DFX Intelligence

Data Factory

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

S3 PARTNERS, LLC.

CRD 137091

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d33adb50-5867-477b-51c0-e150331d774b

Data as of Mar 27, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2012 to Mar 27, 2012
1 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: $477MItem 5.F on the latest filing (2012-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $477M
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
Accounts: 29
SEC number: 801-64795
CRD: 137091
Filings on the tape: 1
First filed: Mar 27, 2012
Latest filed: Mar 27, 2012
Organised: Limited Liability Company, Delaware

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
KATZ, MICHAEL, STEVEN	CHIEF LEGAL OFFICER	B	yes	12/2005	Mar 27, 2012	Mar 27, 2012
SLOAN, ROBERT, SAMUEL	MANAGING MEMBER	D	yes	11/2004	Mar 27, 2012	Mar 27, 2012
SUGARMAN, HOWARD	CHIEF COMPLIANCE OFFICER	Na	yes	03/2010	Mar 27, 2012	Mar 27, 2012
KNIGHT CAPITAL GROUP, INC.	Partner	B	no	01/2005	Mar 27, 2012	Mar 27, 2012

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
S3 STRATEGIC ADVISORS, LLC	n/a	n/a	n/a	Y	yes	n/a

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 27, 2012	$477M	$477M	n/a	n/a	n/a	n/a	n/a

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
2011	$477M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (3)

← SLOAN, ROBERT, SAMUELOwnerMANAGING MEMBER, ownership code D, individual
Mar 27, 2012 to presentfactForm ADV
← SUGARMAN, HOWARDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← KATZ, MICHAEL, STEVENOwnerCHIEF LEGAL OFFICER, ownership code B, individual
Mar 27, 2012 to presentfactForm ADV

Owns (1)

← KNIGHT CAPITAL GROUP, INC.OwnerPARTNER, ownership code B, domestic entity
Mar 27, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d33adb50-5867-477b-51c0-e150331d774b
First observed: Mar 27, 2012
Last observed: Mar 27, 2012 176 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.

S3 PARTNERS, LLC.

CRD 137091

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d33adb50-5867-477b-51c0-e150331d774b

Data as of Mar 27, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:07 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KATZ, MICHAEL, STEVEN

CHIEF LEGAL OFFICER

yes

12/2005

Mar 27, 2012

SLOAN, ROBERT, SAMUEL

MANAGING MEMBER

yes

11/2004

Mar 27, 2012

SUGARMAN, HOWARD

CHIEF COMPLIANCE OFFICER

yes

03/2010

Mar 27, 2012

KNIGHT CAPITAL GROUP, INC.

Partner

01/2005

Mar 27, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

S3 STRATEGIC ADVISORS, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 27, 2012

$477M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$477M

n/a