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•••• M••• A••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Jan 12, 2023 · 12 filings
SEC status approved since Feb 13, 2023
RAUM
$417M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$417M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$417M as of Apr 1, 2026
Mar 19, 2024$328M then
HNW client RAUM$417M as of Apr 1, 2026
Mar 19, 2024$328M then
State-registered IARs (5.B.3)4 as of Apr 1, 2026
Mar 19, 20244 then
Employees (5.A)4 as of Apr 1, 2026
Mar 19, 20244 then
Private funds: no history
RAUM +9.1% over the last fiscal yearIARs 3 to 4offices 3 to 4
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.6MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $68.6M, 60 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$417M100%
- Individual clients
- n/areported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 320reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $68.6M for 60 clientsreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• N•••• P•••••• | Tallahassee, Fl | Mar 29, 2023 | 22 y | 2 |
| N••••• J••••••• A•••• | Denver, Co | Apr 13, 2023 | 11 y | 1 |
| M•••••• J••••• C••••••••Certified Financial Planner | Tallahassee, Fl | Apr 16, 2026 | 11 y | 1 |
| E•••• L••••• D•••••Certified Financial Planner | Tarrytown, Ny | Jul 17, 2026 | 12 y | 4 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 25% of current headcount3 left over 36 months
Left, latest
- L••• H•••• Z•••• to P•• E•••••• L••Jun 1, 2026 · RIA to RIA
- E•••• L••••• D••••• to R•••• A•••••••• L••Dec 2, 2024 · RIA to RIA
- K•••• J• F••••••• to F••• E••••• P•••••••Nov 7, 2024 · RIA to RIA
Joined, latest
- E•••• L••••• D••••• from R•••• A•••••••• L••Jul 17, 2026 · RIA to RIA
- M•••••• J••••• C•••••••• from M••••• F••••••••• L••Apr 16, 2026 · RIA to RIA
- L••• H•••• Z•••• from W•••••••• P•••••••• L••Feb 6, 2025 · RIA to RIA
- E•••• L••••• D••••• from W••••••••• A•••••••Apr 17, 2023 · RIA to a newly registered adviser
- N••••• J••••••• A•••• from C••••••• A•••• M••••••••• L••Apr 13, 2023 · RIA to a newly registered adviser
- P••••• N•••• P•••••• from M•••••• I•••••••••Mar 29, 2023 · RIA to a newly registered adviser
- K•••• J• F••••••• from M•••••• I•••••••••Mar 29, 2023 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M•••••• I•••••••••Mar 31, 2023 · Little Silver, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• J•••••• R••••• · Ownercontrolsince 01/2023 · owns 25% to 50%
- P••••••• P•••••• N•••• · President/Chief Executive Officercontrolsince 01/2023 · owns 75% or more
- P••••••• C••••••••• G••••• · Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tallahassee, Fl · principal | 4 | 2 | 1 | ||
| Garden City, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Denver, CO1 employees
- New York, NY1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Apr 1, 2026HNW RAUM per HNW client of $11,578,867 against a peer median of $2,404,040 (4940 comparable advisers, 100.0th percentile, 6.2 robust deviations)peers: WEALTH_I•••••••••, $100M to $500M (4,940) · 100% percentile
What changed
consecutive filings, newest first
- Other offices · 3 to 4Mar 31, 2026 to Apr 1, 2026
- Accounts · 347 to 320Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 3 to 4Mar 28, 2025 to Mar 31, 2026
- HNW clients · 22 to 36Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $328M to $68.6MMar 28, 2025 to Mar 31, 2026
- Financial planning clients · 11-25 to 1-10Mar 28, 2025 to Mar 31, 2026
- HQ city · EWING to TALLAHASSEEMar 28, 2025 to Mar 31, 2026
- HQ state · NJ to FLMar 28, 2025 to Mar 31, 2026
- State-registered IARs · 3 to 4Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $382M to $417MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $382M to $417MMar 28, 2025 to Mar 31, 2026
- RAUM · $382M to $417MMar 28, 2025 to Mar 31, 2026
- Accounts · 226 to 347Nov 7, 2024 to Mar 28, 2025
- Advisory employees · 4 to 3Nov 7, 2024 to Mar 28, 2025
- HNW clients · 226 to 22Nov 7, 2024 to Mar 28, 2025
- Financial planning clients · 11-25 to 11-25Nov 7, 2024 to Mar 28, 2025
- State-registered IARs · 4 to 3Nov 7, 2024 to Mar 28, 2025
- Discretionary RAUM · $328M to $382MNov 7, 2024 to Mar 28, 2025
- HNW RAUM · $328M to $382MNov 7, 2024 to Mar 28, 2025
- RAUM · $328M to $382MNov 7, 2024 to Mar 28, 2025
- Other offices · 4 to 3Mar 20, 2024 to Nov 7, 2024
- Accounts · 230 to 226Jun 13, 2023 to Mar 19, 2024
- Corporate clients · 13.0 to unsetJun 13, 2023 to Mar 19, 2024
- HNW clients · 217 to 226Jun 13, 2023 to Mar 19, 2024
- Assets in custody · unset to 328014197.0Jun 13, 2023 to Mar 19, 2024
- Custody of client assets · false to trueJun 13, 2023 to Mar 19, 2024
- Discretionary RAUM · $311M to $328MJun 13, 2023 to Mar 19, 2024
- HNW RAUM · $290M to $328MJun 13, 2023 to Mar 19, 2024
- RAUM · $311M to $328MJun 13, 2023 to Mar 19, 2024
- Accounts · 0 to 230Apr 28, 2023 to Jun 13, 2023
- Advisory employees · 2 to 4Apr 28, 2023 to Jun 13, 2023
- Corporate clients · unset to 13.0Apr 28, 2023 to Jun 13, 2023
- HNW clients · unset to 217.0Apr 28, 2023 to Jun 13, 2023
- Employees · 3 to 4Apr 28, 2023 to Jun 13, 2023
- Financial planning clients · 0 to 11-25Apr 28, 2023 to Jun 13, 2023
- State-registered IARs · 2 to 4Apr 28, 2023 to Jun 13, 2023
- Discretionary RAUM · $0 to $311MApr 28, 2023 to Jun 13, 2023
- HNW RAUM · unset to 290211892.0Apr 28, 2023 to Jun 13, 2023
- RAUM · $0 to $311MApr 28, 2023 to Jun 13, 2023
- HQ city · unset to EWINGMar 28, 2023 to Apr 13, 2023
Signals
7 dated events
- L••• H•••• Z•••• left S•••• M••• A••••••• L•• for P•• E•••••• L•• (registered 2026-07-06)Jun 1, 2026 · Advisor changed firm · fact
- E•••• L••••• D••••• left S•••• M••• A••••••• L•• for R•••• A•••••••• L•• (registered 2025-02-09)Dec 2, 2024 · Advisor changed firm · fact
- K•••• J• F••••••• left S•••• M••• A••••••• L•• for F••• E••••• P••••••• (registered 2025-05-21)Nov 7, 2024 · Advisor changed firm · fact
- Leigh Stacy Sizemore (Chief Compliance Officer) no longer on Schedule A of S•••• M••• A••••••• L•• (listed 2023-04-28, absent 2023-06-13)Jun 13, 2023 · Control person left · inference
- George Christopher Plummer (Chief Compliance Officer) appeared on Schedule A of S•••• M••• A••••••• L••Jun 13, 2023 · Control person joined · fact
- 2 advisors left M•••••• I••••••••• (Little Silver, NJ) for S•••• M••• A••••••• L•• on the same dayMar 31, 2023 · Team lift-out · derived
- S•••• M••• A••••••• L•• filed its initial SEC registration (Form ADV)Jan 12, 2023 · 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
- info@sevenmileadvisory.comreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S••••M•••ADVISORY.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-365-5562reportedpublic record, Form ADV, Apr 1, 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
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026