DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

S••• G••••• M•••••••••

S••• G••••• M••••••••• LLC, CRD 173621

HUMACAO, PR

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Search this name across graphsid dfx:ria:ca1f935f-838f-6fe1-39f7-492e891ac1ab

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 3
On other graphs: 0
Observed: Oct 29, 2014 to Mar 18, 2026
21 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: other adviserderivedprivate_client_share=0.16 fund_share=0.84 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.4B••• Locked
Discretionary RAUM: $2.4B
Private client RAUM: $392Mderived••• Locked
Private client share: 16%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••• D•••••• R••• D••••••••• F•••• L•	Hedge Fund	$26.6M	Oct 13, 2022	5	Mar 21, 2018	dropped	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••• R••••••• W••••••	CEO, MANAGING MEMBER	D	yes	10/2014	Oct 29, 2014	Mar 22, 2024
A•••••••• B••••••• O•••	CHIEF COMPLIANCE OFFICER	Na	no	07/2018	Jul 18, 2018	Mar 22, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••• G••••• I••••••••• L••	n/a	Other adviser	$2.4B	Y	yes	n/a
S••• C•••••• M••••••••• L••	n/a	Asset manager	$1.3B	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	$2.4B	$2.4B	-0.8%	$2.2B	2.8%	3	3	0	0

Relationships

Affiliated with (6)

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

Dated events

Occurred
Mar 24, 2021
Regulatory AUM changed
S••• G••••• M••••••••• reported RAUM $2.2B, down 27% from $3.1B (2020-09-29 to 2021-03-24)
Form ADVobserved 7 days ago
$-828M
Occurred
Mar 21, 2018
Regulatory AUM changed
S••• G••••• M••••••••• reported RAUM $5.0B, up 39% from $3.6B (2017-03-24 to 2018-03-21)
Form ADVobserved 7 days ago
$1.4B
Occurred
Oct 29, 2014
First Form ADV filing
S••• G••••• M••••••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ca1f935f-838f-6fe1-39f7-492e891ac1ab
First observed: Oct 29, 2014
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.