, 2025 to May 21, 2025
- Financial planning clients · 51-100 to 51-100Mar 27, 2025 to May 21, 2025
- Accounts · 618 to 648Nov 19, 2024 to Mar 27, 2025
- HNW clients · 91 to 104Nov 19, 2024 to Mar 27, 2025
- Pension plan clients · 28.0 to unsetNov 19, 2024 to Mar 27, 2025
- Assets in custody · $141M to $111MNov 19, 2024 to Mar 27, 2025
- Financial planning clients · 26-50 to 51-100Nov 19, 2024 to Mar 27, 2025
- Discretionary RAUM · $297M to $322MNov 19, 2024 to Mar 27, 2025
- HNW RAUM · $242M to $299MNov 19, 2024 to Mar 27, 2025
- Individual RAUM · $50.4M to $46.5MNov 19, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $343M to $39.2MNov 19, 2024 to Mar 27, 2025
- Pension RAUM · 315400449.0 to unsetNov 19, 2024 to Mar 27, 2025
- RAUM · $640M to $361MNov 19, 2024 to Mar 27, 2025
- Accounts · 633 to 618Mar 10, 2023 to Mar 28, 2024
- HNW clients · 82 to 91Mar 10, 2023 to Mar 28, 2024
- Individual clients · 105 to 102Mar 10, 2023 to Mar 28, 2024
- Pension plan clients · 24 to 28Mar 10, 2023 to Mar 28, 2024
- Assets in custody · $142M to $141MMar 10, 2023 to Mar 28, 2024
- Discretionary RAUM · $257M to $297MMar 10, 2023 to Mar 28, 2024
- HNW RAUM · $225M to $242MMar 10, 2023 to Mar 28, 2024
- Individual RAUM · $29.8M to $50.4MMar 10, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $275M to $343MMar 10, 2023 to Mar 28, 2024
- Pension RAUM · $250M to $315MMar 10, 2023 to Mar 28, 2024
- RAUM · $532M to $640MMar 10, 2023 to Mar 28, 2024
- Accounts · 634 to 633Mar 31, 2022 to Mar 10, 2023
- Advisory employees · 2 to 3Mar 31, 2022 to Mar 10, 2023
- HNW clients · 83 to 82Mar 31, 2022 to Mar 10, 2023
- Individual clients · 74 to 105Mar 31, 2022 to Mar 10, 2023
- Assets in custody · $175M to $142MMar 31, 2022 to Mar 10, 2023
- Employees · 3 to 4Mar 31, 2022 to Mar 10, 2023
- Financial planning clients · 51-100 to 26-50Mar 31, 2022 to Mar 10, 2023
Signals
4 dated events
- S•••• C••••••• L•• reported RAUM $361.4M, down 44% from $640.5M (2024-11-19 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Adam Daniel Bernstein (Chief Compliance Officer) no longer on Schedule A of S•••• C••••••• L•• (listed 2020-12-18, absent 2021-02-12)Feb 12, 2021 · Control person left · inference
- Brian Paul Saxton (Chief Executive Officer, Chief Compliance Officer & Sole Member) appeared on Schedule A of S•••• C••••••• L••Feb 12, 2021 · Control person joined · fact
- N••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 18, 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 phone
- 201-215-0194reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 201-215-0199reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/saiph-capital/aboutreportedpublic record, Form ADV, Sep 19, 2026
- Website
- saiph.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 201-215-0199reportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- saiph.com/contact-usreportedpublished 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
- $230Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026