DFX Intelligence

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R•••••• A•••• M••••••••• I•••

Other adviserSEC-registered5 private funds· New York, New Yorkwebsite

Other adviser, based in New York, New York, reporting $12B of regulatory assets across 3 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2025-12-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $12B
Advisors: 3
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +34%
Private clients: 1.6% of RAUM, $198M

Advisors (3)Advisor movement Where the RAUM sits

As of 2025-12-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +34% over the last fiscal year, to $12B.
2025-12-18
RAUM a year earlier $9.1BRAUM now $12B
RAUM per registered advisor of $4,089,948,900 against a peer median of $951,847,357 (36 comparable advisers, 100.0th percentile, 3.9 robust deviations)
2025-12-18
RAUM per registered advisor 4089948900Peer median 951847356.75
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 110637 · SEC 801-69304 · 24 filingsShow

CRD 110637SEC 801-69304First filing on the tape Feb 14, 2012, latest Dec 18, 2025SEC status approved since Jun 23, 2008IAPD

RAUM

$12B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

1.6%

$198M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$4.1B

derived; firm RAUM over IAPD count

Employees

21 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

24 filings and snapshots on the tape

RAUM$12B as of Dec 18, 2025

Jan 2, 2013$660M then

HNW client RAUM$70.7M as of Dec 18, 2025

Dec 20, 2017$1.2M then

State-registered IARs (5.B.3)3 as of Dec 18, 2025

Jan 2, 20130 then

Employees (5.A)48 as of Dec 18, 2025

Jan 2, 201311 then

Private funds5 as of Dec 18, 2025

Jan 31, 20255 then

RAUM +34% over the last fiscal year+37% a year over threeIARs 5 to 3offices 2 to 1

Practice profile

derived from the filing of Dec 18, 2025; every figure names its basis

Archetypes, each a printed rule

Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent

RAUM per advisor: $4.1BderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 162derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.6MderivedHNW RAUM over HNW clients
Average account: $16.0MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 69%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 16.0derivedItem 5.A over advisors
Advisors per office: 1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +33%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -27%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Wrap fee program: participatesreportedItem 5.I
Custody: $366M, 5 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

State and municipal entities$4.7B39%
Corporations and businesses$2.5B21%
Charitable organizations$1.8B15%
Pension and profit-sharing plans$1.2B10%
Insurance companies$782M6.5%
Pooled investment vehicles$459M3.8%
Other investment advisers$293M2.5%
Individuals$127M1.1%
High-net-worth individuals$70.7M0.6%

Individual clients: 442reported
HNW clients: 43reported
Pension plan clients: 29reported
Charitable clients: 73reported
Accounts: 768reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $325M managedreported
Custody of client assets: $366M for 5 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=0.02 fund_share=0.06 institutional_share=0.69 related_bd=true related_bank=false bd_reps=8.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
F••••••• V•••••••••	San Juan	Feb 25, 2011	27 y	1
S••••• A••••• R••••••• J••	New York, Ny	Feb 14, 2012	34 y	2
B•••• A••• O•••••••••	New York, Ny	Feb 14, 2012	27 y	2

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

S••••• A••••• R••••••• J•• to S•• J••• C•••••• P•••••••• L••
Dec 31, 2010 · Other
B•••• A••• O••••••••• to S•• J••• C•••••• P•••••••• L••
Dec 31, 2010 · Other

Joined, latest

S••••• A••••• R••••••• J•• from S•• J••• C•••••• P•••••••• L••
Feb 14, 2012 · Other
B•••• A••• O••••••••• from S•• J••• C•••••• P•••••••• L••
Feb 14, 2012 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from S•• J••• C•••••• P•••••••• L••
Dec 8, 2017 · Hato Rey, Pr

Teams out Teams in

Private funds

5 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
R•••••• C••••• O••••••••• F••• I•• L•••	Hedge Fund	$184M	14	Mar 29, 2019
R•••••• C••••• O••••••••• F••• I•• L•••	Hedge Fund	$155M	7	Feb 27, 2024
R•••••• C••••• O••••••••• F•••• L•••	Hedge Fund	$26.7M	9	Sep 28, 2016
R•••••• C••••• O••••••••• F••• I••• L•••	Hedge Fund	$255,024	4	Aug 27, 2019
R•••••• C••••• O••••••••• F••• I••• L•••	Hedge Fund	$22,004	10	Aug 14, 2020

Owners and control persons

Schedule A and B, latest filing

R••••••• J•• S•••••• A••••• · President/Ceocontrol
since 11/2009 · owns less than 5%
S••••••••• P••••• T••••• · Chief Compliance Officercontrol
since 07/2012 · owns less than 5%
R••••••• J••• S•••••• A••••• · Shareholdercontrol
since 12/2012 · owns 25% to 50% of S•• H•••••••• I•••
R••••••• S•••••• A••••• · Shareholdercontrol
since 04/1998 · owns 50% to 75% of S•• H•••••••• I•••

Entity owners

S•• H•••••••• I••• · Parent Company
direct · owns 75% or more

Related persons

Schedule D 7.A

S••••• A• R•••••• • C••••••• I•••
broker-dealern

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
New York, Ny · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

Chicago, IL9 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

very high RAUM per advisorStatic outlier · filing Dec 18, 2025
RAUM per registered advisor of $4,089,948,900 against a peer median of $951,847,357 (36 comparable advisers, 100.0th percentile, 3.9 robust deviations)
peers: other advisers, $5B to $20B (36) · 100% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Employees · 46 to 48
May 27, 2025 to Dec 18, 2025
Accounts · 713 to 768
May 27, 2025 to Dec 18, 2025
Advisory employees · 19 to 21
May 27, 2025 to Dec 18, 2025
Advisory activities · 4 to 3
May 27, 2025 to Dec 18, 2025
BD registered reps · 12 to 8
May 27, 2025 to Dec 18, 2025
Charity clients · 60 to 73
May 27, 2025 to Dec 18, 2025
Corporate clients · 55 to 48
May 27, 2025 to Dec 18, 2025
HNW clients · 49 to 43
May 27, 2025 to Dec 18, 2025
Individual clients · 385 to 442
May 27, 2025 to Dec 18, 2025
Pension plan clients · 21 to 29
May 27, 2025 to Dec 18, 2025
Pooled vehicle clients · 2 to 8
May 27, 2025 to Dec 18, 2025
Assets in custody · $382M to $366M
May 27, 2025 to Dec 18, 2025
State-registered IARs · 5 to 3
May 27, 2025 to Dec 18, 2025
Discretionary RAUM · $12B to $12B
May 27, 2025 to Dec 18, 2025
HNW RAUM · $65.0M to $70.7M
May 27, 2025 to Dec 18, 2025
Individual RAUM · $90.8M to $127M
May 27, 2025 to Dec 18, 2025
Pension RAUM · $1.1B to $1.2B
May 27, 2025 to Dec 18, 2025
Pooled vehicle RAUM · $24.7M to $459M
May 27, 2025 to Dec 18, 2025
RAUM · $12B to $12B
May 27, 2025 to Dec 18, 2025
Wrap assets (manager) · $246M to $325M
May 27, 2025 to Dec 18, 2025
Financial planning clients · 0 to 0
Feb 3, 2025 to May 27, 2025
Assets in custody · unset to 382218577.0
Jan 31, 2025 to Feb 3, 2025
Custody of client assets · false to true
Jan 31, 2025 to Feb 3, 2025
Private funds · unset to 5
Dec 24, 2024 to Jan 31, 2025
Accounts · 892 to 713
Dec 19, 2023 to Dec 24, 2024
Advisory employees · 17 to 19
Dec 19, 2023 to Dec 24, 2024
Advisory activities · 3 to 4
Dec 19, 2023 to Dec 24, 2024
BD registered reps · 11 to 12
Dec 19, 2023 to Dec 24, 2024
Charity clients · 66 to 60
Dec 19, 2023 to Dec 24, 2024
Corporate clients · 87 to 55
Dec 19, 2023 to Dec 24, 2024
HNW clients · 66 to 49
Dec 19, 2023 to Dec 24, 2024
Individual clients · 526 to 385
Dec 19, 2023 to Dec 24, 2024
Pension plan clients · 28 to 21
Dec 19, 2023 to Dec 24, 2024
Employees · 41 to 46
Dec 19, 2023 to Dec 24, 2024
Other offices · 2 to 1
Dec 19, 2023 to Dec 24, 2024
Discretionary RAUM · $9.1B to $12B
Dec 19, 2023 to Dec 24, 2024
HNW RAUM · $68.9M to $65.0M
Dec 19, 2023 to Dec 24, 2024
Individual RAUM · $89.0M to $90.8M
Dec 19, 2023 to Dec 24, 2024
Pension RAUM · $966M to $1.1B
Dec 19, 2023 to Dec 24, 2024
Pooled vehicle RAUM · $21.6M to $24.7M
Dec 19, 2023 to Dec 24, 2024

Signals

5 dated events

••• Locked
Dec 24, 2024 · RAUM change · derived
••• Locked
Dec 20, 2022 · RAUM change · derived
••• Locked
Dec 22, 2021 · RAUM change · derived
••• Locked
Dec 18, 2019 · RAUM change · derived
••• Locked
Dec 14, 2018 · 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.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Dec 18, 2025
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Dec 18, 2025

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: Other adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $4.1Bderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026