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••••••••• B•••••••• C•••••• M•••••••••
Legal name S••••••••• B•••••••• C•••••• M••••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Jun 7, 2023 · 12 filings
SEC status approved since Jul 7, 2023
RAUM
$283M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$274M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$142M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$283M as of Mar 6, 2026
Jan 10, 2024$169M then
HNW client RAUM$271M as of Mar 6, 2026
Jan 10, 2024$163M then
State-registered IARs (5.B.3)2 as of Mar 6, 2026
Jan 10, 20242 then
Employees (5.A)3 as of Mar 6, 2026
Jan 10, 20243 then
Private funds: no history
RAUM +63% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 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
- $142MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.2MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +63%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +274%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$271M96%
- Pension and profit-sharing plans$5.0M1.8%
- Individuals$3.0M1.1%
- Investment companies$2.0M0.7%
- Charitable organizations$2.0M0.7%
- Individual clients
- 98reported
- HNW clients
- 33reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 128reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.01 institutional_share=0.02 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• M••••• B•••••••• | Armonk, Ny | Jul 7, 2023 | 30 y | 2 |
| I•••• W••••• S•••••••••Chartered Financial Analyst | Ardsley, Ny | Jul 18, 2023 | 35 y | 2 |
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
- I•••• W••••• S••••••••• from C•••• P•••• A••••••• L••Jul 18, 2023 · Other
- J•••••• M••••• B•••••••• from C•••• P•••• A••••••• L••Jul 7, 2023 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••• P•••• A••••••• L••Aug 10, 2023 · New York, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• J••••••• M••••• · Managing Member/Ccocontrolsince 05/2023 · owns 50% to 75%
- C•••••••• M•••••• · Caocontrolsince 05/2023 · owns less than 5%
- S••••••••• I••••• W••••• · Managing Membercontrolsince 05/2023 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Armonk, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 6, 2026HNW RAUM per HNW client of $8,212,121 against a peer median of $2,404,040 (4940 comparable advisers, 99.0th percentile, 3.9 robust deviations)peers: independent wealth managers, $100M to $500M (4,940) · 99% percentile
- RAUM up 50 %Change between filings · filing Mar 6, 2026RAUM (Item 5.F) moved from $173,400,000 to $283,000,000 (+63.0%) between the annual amendments of 2025-01-20 and 2026-03-06; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 77 to 128Jan 20, 2025 to Feb 9, 2026
- Charity clients · unset to 1.0Jan 20, 2025 to Feb 9, 2026
- HNW clients · 23 to 33Jan 20, 2025 to Feb 9, 2026
- Individual clients · 12 to 98Jan 20, 2025 to Feb 9, 2026
- Pension plan clients · unset to 2.0Jan 20, 2025 to Feb 9, 2026
- Discretionary RAUM · $173M to $283MJan 20, 2025 to Feb 9, 2026
- HNW RAUM · $171M to $271MJan 20, 2025 to Feb 9, 2026
- Individual RAUM · $2.9M to $3.0MJan 20, 2025 to Feb 9, 2026
- Pension RAUM · unset to 5000000.0Jan 20, 2025 to Feb 9, 2026
- RAUM · $173M to $283MJan 20, 2025 to Feb 9, 2026
- HNW clients · 25 to 23Nov 6, 2024 to Jan 20, 2025
- Individual clients · 6 to 12Nov 6, 2024 to Jan 20, 2025
- Financial planning clients · 0 to 0Nov 6, 2024 to Jan 20, 2025
- Discretionary RAUM · $169M to $173MNov 6, 2024 to Jan 20, 2025
- HNW RAUM · $163M to $171MNov 6, 2024 to Jan 20, 2025
- Individual RAUM · $1.9M to $2.9MNov 6, 2024 to Jan 20, 2025
- RAUM · $169M to $173MNov 6, 2024 to Jan 20, 2025
- Accounts · 72 to 77Dec 14, 2023 to Jan 10, 2024
- HNW clients · 26 to 25Dec 14, 2023 to Jan 10, 2024
- Individual clients · 5 to 6Dec 14, 2023 to Jan 10, 2024
- Employees · 2 to 3Dec 14, 2023 to Jan 10, 2024
- Discretionary RAUM · $161M to $169MDec 14, 2023 to Jan 10, 2024
- HNW RAUM · $160M to $163MDec 14, 2023 to Jan 10, 2024
- Individual RAUM · $683,401 to $1.9MDec 14, 2023 to Jan 10, 2024
- RAUM · $161M to $169MDec 14, 2023 to Jan 10, 2024
- Accounts · unset to 72.0Jul 17, 2023 to Aug 9, 2023
- HNW clients · unset to 26.0Jul 17, 2023 to Aug 9, 2023
- Individual clients · unset to 5.0Jul 17, 2023 to Aug 9, 2023
- Discretionary RAUM · unset to 160589775.0Jul 17, 2023 to Aug 9, 2023
- HNW RAUM · unset to 159906374.0Jul 17, 2023 to Aug 9, 2023
- Individual RAUM · unset to 683401.0Jul 17, 2023 to Aug 9, 2023
- Non-discretionary RAUM · unset to 0.0Jul 17, 2023 to Aug 9, 2023
- RAUM · unset to 160589775.0Jul 17, 2023 to Aug 9, 2023
Signals
4 dated events
- S••••••••• B•••••••• C•••••• M••••••••• reported RAUM $283.0M, up 63% from $173.4M (2025-01-20 to 2026-02-09)Feb 9, 2026 · RAUM change · derived
- Maritza Calderon (Cao) appeared on Schedule A of S••••••••• B•••••••• C•••••• M•••••••••Dec 14, 2023 · Control person joined · fact
- 2 advisors left C•••• P•••• A••••••• L•• (New York, NY) for S••••••••• B•••••••• C•••••• M••••••••• on the same dayAug 10, 2023 · Team lift-out · derived
- S••••••••• B•••••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Jun 7, 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
- Principal office phone
- 203-820-9107reportedpublic record, Form ADV, Mar 6, 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
- $142Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026