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••••• A•••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Nov 19, 2025 · 3 filings
SEC status 120-day approval since May 20, 2026
RAUM
$1.2B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$1.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$0 as of May 19, 2026
Nov 19, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 19, 2026
Nov 19, 20250 then
Employees (5.A)2 as of May 19, 2026
Nov 19, 20252 then
Private funds: no history
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $615MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• K••••• E••••• · Director Of Operationscontrolsince 09/2025 · owns less than 5%
- V••••••••• D•••••••• H••••••• · Ceocontrolsince 03/2026 · owns less than 5%
- A•••••• S•••••••• H•••••••• · Chief Compliance Officersince 09/2025 · owns less than 5%
Entity owners
- R••• T••••••••• I••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Sep 17, 2026discretionary share of RAUM of 0% against a peer median of 99% (1362 comparable advisers, 0.0th percentile, 33.2 robust deviations)peers: independent wealth managers, $1B to $5B (1,362) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 0 to 2May 19, 2026 to Sep 17, 2026
- Advisory employees · 2 to 4May 19, 2026 to Sep 17, 2026
- Employees · 2 to 4May 19, 2026 to Sep 17, 2026
- Financial planning clients · 0 to 0May 19, 2026 to Sep 17, 2026
- HNW RAUM · unset to 1230400000.0May 19, 2026 to Sep 17, 2026
- Non-discretionary RAUM · $0 to $1.2BMay 19, 2026 to Sep 17, 2026
- RAUM · $0 to $1.2BMay 19, 2026 to Sep 17, 2026
- Related adviser · false to unsetMay 19, 2026 to Sep 17, 2026
- Related bank · false to unsetMay 19, 2026 to Sep 17, 2026
- Related broker-dealer · false to unsetMay 19, 2026 to Sep 17, 2026
- Related insurance company · false to unsetMay 19, 2026 to Sep 17, 2026
- Succession · false to unsetMay 19, 2026 to Sep 17, 2026
- Advisory employees · 1 to 2Nov 19, 2025 to May 19, 2026
- Advisory activities · 2 to 3Nov 19, 2025 to May 19, 2026
- HQ city · to NEW YORKNov 19, 2025 to May 19, 2026
- HQ state · to NYNov 19, 2025 to May 19, 2026
- Related adviser · true to falseNov 19, 2025 to May 19, 2026
Signals
1 dated events
- S••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02)Apr 1, 2026 · Left the SEC roster · 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
- Principal office phone
- 908-455-0600reportedpublic record, Form ADV, Sep 17, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026