DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

S••• G••••• M••••••••• L•

CRD 283493

WEST PALM BEACH, FL

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Search this name across graphsid dfx:ria:5d795d45-5382-1581-0137-cc663302b1aa

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 11
On other graphs: 0
Observed: May 23, 2016 to Mar 18, 2026
16 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: asset managerderivedprivate_client_share=0.0 fund_share=0.95 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $5.2B••• Locked
Discretionary RAUM: $5.2B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••• G••••• M••••• F••• L••	Hedge Fund	$3.7B	Apr 26, 2024	463	Sep 12, 2016	reported	021-266670

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J••••••• T•••• C•••••• O• D•••••••	TRUSTEE OF J•••• M• S••••• 2••• M••••••••• T••••	F	yes	04/2016	Apr 26, 2024	Apr 26, 2024
R•••••• K••••••• A••••	CHIEF OPERATING OFFICER	Na	yes	04/2024	Apr 26, 2024	Apr 26, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$5.2B	$5.1B	2.0%	$3.3B	16.8%	7	7	0	0

Relationships

Advises (1)

→ S••• G••••• M••••• F••• L••Private fundHedge Fund, IA
Sep 12, 2016 to presentfactForm ADV

Controls (4)

← S•••••• J••••• M••••••OwnerMANAGING MEMBER OF S••• G••••• M••••••••• G• L••, ownership code F, individual
May 23, 2016 to Apr 26, 2024factForm ADV
← R•••••• K••••••• A••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Apr 26, 2024 to Apr 26, 2024factForm ADV
← J••••••• T•••• C•••••• O• D•••••••Owner

Dated events

Occurred
Mar 27, 2025
Regulatory AUM changed
S••• G••••• M••••••••• L• reported RAUM $5.1B, up 33% from $3.8B (2024-04-26 to 2025-03-27)
Form ADVobserved 7 days ago
$1.3B
Occurred
Apr 26, 2024
Control person joined
Askin Kristen Rivers (Chief Operating Officer) appeared on Schedule A of S••• G••••• M••••••••• L•
Form ADVobserved 7 days ago
Occurred
Mar 18, 2024
Control person left
Katherine Harris (Chief Operating Officer) no longer on Schedule A of S••• G••••• M••••••••• L• (listed 2023-03-27, absent 2024-03-18)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5d795d45-5382-1581-0137-cc663302b1aa
First observed: May 23, 2016
Last observed: Mar 18, 2026 6 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.