DFX Intelligence
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Reading the graph
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S•••••• A••••••• S•••••••• I•••, CRD 289985
CARLSBAD, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| S•••• C••••••••• O•••• | n/a | Greenwich, CT | CARLSBAD, CA | 8 | 21 | 2 | yes |
| C••• H• L•••••• | n/a | CARLSBAD, CA | Greenwich, CT | Greenwhich, CT | 5 | 13 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| M•••• D••••••• M•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 11/2018 | Jan 2, 2019 | Mar 20, 2024 |
| O••••• S••••• C••••••••• | OWNER & PRESIDENT | E | yes | 06/2016 | Feb 28, 2018 | Mar 20, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| S•••••• A••••••• S•••••••• I••• | n/a | Former SEC adviser | $81.2M | N | no | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 1 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $81.2M | $73.3M | 10.8% | $117M | -11.6% | 4 | 5 | 1 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S•••••• F•••••••• • I•••••••• S••••••• | 4 | May 23, 2018 | Dec 12, 2025 | CARLSBAD, CA | Firm absorbed | Other | 100.0% |
| no |
| D•••••• M• M••• | n/a | CARLSBAD, CA | 0 | 10 | n/a | no |
| A••••• A•• F••••• | n/a | CARLSBAD, CA | 0 | 35 | 1 | no |
| $81.2M |
| $81.2M |
| 4 |
| 4 |
| 1 |
| n/a |
| n/a |
| 2024 | Feb 20, 2025 | $73.3M | $0 | 5 | 5 | 0 | n/a | n/a |
| 2023 | Mar 20, 2024 | $89.4M | $0 | 5 | 5 | 0 | n/a | n/a |
| 2022 | Mar 24, 2023 | $117M | $0 | 6 | 6 | 1 | n/a | n/a |
| 2021 | Feb 3, 2022 | $138M | $0 | 6 | 6 | 1 | n/a | n/a |
| 2020 | Feb 11, 2021 | $129M | $129M | 4 | 4 | 1 | n/a | n/a |
| 2019 | Feb 6, 2020 | $113M | $113M | 4 | 4 | 1 | n/a | n/a |
| 2018 | Mar 19, 2019 | $94.0M | $94.0M | 5 | 5 | 1 | n/a | n/a |