DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

S•••••••• A•••• M••••••••• L••

CRD 118968

NEW YORK, NY

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Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 2
On other graphs: 0
Observed: Mar 30, 2012 to Mar 18, 2026
37 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: independent wealth managerderivedprivate_client_share=0.81 fund_share=0.01 institutional_share=0.01 related_bd=false related_bank=true bd_reps=0.0 bank_owner=false
Regulatory AUM: $172M••• Locked
Discretionary RAUM: $172M
Private client RAUM: $139Mderived••• Locked
Private client share: 81%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••••• P••••••• M••••• F••• L•	Hedge Fund	$28.4M	May 19, 2023	10	Mar 28, 2016	reported	021-257902
A•• F••• L•	Hedge Fund	$23.0M	Oct 14, 2015

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••• S•••••• L•••	MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER/CHIEF FINANCIAL OFFICER	Na	yes	01/2002	Mar 30, 2012	Jun 14, 2024
G••••••••• D••••	Trustee	F	yes	07/2009	Mar 30, 2012	Jun 14, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••••• I•••• A•••• M••••••••• L•••	n/a	Former SEC adviser	$247M	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

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	$172M	$177M	-2.5%	$134M	8.7%	5	5	0	0

Relationships

Affiliated with (2)

→ S•••••••• I•••• A•••• M••••••••• L•••Registered adviserother investment adviser, bank, control, common control
factForm ADV
← S•••••••• I•••• A•••• M••••••••• L•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV

Advises (5)

→ S•••••••• P••••••• M••••• F••• L•Private fundHedge Fund, IA
Mar 28, 2016 to presentfactForm ADV
→

Dated events

Order

Occurred
30 Jun 2020
Regulatory AUM changed
••• Locked
Form ADV
down $282M
Occurred
26 Mar 2019
Regulatory AUM changed
••• Locked
Form ADV
down $159M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 28, 2016	$860M	$860M	23	9	n/a	3	$98.8M
2014	Mar 30, 2015	$1.3B	$1.3B	28	10	n/a	4	$111M
2013	Mar 28, 2014	$2.0B	$2.0B	29	10	n/a	4	$78.0M
2012	Mar 28, 2013	$1.8B	$1.8B	32	10	n/a	4	$63.6M
2011	Mar 30, 2012	$2.0B	$2.0B	n/a	n/a	n/a	3	$39.3M