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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

D•••• S• I••••••••• ••••••••• L•••

CRD 110426

S••••••••

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Search this name across graphsid dfx:ria:95933794-c73b-1b1a-7bd1-cc25d60accaf

Data as of Mar 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Feb 29, 2012 to Mar 30, 2020
30 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: $168MItem 5.F on the latest filing (2020-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $104M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
N••••• N••••	MANAGING DIRECTOR	Na	yes	05/2018	May 29, 2018	Mar 30, 2020
O••••• H••••••	NON-EXECUTIVE DIRECTOR	Na	yes	09/2018	Sep 28, 2018

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••••••• M••••• D• A•••• M••••••••• C•••••••••	n/a	Other adviser	$178B	Y	no	n/a
S••••••• M••••• D• A•••• M••••••••• •••• K•••• L••••••	n/a	Asset manager	$567M	N

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; showing 8 of 9

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
2019	$168M	$215M	-22.1%	$324M	-19.7%	8	9	0	1

Relationships

Affiliated with (6)

← S••• ASSET MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
→ S••• ASSET MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
→ S••••••• M••••• D• A•••• M••••••••• •••• K•••• L••••••Registered adviserother investment adviser, common control
factForm ADV
→ S••••••• M••••• D• A•••• M••••••••• C••••••• L••••••Registered adviser

Dated events

Occurred
Mar 11, 2019
Regulatory AUM changed
D•••• S• I••••••••• ••••••••• L••• reported RAUM $215.4M, down 33% from $321.0M (2018-10-22 to 2019-03-11)
Form ADVobserved 7 days ago
$-106M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:95933794-c73b-1b1a-7bd1-cc25d60accaf
First observed: Feb 29, 2012
Last observed: Mar 30, 2020 78 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.