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.
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Former SEC-registered adviser
S••••••••• I••••••••• P•••••••
Legal name S••••••••• I••••••••• P••••••• L••
Latest filing Apr 16, 2026
First filing on the tape Mar 21, 2012 · 30 filings
SEC status approved since Aug 10, 1999
RAUM
$152M
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
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$152M as of Apr 16, 2026
Mar 21, 2012$564M then
HNW client RAUM$0 as of Apr 16, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Apr 16, 2026
Mar 22, 20131 then
Employees (5.A)10 as of Apr 16, 2026
Mar 22, 201316 then
Private funds: no history
RAUM -47% over the last fiscal year-6.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 16, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $30.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -47%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 5.G
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$89.7M59%
- Insurance companies$62.6M41%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• P•••••• H•••••• · Presidentcontrolsince 10/1999 · owns 5% to 10%
- C•••••••• D•••••• R•••••• · Elected Managercontrolsince 05/2009 · owns less than 5%
- C•••••• K•••••••• A•• · Chief Compliance Officercontrolsince 02/2016 · owns less than 5%
- I•••••••• O•••••• O•••••• · Elected Managercontrolsince 05/2009 · owns less than 5%
- L••••• W••••• O• · Coo And Cfocontrolsince 12/2013 · owns less than 5%
- L••••• B••••••• P•••• · Elected Managercontrolsince 05/2009 · owns less than 5%
- L•••• W••••••• I•••• · Elected Managercontrolsince 05/2009 · owns less than 5%
- S••••••• S•••••• L•••• · Chief Executive Officercontrolsince 05/2009 · owns less than 5%
- S•••••• J•••••• E••••• · Co-Chief Investment Officercontrolsince 10/1999 · owns 5% to 10%
- C•••••••• D•••••• R•••••• · Elected Managercontrolsince 05/2009 · owns F of B•••••••• C••••••• L••
- G••••• C••••••••• C•••••• · Elected Managercontrolsince 05/2020 · owns 25% to 50% of F•••••••• A••••••••• L••
- I•••••••• O•••••• O•••••• · Elected Managercontrolsince 05/2009 · owns F of B•••••••• C••••••• L••
- L••••• W••••• O• · Elected Managercontrolsince 05/2009 · owns F of B•••••••• C••••••• L••
- L••••• B••••••• P•••• · Elected Managercontrolsince 05/2009 · owns F of B•••••••• C••••••• L••
- L•••• W••••••• I•••• · Elected Managercontrolsince 05/2009 · owns F of B•••••••• C••••••• L••
- S••••••• S•••••• L•••• · Elected Managercontrolsince 05/2009 · owns 50% to 75% of B•••••••• Capital LLC
Entity owners
- B•••••••• C••••••• L•• · Memberdirect · owns 50% to 75%
- F•••••••• A••••••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- F•••••••• A••••••••• L••investment advisernRAUM $679M
- S••••••••• P•• A•••••••• L••investment advisernRAUM $774M
Advisers that list S••••••••• I••••••••• P••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 11 to 5Mar 26, 2025 to Mar 24, 2026
- Advisory activities · 2 to 1Mar 26, 2025 to Mar 24, 2026
- Pension plan clients · 2 to 0Mar 26, 2025 to Mar 24, 2026
- Pooled vehicle clients · 4 to 0Mar 26, 2025 to Mar 24, 2026
- Discretionary RAUM · $286M to $152MMar 26, 2025 to Mar 24, 2026
- Pension RAUM · $150M to $0Mar 26, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $6.7M to $0Mar 26, 2025 to Mar 24, 2026
- RAUM · $286M to $152MMar 26, 2025 to Mar 24, 2026
- Accounts · 8 to 11Mar 25, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 26, 2025
- Discretionary RAUM · $243M to $286MMar 25, 2024 to Mar 26, 2025
- Pension RAUM · $126M to $150MMar 25, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $6.5M to $6.7MMar 25, 2024 to Mar 26, 2025
- RAUM · $243M to $286MMar 25, 2024 to Mar 26, 2025
- Discretionary RAUM · $188M to $243MMar 29, 2023 to Mar 25, 2024
- Pension RAUM · $87.5M to $126MMar 29, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $5.9M to $6.5MMar 29, 2023 to Mar 25, 2024
- RAUM · $188M to $243MMar 29, 2023 to Mar 25, 2024
- Advisory activities · 3 to 2Mar 28, 2022 to Mar 29, 2023
- Discretionary RAUM · $225M to $188MMar 28, 2022 to Mar 29, 2023
- Pension RAUM · $104M to $87.5MMar 28, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $8.2M to $5.9MMar 28, 2022 to Mar 29, 2023
- RAUM · $225M to $188MMar 28, 2022 to Mar 29, 2023
- Employees · 11 to 10Oct 4, 2021 to Mar 28, 2022
- Discretionary RAUM · $179M to $225MOct 4, 2021 to Mar 28, 2022
- Pension RAUM · $79.4M to $104MOct 4, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $7.6M to $8.2MOct 4, 2021 to Mar 28, 2022
- RAUM · $179M to $225MOct 4, 2021 to Mar 28, 2022
- Employees · 10 to 11Mar 30, 2021 to Oct 4, 2021
- Accounts · 11 to 8Jun 1, 2020 to Mar 30, 2021
- Pension plan clients · 3 to 2Jun 1, 2020 to Mar 30, 2021
- Other offices · 1 to 0Jun 1, 2020 to Mar 30, 2021
- Discretionary RAUM · $302M to $179MJun 1, 2020 to Mar 30, 2021
- Pension RAUM · $117M to $79.4MJun 1, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $6.4M to $7.6MJun 1, 2020 to Mar 30, 2021
- RAUM · $302M to $179MJun 1, 2020 to Mar 30, 2021
- Accounts · 15 to 11Mar 27, 2019 to Mar 29, 2020
- Pension plan clients · 7 to 3Mar 27, 2019 to Mar 29, 2020
- Discretionary RAUM · $332M to $302MMar 27, 2019 to Mar 29, 2020
- Pension RAUM · $189M to $117MMar 27, 2019 to Mar 29, 2020
Signals
5 dated events
- S••••••••• I••••••••• P••••••• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $152.3M)Sep 1, 2026 · Left the SEC roster · derived
- S••••••••• I••••••••• P••••••• reported RAUM $152.3M, down 47% from $286.2M (2025-03-26 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- S••••••••• I••••••••• P••••••• reported RAUM $179.3M, down 41% from $301.6M (2020-06-01 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Charles Christopher Geczy (Elected Manager) appeared on Schedule A of S••••••••• I••••••••• P•••••••Jun 1, 2020 · Control person joined · fact
- S••••••••• I••••••••• P••••••• reported RAUM $332.4M, down 49% from $649.4M (2018-03-28 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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