DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

S• S•••••

S• S•••••, LLC, CRD 165199

BOCA RATON, FL

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Search this name across graphsid dfx:ria:9140b169-99c2-c32d-1986-80600d6a8273

Data as of Mar 16, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 1
On other graphs: 0
Observed: Aug 16, 2012 to Mar 16, 2015
9 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $13.6M••• Locked
Discretionary RAUM: $13.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••••• J••••••• R•••	DIRECTOR OF RESEARCH/PORTFOLIO MANAGER/MEMBER	Na	yes	08/2012	Aug 16, 2012	Mar 16, 2015
E••••••• T•••• L••••	CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER/HEAD TRADER/MEMBER	Na	yes	08/2012	Aug 16, 2012	Mar 16, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••••• G••••• A•••• M••••••••• L••	n/a	Former SEC adviser	$1.0B	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 16, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$13.6M	$9.0M	51.2%	n/a	n/a	11	10	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F•••• P••••••• W•••••• L••	7	Mar 29, 2016	Jul 3, 2019	BOCA RATON, FL	Firm absorbed	Other	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•••••••• G••••• A•••• M••••••••• L••	7	May 31, 2019	Aug 21, 2015	BOCA RATON, FL	Firm absorbed	Other	70.0%

Relationships

Affiliated with (1)

→ S•••••••• G••••• A•••• M••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (8)

← S•••••••• G••••• A•••• M••••••••• L••OwnerREGISTERED INVESTMENT ADVISOR-MANAGING MEMBER, ownership code E, domestic entity
Aug 16, 2012 to presentfactForm ADV
← S••••••••• R••••••• D••••OwnerPRESIDENT, ownership code D, individual
Aug 16, 2012 to presentfactForm ADV
← P•••••••• K••••••• A•Owner

Dated events

Occurred
Aug 16, 2012
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9140b169-99c2-c32d-1986-80600d6a8273
First observed: Aug 16, 2012
Last observed: Mar 16, 2015 140 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.