DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

S•••• O•••• M••••••••• L•••

Independent wealth managerWanchai, CRD 111180SEC 801-41804website IAPD

Latest filing Mar 27, 2026

First filing on the tape Mar 30, 2012 · 22 filings

SEC status approved since Jul 27, 1992

RAUM

$13.4M

reported, Item 5.F

Discretionary

89%

of RAUM

Private clients

89%

$11.8M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM$13.4M as of Mar 27, 2026

Mar 30, 2012$12.0M then

HNW client RAUM$11.8M as of Mar 27, 2026

Jan 30, 2018$9.7M then

State-registered IARs (5.B.3)0 as of Mar 27, 2026

Mar 30, 20120 then

Employees (5.A)4 as of Mar 27, 2026

Apr 2, 20133 then

Private funds2 as of Mar 27, 2026

Mar 31, 20222 then

RAUM +23% over the last fiscal year+13% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 2026; every figure names its basis

Archetypes, each a printed rule

RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)

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: $696,245derivedHNW RAUM over HNW clients
Average account: $703,736derivedRAUM over accounts (5.F.2.f)
Discretionary: 89%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: +23%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 pooled vehiclesreportedItem 5.G
Custody: $1.5M, 2 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)
the adviser acts as qualified custodian (9.D.1)
a related person acts as qualified custodian (9.D.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$11.8M89%
Pooled investment vehicles$1.5M11%

Individual clients: n/areported
HNW clients: 17reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 19reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $1.5M for 2 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.89 fund_share=0.11 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

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
H••• K••• P••••••• L•	Hedge Fund	$2.5M	8	Jul 22, 2021
E••••• G••••• O••••••••• F••• L••••••	Hedge Fund	$726,405	12	Aug 11, 2021

Owners and control persons

Schedule A and B, latest filing

M••••••••• R••••••• E••••••••• J• · President/ Chief Compliance Officercontrol
since 06/1992 · owns 50% to 75%
M••••••••• A•••••••• · Shareholder
since 06/1992 · owns 5% to 10%
M••••••••• J••••• M• · Shareholder
since 06/1992 · owns 5% to 10%
M••••••••• P•••• · Shareholder
since 06/1992 · owns 5% to 10%
M••••••••• W••••••• E•••• · Shareholder
since 06/1992 · owns 5% to 10%
T••• S•••• · Director Of S•••• O•••• M••••••••• Ltd
since 06/2006 · owns less than 5%

Related persons

Schedule D 7.A

B•••• M••••••••
pooled vehicle sponsorcustodiany

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $1.4M to $1.5M
Jun 9, 2025 to Mar 27, 2026
Discretionary RAUM · $9.4M to $11.8M
Jun 9, 2025 to Mar 27, 2026
HNW RAUM · $9.4M to $11.8M
Jun 9, 2025 to Mar 27, 2026
Non-discretionary RAUM · $1.4M to $1.5M
Jun 9, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $1.4M to $1.5M
Jun 9, 2025 to Mar 27, 2026
RAUM · $10.9M to $13.4M
Jun 9, 2025 to Mar 27, 2026
Financial planning clients · 0 to 0
Mar 31, 2025 to Jun 9, 2025
Assets in custody · $3.2M to $1.4M
Mar 28, 2024 to Mar 31, 2025
HQ state · unset to
Mar 28, 2024 to Mar 31, 2025
Discretionary RAUM · $7.2M to $9.4M
Mar 28, 2024 to Mar 31, 2025
HNW RAUM · $7.2M to $9.4M
Mar 28, 2024 to Mar 31, 2025
Non-discretionary RAUM · $3.2M to $1.4M
Mar 28, 2024 to Mar 31, 2025
Pooled vehicle RAUM · $3.2M to $1.4M
Mar 28, 2024 to Mar 31, 2025
RAUM · $10.4M to $10.9M
Mar 28, 2024 to Mar 31, 2025
Accounts · 16 to 19
Oct 27, 2023 to Mar 28, 2024
HNW clients · 14 to 17
Oct 27, 2023 to Mar 28, 2024
Discretionary RAUM · $5.9M to $7.2M
Oct 27, 2023 to Mar 28, 2024
HNW RAUM · $5.9M to $7.2M
Oct 27, 2023 to Mar 28, 2024
Non-discretionary RAUM · $3.2M to $3.2M
Oct 27, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $3.2M to $3.2M
Oct 27, 2023 to Mar 28, 2024
RAUM · $9.1M to $10.4M
Oct 27, 2023 to Mar 28, 2024
Accounts · 14 to 16
Apr 3, 2023 to Oct 27, 2023
Pooled vehicle clients · unset to 2.0
Apr 3, 2023 to Oct 27, 2023
Discretionary RAUM · $9.2M to $5.9M
Apr 3, 2023 to Oct 27, 2023
HNW RAUM · $9.2M to $5.9M
Apr 3, 2023 to Oct 27, 2023
Non-discretionary RAUM · $0 to $3.2M
Apr 3, 2023 to Oct 27, 2023
Pooled vehicle RAUM · unset to 3214277.0
Apr 3, 2023 to Oct 27, 2023
RAUM · $9.2M to $9.1M
Apr 3, 2023 to Oct 27, 2023
Accounts · 19 to 14
Mar 31, 2022 to Apr 3, 2023
HNW clients · 19 to 14
Mar 31, 2022 to Apr 3, 2023
Assets in custody · $5.5M to $3.2M
Mar 31, 2022 to Apr 3, 2023
Discretionary RAUM · $10.1M to $9.2M
Mar 31, 2022 to Apr 3, 2023
HNW RAUM · $10.1M to $9.2M
Mar 31, 2022 to Apr 3, 2023
RAUM · $10.1M to $9.2M
Mar 31, 2022 to Apr 3, 2023
HNW clients · 17 to 19
Aug 17, 2021 to Mar 31, 2022
Pooled vehicle clients · 2.0 to unset
Aug 17, 2021 to Mar 31, 2022
Discretionary RAUM · $13.5M to $10.1M
Aug 17, 2021 to Mar 31, 2022
HNW RAUM · $7.7M to $10.1M
Aug 17, 2021 to Mar 31, 2022
Pooled vehicle RAUM · 5859436.0 to unset
Aug 17, 2021 to Mar 31, 2022
RAUM · $13.5M to $10.1M
Aug 17, 2021 to Mar 31, 2022

Signals

2 dated events

Anthony Herbert Allen (Shareholder) no longer on Schedule A of S•••• O•••• M••••••••• L••• (listed 2018-01-30, absent 2019-03-30)
Mar 30, 2019 · Control person left · inference
Arie Genger (Shareholder) no longer on Schedule A of S•••• O•••• M••••••••• L••• (listed 2018-01-30, absent 2019-03-30)
Mar 30, 2019 · Control person left · inference

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

Business email: i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
Website: S••••-O••••.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 852-2521-0332reportedpublic record, Form ADV, Mar 27, 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: Independent wealth managerderiveda 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