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

D•••• S• I••••••••• ••••••••• L•••

Former SEC-registered adviserS••••••••, CRD 110426SEC 801-37068IAPD
Latest filing Mar 30, 2020
First filing on the tape Feb 29, 2012 · 30 filings
RAUM
$168M
reported, Item 5.F
Discretionary
62%
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
8
4 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$168M as of Mar 30, 2020
Jun 13, 2012$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 30, 2020
Jun 20, 20130 then
Employees (5.A)8 as of Mar 30, 2020
Jun 20, 20139 then
Private funds: no history
RAUM -22% over the last fiscal year-20% a year over threeIARs 6 to 5offices 1 to 0
Practice profile
derived from the filing of Mar 30, 2020; every figure names its basis
RAUM per advisor
$33.5MderivedRAUM 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
$28.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
62%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-22%derivedbetween the last two annual amendments
Advisor growth, one year
-17%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$168M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • N••••• N•••• · Managing Directorcontrol
        since 05/2018 · owns less than 5%
      • O••••• H•••••• · Non-Executive Directorcontrol
        since 09/2018 · owns less than 5%
      Entity owners
      • S••••••• M••••• D• A•••• M••••••••• C••••••• L•••••• · Shareholder
        direct · owns 75% or more
      • S••••••• M••••• F•••••••• G••••• I••• · Indirect Shareholder
        indirect · owns 50% to 75% of S••••••• M••••• D• A•••• M••••••••• C••••••• L••••••
      Related persons
      Schedule D 7.A
      Advisers that list D•••• S• I••••••••• ••••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 6
        Dec 9, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 7 to 6
        Dec 9, 2019 to Mar 30, 2020
      • Discretionary RAUM · $145M to $104M
        Dec 9, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $69.9M to $64.1M
        Dec 9, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $215M to $168M
        Dec 9, 2019 to Mar 30, 2020
      • RAUM · $215M to $168M
        Dec 9, 2019 to Mar 30, 2020
      • Other offices · 1 to 0
        Oct 25, 2019 to Dec 9, 2019
      • Advisory employees · 5 to 4
        Apr 15, 2019 to Oct 25, 2019
      • Employees · 9 to 8
        Apr 15, 2019 to Oct 25, 2019
      • Insurance-licensed employees · 6 to 5
        Apr 15, 2019 to Oct 25, 2019
      • State-registered IARs · 6 to 5
        Apr 15, 2019 to Oct 25, 2019
      • Accounts · 8 to 7
        Oct 22, 2018 to Mar 11, 2019
      • Advisory employees · 4 to 5
        Oct 22, 2018 to Mar 11, 2019
      • Pooled vehicle clients · 8 to 7
        Oct 22, 2018 to Mar 11, 2019
      • Employees · 8 to 9
        Oct 22, 2018 to Mar 11, 2019
      • Insurance-licensed employees · 5 to 6
        Oct 22, 2018 to Mar 11, 2019
      • State-registered IARs · 5 to 6
        Oct 22, 2018 to Mar 11, 2019
      • Discretionary RAUM · $233M to $145M
        Oct 22, 2018 to Mar 11, 2019
      • Non-discretionary RAUM · $88.4M to $69.9M
        Oct 22, 2018 to Mar 11, 2019
      • Pooled vehicle RAUM · $321M to $215M
        Oct 22, 2018 to Mar 11, 2019
      • RAUM · $321M to $215M
        Oct 22, 2018 to Mar 11, 2019
      • Advisory employees · 3 to 4
        May 15, 2018 to May 29, 2018
      • Pooled vehicle clients · unset to 8.0
        Feb 19, 2018 to May 15, 2018
      • Discretionary RAUM · $283M to $233M
        Feb 19, 2018 to May 15, 2018
      • Non-discretionary RAUM · $92.1M to $88.4M
        Feb 19, 2018 to May 15, 2018
      • Pooled vehicle RAUM · unset to 321014942.0
        Feb 19, 2018 to May 15, 2018
      • RAUM · $375M to $321M
        Feb 19, 2018 to May 15, 2018
      • Advisory employees · 4 to 3
        May 25, 2017 to Oct 23, 2017
      • Employees · 9 to 8
        May 25, 2017 to Oct 23, 2017
      • Insurance-licensed employees · 6 to 5
        May 25, 2017 to Oct 23, 2017
      • State-registered IARs · 6 to 5
        May 25, 2017 to Oct 23, 2017
      • Other offices · unset to 1.0
        May 25, 2017 to Oct 23, 2017
      • Accounts · 6 to 8
        Mar 31, 2017 to May 25, 2017
      • Employees · 10 to 9
        Mar 31, 2017 to May 25, 2017
      • Insurance-licensed employees · 0 to 6
        Mar 31, 2017 to May 25, 2017
      • State-registered IARs · 0 to 6
        Mar 31, 2017 to May 25, 2017
      • Discretionary RAUM · $200M to $283M
        Mar 31, 2017 to May 25, 2017
      • Non-discretionary RAUM · $124M to $92.1M
        Mar 31, 2017 to May 25, 2017
      • RAUM · $324M to $375M
        Mar 31, 2017 to May 25, 2017
      • Advisory employees · 3 to 4
        Jun 28, 2016 to Mar 31, 2017
      Signals
      1 dated events
      • D•••• S• I••••••••• ••••••••• L••• reported RAUM $215.4M, down 33% from $321.0M (2018-10-22 to 2019-03-11)
        Mar 11, 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