DFX Intelligence

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S••••••• A•••• M••••••••• L•

Other adviserSEC-registered1 private funds· Rye Brook, New Yorkwebsite

Other adviser, based in Rye Brook, New York, reporting $71.6M of regulatory assets.

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

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $71.6M
Advisors: 0
RAUM change, 1 year: +10%
Private clients: 14%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+10.2%
RAUM, one year
RAUM $65M to $71.6M (+10.2%) on the Form ADV filed 31 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 110927 · SEC 801-62112 · 32 filingsShow

CRD 110927SEC 801-62112First filing on the tape Mar 30, 2012, latest Mar 31, 2026SEC status approved since Jun 9, 2003IAPD

RAUM

$71.6M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

14%

$9.9M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

32 filings and snapshots on the tape

RAUM -31% a year over three years · the tape starts Mar 30, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$71.6M as of Mar 31, 2026

Mar 30, 2012$167M then

HNW client RAUM$9.7M as of Mar 31, 2026

Mar 29, 2019$1.3M then

State-registered IARs (5.B.3)0 as of Mar 31, 2026

Apr 1, 20130 then

Employees (5.A)7 as of Mar 31, 2026

Apr 1, 20139 then

Private funds1 as of Mar 31, 2026

Mar 30, 20122 then

RAUM +10% over the last fiscal year-31% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 31, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $3.2MderivedHNW RAUM over HNW clients
Average account: $4.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: +10%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +14%derived
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
Custody: $48.1M, 3 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

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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

67% pooled investment vehicles, 16% charitable organizations, and 4 other client types

The breakdown by client type, and the client counts6 client typesShow

Pooled investment vehicles$48.1M67%
Charitable organizations$11.6M16%
High-net-worth individuals$9.7M14%
Corporations and businesses$1.9M2.7%
Individuals$163,9430.2%
Pension and profit-sharing plans$105,7070.1%

Individual clients: 5reported
HNW clients: 3reported
Pension plan clients: 1reported
Charitable clients: 3reported
Accounts: 16reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $48.1M for 3 clientsreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 14% private clients, 67% pooled funds, 16% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

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

Fund	Type	Gross assets	Owners	First reported
S••••••• M••••• F•••• L•••	Hedge Fund	$48.1M	89	Mar 30, 2012
S••••••• A••• M••••• F•••• L•••no longer reported	Hedge Fund	$442,210	12	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

D•• W•••••• N•• · General Counsel, Chief Compliance Officercontrol
since 11/2011 · owns less than 5%
S•••••••• G•••••• J•••••• S•••••••• · M••••••• M••••• O• S••••••• A•••• M••••••••• G•• L••control
since 02/1998 · owns 75% or more
S•••••••• G•••••• J•••••• S•••••••• · Managing Membercontrol
since 06/2015 · owns 75% or more of S••••••• A•••• M••••••••• G•• L••
S•••••••• K••••••• J• · Limited Partner
since 06/2015 · owns 5% to 10%

Entity owners

S••••••• A•••• M••••••••• G•• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 15 to 16
May 6, 2025 to Mar 31, 2026
HNW clients · 1 to 3
May 6, 2025 to Mar 31, 2026
Individual clients · 6 to 5
May 6, 2025 to Mar 31, 2026
Assets in custody · $44.7M to $48.1M
May 6, 2025 to Mar 31, 2026
Employees · 6 to 7
May 6, 2025 to Mar 31, 2026

Full history · 80 changes

Discretionary RAUM · $65.0M to $71.6M
May 6, 2025 to Mar 31, 2026
HNW RAUM · $1.3M to $9.7M
May 6, 2025 to Mar 31, 2026
Individual RAUM · $5.6M to $163,943
May 6, 2025 to Mar 31, 2026
Pension RAUM · $114,165 to $105,707
May 6, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $44.7M to $48.1M
May 6, 2025 to Mar 31, 2026
RAUM · $65.0M to $71.6M
May 6, 2025 to Mar 31, 2026
Financial planning clients · unset to
Mar 28, 2025 to May 6, 2025
Accounts · 16 to 15
Jun 28, 2024 to Mar 28, 2025
Charity clients · 2 to 3
Jun 28, 2024 to Mar 28, 2025
Corporate clients · unset to 1.0
Jun 28, 2024 to Mar 28, 2025
Individual clients · 7 to 6
Jun 28, 2024 to Mar 28, 2025
Assets in custody · $55.6M to $44.7M
Jun 28, 2024 to Mar 28, 2025
Discretionary RAUM · $60.5M to $65.0M
Jun 28, 2024 to Mar 28, 2025
HNW RAUM · $4.9M to $1.3M
Jun 28, 2024 to Mar 28, 2025
Individual RAUM · $8.3M to $5.6M
Jun 28, 2024 to Mar 28, 2025
Pension RAUM · $128,036 to $114,165
Jun 28, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $42.1M to $44.7M
Jun 28, 2024 to Mar 28, 2025
RAUM · $60.5M to $65.0M
Jun 28, 2024 to Mar 28, 2025
Accounts · 19 to 16
Jun 23, 2023 to Mar 22, 2024
Advisory employees · 5 to 4
Jun 23, 2023 to Mar 22, 2024
Charity clients · 1 to 2
Jun 23, 2023 to Mar 22, 2024
Corporate clients · 1.0 to unset
Jun 23, 2023 to Mar 22, 2024
HNW clients · 2 to 1
Jun 23, 2023 to Mar 22, 2024
Individual clients · 6 to 7
Jun 23, 2023 to Mar 22, 2024
Pooled vehicle clients · 4 to 3
Jun 23, 2023 to Mar 22, 2024
Assets in custody · $223M to $55.6M
Jun 23, 2023 to Mar 22, 2024
Employees · 7 to 6
Jun 23, 2023 to Mar 22, 2024
Discretionary RAUM · $223M to $60.5M
Jun 23, 2023 to Mar 22, 2024
HNW RAUM · $3.3M to $4.9M
Jun 23, 2023 to Mar 22, 2024
Individual RAUM · $12,784 to $8.3M
Jun 23, 2023 to Mar 22, 2024
Pension RAUM · $68,225 to $128,036
Jun 23, 2023 to Mar 22, 2024
Pooled vehicle RAUM · $39.4M to $42.1M
Jun 23, 2023 to Mar 22, 2024
RAUM · $223M to $60.5M
Jun 23, 2023 to Mar 22, 2024
Accounts · 18 to 19
May 11, 2022 to Mar 30, 2023
Assets in custody · $233M to $223M
May 11, 2022 to Mar 30, 2023
Employees · 8 to 7
May 11, 2022 to Mar 30, 2023
Discretionary RAUM · $233M to $223M
May 11, 2022 to Mar 30, 2023
HNW RAUM · $3.6M to $3.3M
May 11, 2022 to Mar 30, 2023
Individual RAUM · $13,391 to $12,784
May 11, 2022 to Mar 30, 2023
Pension RAUM · $64,199 to $68,225
May 11, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $53.4M to $39.4M
May 11, 2022 to Mar 30, 2023
RAUM · $233M to $223M
May 11, 2022 to Mar 30, 2023
Accounts · 17 to 18
Jun 11, 2021 to Mar 31, 2022
Advisory employees · 4 to 5
Jun 11, 2021 to Mar 31, 2022
Charity clients · unset to 1.0
Jun 11, 2021 to Mar 31, 2022
Assets in custody · $69.1M to $233M
Jun 11, 2021 to Mar 31, 2022
Employees · 6 to 8
Jun 11, 2021 to Mar 31, 2022
Discretionary RAUM · $69.1M to $233M
Jun 11, 2021 to Mar 31, 2022
HNW RAUM · $3.5M to $3.6M
Jun 11, 2021 to Mar 31, 2022
Individual RAUM · $10,133 to $13,391
Jun 11, 2021 to Mar 31, 2022
Pension RAUM · $126,772 to $64,199
Jun 11, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $58.9M to $53.4M
Jun 11, 2021 to Mar 31, 2022
RAUM · $69.1M to $233M
Jun 11, 2021 to Mar 31, 2022
Accounts · 15 to 17
Jun 28, 2020 to Mar 31, 2021
HNW clients · 1 to 2
Jun 28, 2020 to Mar 31, 2021
Individual clients · 7 to 6
Jun 28, 2020 to Mar 31, 2021
Assets in custody · $59.2M to $69.1M
Jun 28, 2020 to Mar 31, 2021
Employees · 7 to 6
Jun 28, 2020 to Mar 31, 2021
Discretionary RAUM · $195M to $69.1M
Jun 28, 2020 to Mar 31, 2021
HNW RAUM · $1.4M to $3.5M
Jun 28, 2020 to Mar 31, 2021
Individual RAUM · $4.3M to $10,133
Jun 28, 2020 to Mar 31, 2021
Pension RAUM · $113,117 to $126,772
Jun 28, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $54.0M to $58.9M
Jun 28, 2020 to Mar 31, 2021
RAUM · $195M to $69.1M
Jun 28, 2020 to Mar 31, 2021
Accounts · 16 to 15
May 31, 2019 to Mar 30, 2020
Charity clients · 1.0 to unset
May 31, 2019 to Mar 30, 2020
Corporate clients · unset to 1.0
May 31, 2019 to Mar 30, 2020
Pooled vehicle clients · 5 to 4
May 31, 2019 to Mar 30, 2020
Assets in custody · $69.2M to $59.2M
May 31, 2019 to Mar 30, 2020
Discretionary RAUM · $90.0M to $195M
May 31, 2019 to Mar 30, 2020
HNW RAUM · $1.3M to $1.4M
May 31, 2019 to Mar 30, 2020
Individual RAUM · $4.4M to $4.3M
May 31, 2019 to Mar 30, 2020
Pension RAUM · $105,015 to $113,117
May 31, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $82.6M to $54.0M
May 31, 2019 to Mar 30, 2020
RAUM · $90.0M to $195M
May 31, 2019 to Mar 30, 2020

Signals

6 dated events

••• Locked
Mar 22, 2024 · RAUM change · derived
••• Locked
Mar 30, 2023 · Control person left · inference
••• Locked
Mar 31, 2022 · RAUM change · derived
••• Locked
Mar 31, 2021 · RAUM change · derived
••• Locked
Mar 30, 2020 · RAUM change · derived

Full timeline · 6 events

••• Locked
Jan 7, 2016 · 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.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

S••••••• A•••• M••••••••• L• is the same institution as 1 record in Allocators.

Allocators1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

Not yet on record: net advisor flow, 12 months.