DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
S••••• S••••••••• G••••
Legal name S••••• S••••••••• I••
Latest filing May 4, 2018
First filing on the tape Mar 30, 2012 · 20 filings
RAUM
$3.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
62
55 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
$999M gross assets
History
20 filings and snapshots on the tape
RAUM$3.9B as of Mar 29, 2018
Mar 30, 2012$229M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 29, 2018
Mar 30, 20120 then
Employees (5.A)62 as of Mar 29, 2018
Apr 1, 201360 then
Private funds10 as of Mar 29, 2018
Apr 1, 20133 then
RAUM +24% over the last fiscal year+38% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 4, 2018; every figure names its basis
- RAUM per advisor
- $3.9BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $156MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 74%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 62.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $942M, 9 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$2.8B71%
- Pooled investment vehicles$999M26%
- Insurance companies$115M3.0%
- Pension and profit-sharing plans$12.6M0.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 22reported
- Charitable clients
- 39reported
- Accounts
- 25reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $942M for 9 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• S•••••••• S••••••••• L•• • L••••• D••••••••• S••••• | Other Private Fund | $24.2M | 11 | Mar 31, 2014 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• T••••••• A••••• · Principal, Chief Compliance Officer, Managing Directorcontrolsince 08/2000 · owns less than 5%
- H•••••• D•••••• J••••• · Principalcontrolsince 04/1995 · owns 10% to 25%
- H•••••• S••••••• P•••••• · Principal, Managing Director, Presidentcontrolsince 04/1995 · owns 25% to 50%
- M••••• C••••••••• A••• · Principal, Managing Director, Chief Investment Officercontrolsince 09/2014 · owns less than 5%
- P•••••••• T•••••• P•••••• · Principal, Managing Directorcontrolsince 04/1996 · owns 10% to 25%
Related persons
Schedule D 7.A
- S•• P•••••• S••••••••• L••banky
- S••••• P•••••• C••••••• L••pooled vehicle sponsory
- S••••• S•••••••• S•••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 28 to 25Aug 30, 2017 to Mar 29, 2018
- Advisory employees · 58 to 55Aug 30, 2017 to Mar 29, 2018
- Charity clients · unset to 39.0Aug 30, 2017 to Mar 29, 2018
- Pension plan clients · unset to 22.0Aug 30, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 10.0Aug 30, 2017 to Mar 29, 2018
- Assets in custody · $796M to $942MAug 30, 2017 to Mar 29, 2018
- Employees · 69 to 62Aug 30, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Aug 30, 2017 to Mar 29, 2018
- Discretionary RAUM · $3.1B to $3.9BAug 30, 2017 to Mar 29, 2018
- Pension RAUM · unset to 12555560.0Aug 30, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 999399470.0Aug 30, 2017 to Mar 29, 2018
- RAUM · $3.1B to $3.9BAug 30, 2017 to Mar 29, 2018
- Advisory employees · 51 to 58Nov 15, 2016 to Mar 27, 2017
- Assets in custody · $679M to $796MNov 15, 2016 to Mar 27, 2017
- Employees · 68 to 69Nov 15, 2016 to Mar 27, 2017
- Discretionary RAUM · $3.1B to $3.1BNov 15, 2016 to Mar 27, 2017
- RAUM · $3.1B to $3.1BNov 15, 2016 to Mar 27, 2017
- Private funds · 9 to 10Apr 18, 2016 to Nov 15, 2016
- Accounts · 19 to 28Nov 13, 2015 to Mar 28, 2016
- Advisory employees · 46 to 51Nov 13, 2015 to Mar 28, 2016
- Assets in custody · $684M to $679MNov 13, 2015 to Mar 28, 2016
- Employees · 66 to 68Nov 13, 2015 to Mar 28, 2016
- State-registered IARs · 0 to 1Nov 13, 2015 to Mar 28, 2016
- Private funds · 5 to 9Nov 13, 2015 to Mar 28, 2016
- Discretionary RAUM · $1.5B to $3.1BNov 13, 2015 to Mar 28, 2016
- RAUM · $1.5B to $3.1BNov 13, 2015 to Mar 28, 2016
- Related bank · false to trueNov 13, 2015 to Mar 28, 2016
- Advisory employees · 65 to 46May 15, 2015 to Nov 13, 2015
- Accounts · 17 to 19Nov 10, 2014 to Mar 31, 2015
- Advisory employees · 69 to 65Nov 10, 2014 to Mar 31, 2015
- Assets in custody · $555M to $684MNov 10, 2014 to Mar 31, 2015
- Employees · 70 to 66Nov 10, 2014 to Mar 31, 2015
- Discretionary RAUM · $1.3B to $1.5BNov 10, 2014 to Mar 31, 2015
- RAUM · $1.3B to $1.5BNov 10, 2014 to Mar 31, 2015
- Accounts · 8 to 17Jan 31, 2014 to Mar 31, 2014
- Advisory employees · 59 to 69Jan 31, 2014 to Mar 31, 2014
- Assets in custody · $248M to $555MJan 31, 2014 to Mar 31, 2014
- Employees · 60 to 70Jan 31, 2014 to Mar 31, 2014
- Private funds · 3 to 5Jan 31, 2014 to Mar 31, 2014
- Discretionary RAUM · $940M to $1.3BJan 31, 2014 to Mar 31, 2014
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- S••••• S••••••••• G•••• · Private Equityshared crd · organization
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026