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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

S•••• B•••••• A••••••• L••

CRD 158722

NEW YORK, NY

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Search this name across graphsid dfx:ria:46339df8-90e6-b128-30b8-c15e3482cc8e

Data as of Jun 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 3
On other graphs: 3
Observed: Nov 29, 2011 to Jun 23, 2026
30 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

S•••• B•••••• A••••••• L••

Venture manager · shared crd

Independent Sponsorsidentity

S•••• B•••••• A••••••• L••

Capital provider to sponsors · shared crd

Private Equityidentity

S•••• B•••••• A••••••• L••

Private equity manager · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.54 fund_share=0.42 institutional_share=0.04 related_bd=false related_bank=true bd_reps=0.0 bank_owner=false
Regulatory AUM: $4.6BItem 5.F on the latest filing (2026-06-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.1B
Private client RAUM: $2.5BderivedItem 5.D individuals plus high net worth individuals
Private client share: 54%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••• B•••••• M••••••••• F••• L•	Hedge Fund	$345M	Jun 23, 2026	113	Feb 17, 2012	reported	021-173250
S••• M••••••••• F•••• L••• • S•••• B•••••• M••••••••• S•••••	Hedge Fund	$116M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• K••••	CHIEF COMPLIANCE OFFICER	Na	yes	05/2012	Jun 23, 2026	Jun 23, 2026
C••••• L•••••••• W••••••	CHIEF EXECUTIVE OFFICER	Na	yes	07/2011	Jun 23, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••• B•••••• G• I• L••	n/a	n/a	n/a	N	yes	n/a
S•••• B•••••• G• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$4.6B	$4.6B	-0.0%	$4.8B	-1.1%	23	23	0	0

Relationships

Advises (21)

→ S•••• B•••••• L••••••••• E••••• F••• L•Private fundHedge Fund, IA
Feb 17, 2012 to presentfactForm ADV
→ S•••• B•••••• S•••••••• E••••• F••• L•Private fundHedge Fund, IA
Feb 17, 2012 to presentfactForm ADV
→ S•••• B•••••• M••••••••• F••• L•Private fundHedge Fund, IA
Feb 17, 2012 to presentfactForm ADV
→ S• D•••••• A••••• F••• L•

Dated events

Occurred
Mar 28, 2023
Regulatory AUM changed
S•••• B•••••• A••••••• L•• reported RAUM $4.8B, down 27% from $6.6B (2022-09-07 to 2023-03-28)
Form ADVobserved 6 days ago
$-1.8B
Occurred
Mar 28, 2022
Control person joined
C Joseph Jablonski (Chief Financial Officer) appeared on Schedule A of S•••• B•••••• A••••••• L••
Form ADVobserved 6 days ago
Occurred
Mar 23, 2021
Regulatory AUM changed
S•••• B•••••• A••••••• L•• reported RAUM $6.4B, up 25% from $5.1B (2020-07-22 to 2021-03-23)
Form ADVobserved 6 days ago
$1.3B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:46339df8-90e6-b128-30b8-c15e3482cc8e
First observed: Nov 29, 2011
Last observed: Jun 23, 2026 3 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.

2025	Mar 26, 2026	$4.6B	$2.1B	23	10	0	16	n/a
2024	Mar 25, 2025	$4.6B	$1.9B	23	10	0	15	n/a
2023	Mar 25, 2024	$4.6B	$1.9B	23	10	0	16	$1.1B
2022	Mar 28, 2023	$4.8B	$2.2B	25	10	0	12	$1.3B
2021	Mar 28, 2022	$6.6B	$2.2B	27	10	0	11	$1.5B
2020	Mar 23, 2021	$6.4B	$2.7B	25	11	0	9	$1.5B
2019	Mar 27, 2020	$5.1B	$2.4B	23	11	0	9	$1.2B
2018	Mar 19, 2019	$5.1B	$2.2B	23	10	0	9	$1.1B
2017	Mar 20, 2018	$4.9B	$2.3B	22	10	0	9	$1.1B
2016	Mar 21, 2017	$4.3B	$1.9B	22	10	n/a	8	$963M
2015	Mar 22, 2016	$3.9B	$1.8B	22	10	n/a	8	$1.0B
2014	Mar 20, 2015	$4.0B	$1.9B	20	10	n/a	8	$932M
2013	Mar 24, 2014	$3.6B	$1.5B	18	10	n/a	7	$649M
2012	Mar 28, 2013	$2.4B	$577M	16	8	n/a	6	$346M
2011	Mar 30, 2012	$1.9B	$470M	n/a	n/a	n/a	8	$470M