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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SEC-registered adviser
S••••••• A•••• M••••••••• I•••
Latest filing May 6, 2026
First filing on the tape Mar 30, 2012 · 34 filings
SEC status approved since Mar 7, 2001
RAUM
$331M
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
20
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$331M as of May 6, 2026
Mar 30, 2012$3.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 6, 2026
Apr 1, 20130 then
Employees (5.A)20 as of May 6, 2026
Apr 1, 201324 then
Private funds3 as of May 6, 2026
Mar 30, 20121 then
RAUM -16% over the last fiscal year-28% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 6, 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
- $41.4MderivedRAUM 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
- -16%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$331M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•• E••••••• M•••••• O••••••••• F••• V• S••• | Private Equity Fund | $146M | 64 | Mar 31, 2022 |
| N•• E••••••• M•••••• O••••••••• F••• I• S••• | Private Equity Fund | $84.4M | 52 | Mar 29, 2019 |
| N•• E••••••• M•••••• O••••••••• F••• I• L•••no longer reported | Private Equity Fund | $32.8M | 20 | Mar 31, 2014 |
| N•• E••••••• M•••••• O••••••••• F••• I••• L••• | Private Equity Fund | $13.6M | 43 | Mar 29, 2016 |
| N•• E••••••• M•••••• O••••••••• F••• L•no longer reported | Private Equity Fund | $4.0M | 9 | Mar 30, 2012 |
| S••••••• E••••••• M•••••• H••••••••• F•••• L•••no longer reported | Other Private Fund | $0 | 0 | Mar 29, 2016 |
Owners and control persons
Schedule A and B, latest filing
- L••••••• M••••• · Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
- M•••••••• M••••••••• · Partner & Head Of Venture Capitalcontrolsince 08/2022 · owns less than 5%
- P••••• J•••••• G•••••• · Co-Founder And Ceocontrolsince 08/2022 · owns less than 5%
- P••••• J•••••• G•••••• · Shareholdercontrolsince 12/2015 · owns 75% or more of S••••••• A•••• M••••••••• H•••••• L•••
Entity owners
- S••••••• A•••• M••••••••• H•••••• L••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- F•• C•••• G• I••pooled vehicle sponsorn
- F•• G• I••pooled vehicle sponsorn
- N••• G• I•• S•••pooled vehicle sponsorn
- N••• G• V• S•••pooled vehicle sponsorn
- S••••••• A•••• M••••••••• L••investment advisern
- S••••••• G• I••• L•••pooled vehicle sponsory
- S••••••• G• I• S•••••••pooled vehicle sponsorn
- S••••••• G• V• S•••••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 10 to 8May 22, 2025 to Mar 26, 2026
- Advisory employees · 12 to 11May 22, 2025 to Mar 26, 2026
- Pooled vehicle clients · 9 to 7May 22, 2025 to Mar 26, 2026
- Assets in custody · $1.7M to $0May 22, 2025 to Mar 26, 2026
- Custody of client assets · true to falseMay 22, 2025 to Mar 26, 2026
- Employees · 21 to 20May 22, 2025 to Mar 26, 2026
- Discretionary RAUM · $392M to $331MMay 22, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $392M to $331MMay 22, 2025 to Mar 26, 2026
- RAUM · $392M to $331MMay 22, 2025 to Mar 26, 2026
- Financial planning clients · unset to Mar 26, 2025 to May 22, 2025
- Advisory employees · 14 to 12Oct 28, 2024 to Mar 26, 2025
- Pooled vehicle clients · 8 to 9Oct 28, 2024 to Mar 26, 2025
- Assets in custody · $13.1M to $1.7MOct 28, 2024 to Mar 26, 2025
- Employees · 25 to 21Oct 28, 2024 to Mar 26, 2025
- HQ state · unset to Oct 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $580M to $392MOct 28, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $580M to $392MOct 28, 2024 to Mar 26, 2025
- RAUM · $580M to $392MOct 28, 2024 to Mar 26, 2025
- Assets in custody · $11.0M to $13.1MMar 27, 2024 to May 7, 2024
- Discretionary RAUM · $567M to $580MMar 27, 2024 to May 7, 2024
- Pooled vehicle RAUM · $567M to $580MMar 27, 2024 to May 7, 2024
- RAUM · $567M to $580MMar 27, 2024 to May 7, 2024
- Accounts · 9 to 10Nov 2, 2023 to Mar 27, 2024
- Pooled vehicle clients · 6 to 8Nov 2, 2023 to Mar 27, 2024
- Assets in custody · $13.5M to $11.0MNov 2, 2023 to Mar 27, 2024
- Discretionary RAUM · $874M to $567MNov 2, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $552M to $567MNov 2, 2023 to Mar 27, 2024
- RAUM · $874M to $567MNov 2, 2023 to Mar 27, 2024
- Accounts · 8 to 9Sep 29, 2022 to Mar 30, 2023
- Advisory employees · 13 to 14Sep 29, 2022 to Mar 30, 2023
- Pooled vehicle clients · 5 to 6Sep 29, 2022 to Mar 30, 2023
- Assets in custody · $35.7M to $13.5MSep 29, 2022 to Mar 30, 2023
- Employees · 27 to 25Sep 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.0B to $874MSep 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $590M to $552MSep 29, 2022 to Mar 30, 2023
- RAUM · $1.0B to $874MSep 29, 2022 to Mar 30, 2023
- Accounts · 9 to 8Mar 30, 2021 to Mar 31, 2022
- Assets in custody · $79.4M to $35.7MMar 30, 2021 to Mar 31, 2022
- Employees · 29 to 27Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.7B to $1.0BMar 30, 2021 to Mar 31, 2022
Signals
7 dated events
- S••••••• A•••• M••••••••• I••• reported RAUM $392.4M, down 32% from $580.1M (2024-10-28 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- S••••••• A•••• M••••••••• I••• reported RAUM $567.3M, down 35% from $873.8M (2023-11-02 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Lars Michael Sjostrom (Co-Founder And Partner) no longer on Schedule A of S••••••• A•••• M••••••••• I••• (listed 2023-11-02, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Marina Lalakin (Chief Compliance Officer) appeared on Schedule A of S••••••• A•••• M••••••••• I•••Nov 2, 2023 · Control person joined · fact
- S••••••• A•••• M••••••••• I••• reported RAUM $1.0B, down 41% from $1.7B (2021-03-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S••••••• A•••• M••••••••• I••• reported RAUM $1.7B, up 107% from $835.8M (2020-06-24 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- S•••••• P••••• (Chief Investment Officer) no longer on Schedule A of S••••••• A•••• M••••••••• I••• (listed 2019-11-07, absent 2019-11-12)Nov 12, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- S••••••• A•••• M••••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 514-849-8777reportedpublic record, Form ADV, May 6, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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