DFX Intelligence

S••• A•••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

S••• A•••• M••••••••• I•••

CRD 109691

NEW YORK, NY

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Search this name across graphsid dfx:ria:1c240136-9e50-2eed-ee1a-f7a3a890e66f

Data as of May 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Mar 8, 2012 to May 8, 2026
29 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 6
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••• M••••• D• A•••• M••••••••• C••••••• L•••••	Shareholder	E	yes	04/2019	Apr 11, 2019	May 14, 2019
S••••••• M••••• F•••••••• G••••• I••	INDIRECT SHAREHOLDER	D	yes	04/2019	Mar 8, 2012	May 14, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•••• S• I••••••••• L••	n/a	Former SEC adviser	$48B	Y	no	n/a
D•••• S• I••••••••• ••• L••	n/a	Asset manager	$567M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 22, 2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$0	$249M	-100.0%	$191M	n/a	6	5	0	n/a

Relationships

Affiliated with (9)

← S••••••• M••••• DS ASSET MANAGEMENT COMPANY, LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ D•••• S• I••••••••• L••Registered adviserother investment adviser, control
factForm ADV
→ D•••• S• I••••••••• ••••••••• L•••Registered adviserother investment adviser, common control
factForm ADV
→ S••••••• M••••• DS ASSET MANAGEMENT (HONG KONG) LIMITEDRegistered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1c240136-9e50-2eed-ee1a-f7a3a890e66f
First observed: Mar 8, 2012
Last observed: May 8, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.