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•••••••• A•••• M•••••••••

Former SEC-registered adviserLondon, CRD 109716SEC 801-60032IAPD
Legal name S•••••••• A•••• M••••••••• L••
Latest filing Aug 2, 2023
First filing on the tape Mar 20, 2012 · 22 filings
RAUM
$1.4B
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
16
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$1.2B gross assets
History
22 filings and snapshots on the tape
RAUM$1.5B as of Jun 14, 2023
Jul 13, 2012$7.9B then
HNW client RAUM$104M as of Apr 22, 2021
Jun 1, 2018$198M then
State-registered IARs (5.B.3)0 as of Jun 14, 2023
Jul 13, 20120 then
Employees (5.A)16 as of Jun 14, 2023
Jun 24, 201320 then
Private funds3 as of Jun 14, 2023
Jul 13, 20123 then
RAUM -63% over the last fiscal year-37% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 2, 2023; 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
$346MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-60%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 pooled vehiclesreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.4B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••••• I••••••••• V•••• F•••Other Private Fund$803M55Mar 20, 2012
      S•••••••• I••••••••• V•••• G•••• T••••Other Private Fund$331M8Mar 20, 2012
      S•••••••• I••••••••• V•••• T•••••• F••• F•••Other Private Fund$34.8M12Mar 20, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• P•••• S•••• · Chief Executive Officer, Partner, Supervisory Group Membercontrol
        since 04/2013 · owns less than 5%
      • P••••••••• C••••••••• E••••• · Chief Investment Officer, Partner, Supervisory Group Membercontrol
        since 04/2021 · owns less than 5%
      • S••••••••• T••••••• W•••••• · Supervisory Group Membercontrol
        since 10/2000 · owns less than 5%
      • S•••••••• R••••••• P••••• · Chief Financial Officer, Partnercontrol
        since 04/2013 · owns less than 5%
      • U••••• K••••••••• J••• · Chief Compliance Officercontrol
        since 12/2022 · owns less than 5%
      • B•••• S••••••• C•••••• · Director, Shareholdercontrol
        since 04/1995 · owns 50% to 75% of S••••••••• Partners Limited
      • C•••••• P•••• S•••• · Director, Shareholdercontrol
        since 05/2016 · owns F of S•••••••• P••••••• L••
      • L••••••• T••••••• J••• · Directorcontrol
        since 04/2006 · owns F of S•••••••• P••••••• L••
      • P••••••••• C••••••••• E••••• · Director, Shareholdercontrol
        since 04/2021 · owns F of S•••••••• P••••••• L••
      • S••••••••• T••••••• W•••••• · Director, Shareholdercontrol
        since 10/2000 · owns 25% to 50% of S•••••••• P••••••• L••
      • L••••••• T••••••• J••• · Supervisory Group Member
        since 04/2013 · owns less than 5%
      Entity owners
      • S•••••••• P••••••• L•• · Partner
        direct · owns 75% or more
      • S••••••••• P••••••• L•• · Shareholder
        indirect · owns 25% to 50% of S•••••••• P••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $1.5B to $1.4B
        Jun 14, 2023 to Aug 2, 2023
      • Pooled vehicle RAUM · $1.5B to $1.4B
        Jun 14, 2023 to Aug 2, 2023
      • RAUM · $1.5B to $1.4B
        Jun 14, 2023 to Aug 2, 2023
      • Advisory employees · 8 to 7
        Mar 20, 2023 to Jun 14, 2023
      • Employees · 19 to 16
        Mar 20, 2023 to Jun 14, 2023
      • Discretionary RAUM · $1.6B to $1.5B
        Mar 20, 2023 to Jun 14, 2023
      • Pooled vehicle RAUM · $1.6B to $1.5B
        Mar 20, 2023 to Jun 14, 2023
      • RAUM · $1.6B to $1.5B
        Mar 20, 2023 to Jun 14, 2023
      • Employees · 20 to 19
        Dec 9, 2022 to Mar 20, 2023
      • Discretionary RAUM · $1.9B to $1.6B
        Dec 9, 2022 to Mar 20, 2023
      • Pooled vehicle RAUM · $1.9B to $1.6B
        Dec 9, 2022 to Mar 20, 2023
      • RAUM · $1.9B to $1.6B
        Dec 9, 2022 to Mar 20, 2023
      • Employees · 21 to 20
        Nov 7, 2022 to Dec 9, 2022
      • Discretionary RAUM · $2.0B to $1.9B
        Nov 7, 2022 to Dec 9, 2022
      • Pooled vehicle RAUM · $2.0B to $1.9B
        Nov 7, 2022 to Dec 9, 2022
      • RAUM · $2.0B to $1.9B
        Nov 7, 2022 to Dec 9, 2022
      • Accounts · 5 to 4
        Apr 27, 2022 to Nov 7, 2022
      • Advisory activities · 2 to 1
        Apr 27, 2022 to Nov 7, 2022
      • Pension plan clients · 1.0 to unset
        Apr 27, 2022 to Nov 7, 2022
      • Discretionary RAUM · $3.8B to $2.0B
        Apr 27, 2022 to Nov 7, 2022
      • Pension RAUM · 275510428.0 to unset
        Apr 27, 2022 to Nov 7, 2022
      • Pooled vehicle RAUM · $3.5B to $2.0B
        Apr 27, 2022 to Nov 7, 2022
      • RAUM · $3.8B to $2.0B
        Apr 27, 2022 to Nov 7, 2022
      • Accounts · 6 to 5
        Apr 22, 2021 to Apr 27, 2022
      • Advisory employees · 9 to 8
        Apr 22, 2021 to Apr 27, 2022
      • Advisory activities · 3 to 2
        Apr 22, 2021 to Apr 27, 2022
      • HNW clients · 1.0 to unset
        Apr 22, 2021 to Apr 27, 2022
      • Employees · 24 to 21
        Apr 22, 2021 to Apr 27, 2022
      • Discretionary RAUM · $6.0B to $3.8B
        Apr 22, 2021 to Apr 27, 2022
      • HNW RAUM · 103841538.0 to unset
        Apr 22, 2021 to Apr 27, 2022
      • Pension RAUM · $285M to $276M
        Apr 22, 2021 to Apr 27, 2022
      • Pooled vehicle RAUM · $5.6B to $3.5B
        Apr 22, 2021 to Apr 27, 2022
      • RAUM · $6.0B to $3.8B
        Apr 22, 2021 to Apr 27, 2022
      • Discretionary RAUM · $5.9B to $6.0B
        Dec 11, 2020 to Apr 22, 2021
      • HNW RAUM · $94.4M to $104M
        Dec 11, 2020 to Apr 22, 2021
      • Pension RAUM · $259M to $285M
        Dec 11, 2020 to Apr 22, 2021
      • Pooled vehicle RAUM · $5.5B to $5.6B
        Dec 11, 2020 to Apr 22, 2021
      • RAUM · $5.9B to $6.0B
        Dec 11, 2020 to Apr 22, 2021
      • Accounts · 7 to 6
        Apr 24, 2020 to Dec 11, 2020
      • Charity clients · 1.0 to unset
        Apr 24, 2020 to Dec 11, 2020
      Signals
      10 dated events
      • De Veaux Catherine Rainey (Partner) no longer on Schedule A of S•••••••• A•••• M••••••••• (listed 2022-11-07, absent 2022-12-09)
        Dec 9, 2022 · Control person left · inference
      • Matthew James Longbottom (Chief Compliance Officer, Partner) no longer on Schedule A of S•••••••• A•••• M••••••••• (listed 2022-11-07, absent 2022-12-09)
        Dec 9, 2022 · Control person left · inference
      • Jane Katherine Usher (Chief Compliance Officer & Technology Manager) appeared on Schedule A of S•••••••• A•••• M•••••••••
        Dec 9, 2022 · Control person joined · fact
      • S•••••••• A•••• M••••••••• reported RAUM $2.0B, down 46% from $3.8B (2022-04-27 to 2022-11-07)
        Nov 7, 2022 · RAUM change · derived
      • S•••••••• A•••• M••••••••• reported RAUM $3.8B, down 37% from $6.0B (2021-04-22 to 2022-04-27)
        Apr 27, 2022 · RAUM change · derived
      • Egtved Christian Paaskesen (Deputy Chief Investment Officer, Partner, Supervisory Group Member) appeared on Schedule A of S•••••••• A•••• M•••••••••
        Apr 22, 2021 · Control person joined · fact
      • Hardy Holly Harralson (Marketing & Client Service Director, Supervisory Group Member) no longer on Schedule A of S•••••••• A•••• M••••••••• (listed 2019-04-24, absent 2020-04-24)
        Apr 24, 2020 · Control person left · inference
      • S•••••••• A•••• M••••••••• reported RAUM $5.5B, down 44% from $9.8B (2019-04-24 to 2020-04-24)
        Apr 24, 2020 · RAUM change · derived
      • Masaki Suganuma (Research Director, Partner, Supervisory Group Member) no longer on Schedule A of S•••••••• A•••• M••••••••• (listed 2018-06-01, absent 2019-04-24)
        Apr 24, 2019 · Control person left · inference
      • S•••••••• A•••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Apr 11, 2013 · Succession (Item 4) · fact
      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