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••••••••• W••••• M••••••••• L••
Legal name S• W••••• M••••••••• L••
Latest filing Feb 9, 2026
First filing on the tape Apr 8, 2025 · 5 filings
SEC status approved since May 1, 2025
RAUM
$496M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
95%
$469M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$248M
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
5 filings and snapshots on the tape
RAUM$496M as of Feb 9, 2026
Apr 8, 2025$0 then
HNW client RAUM$426M as of Feb 9, 2026
Sep 5, 2025$250M then
State-registered IARs (5.B.3)0 as of Feb 9, 2026
Apr 8, 20250 then
Employees (5.A)3 as of Feb 9, 2026
Apr 8, 20253 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 9, 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
- $248MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 130derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $747,538derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 5.5%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
- unknownderivedbetween 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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- 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
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$426M86%
- Individuals$43.3M8.7%
- Pension and profit-sharing plans$27.2M5.5%
- Individual clients
- 152reported
- HNW clients
- 107reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 664reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| D••••• S•••••••• | Huntington, Ny | Jun 18, 2025 | 34 y | 3 |
| K•••••• C•••••• A••• | Huntington, Ny | Jun 18, 2025 | 34 y | 3 |
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
- D••••• S•••••••• from O•••• W•••••• I•••Jun 18, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••••• C•••••• A••• from O•••• W•••••• I•••Jun 18, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••• K••••••• C•••••• · Ownercontrolsince 03/2025 · owns 50% to 75%
- S••••••••• D••••• · Ownercontrolsince 03/2025 · owns 50% to 75%
- G•••••••• L•••••• G••• · Chief Compliance Officersince 03/2025 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Huntington, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 534 to 664Dec 5, 2025 to Feb 9, 2026
- HNW clients · 23 to 107Dec 5, 2025 to Feb 9, 2026
- Individual clients · 190 to 152Dec 5, 2025 to Feb 9, 2026
- Pension plan clients · 7 to 8Dec 5, 2025 to Feb 9, 2026
- Discretionary RAUM · $298M to $469MDec 5, 2025 to Feb 9, 2026
- HNW RAUM · $250M to $426MDec 5, 2025 to Feb 9, 2026
- Individual RAUM · $48.2M to $43.3MDec 5, 2025 to Feb 9, 2026
- Non-discretionary RAUM · $22.9M to $27.2MDec 5, 2025 to Feb 9, 2026
- Pension RAUM · $22.9M to $27.2MDec 5, 2025 to Feb 9, 2026
- RAUM · $321M to $496MDec 5, 2025 to Feb 9, 2026
- Accounts · 0 to 534Jun 18, 2025 to Sep 5, 2025
- HNW clients · unset to 23.0Jun 18, 2025 to Sep 5, 2025
- Individual clients · unset to 190.0Jun 18, 2025 to Sep 5, 2025
- Pension plan clients · unset to 7.0Jun 18, 2025 to Sep 5, 2025
- Discretionary RAUM · $0 to $298MJun 18, 2025 to Sep 5, 2025
- HNW RAUM · unset to 249825330.0Jun 18, 2025 to Sep 5, 2025
- Individual RAUM · unset to 48193174.0Jun 18, 2025 to Sep 5, 2025
- Non-discretionary RAUM · $0 to $22.9MJun 18, 2025 to Sep 5, 2025
- Pension RAUM · unset to 22894326.0Jun 18, 2025 to Sep 5, 2025
- RAUM · $0 to $321MJun 18, 2025 to Sep 5, 2025
- Financial planning clients · unset to Apr 8, 2025 to Jun 18, 2025
Signals
1 dated events
- S••••••••• W••••• M••••••••• L•• reported RAUM $496.4M, up 55% from $320.9M (2025-12-05 to 2026-02-09)Feb 9, 2026 · RAUM change · derived
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
- 631-271-6160reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 631-271-6165reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-886-2662reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 631-271-6160reportedpublic record, Form ADV, Feb 9, 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
- $248Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026