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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Former SEC-registered adviser

S••••• I••••••••• A••••••• L••

Former SEC-registered adviserStamford, ConnecticutCRD 122149SEC 801-61918IAPD

Latest filing May 20, 2022

First filing on the tape Mar 21, 2012 · 20 filings

RAUM

$35.4M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

24%

$8.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$27.0M gross assets

History

20 filings and snapshots on the tape

RAUM$35.4M as of Mar 31, 2022

Mar 21, 2012$2.9B then

HNW client RAUM$8.4M as of Mar 31, 2022

Mar 26, 2018$40.2M then

State-registered IARs (5.B.3)0 as of Mar 31, 2022

Mar 21, 20120 then

Employees (5.A)2 as of Mar 31, 2022

Mar 22, 201319 then

Private funds20 as of Mar 31, 2022

Mar 21, 201215 then

RAUM -81% over the last fiscal year-51% a year over threeIARs 0 to 0

Practice profile

derived from the filing of May 20, 2022; 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: $2.8MderivedHNW RAUM over HNW clients
Average account: $1.5MderivedRAUM 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: -81%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, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$27.0M76%
High-net-worth individuals$8.4M24%

Individual clients: n/areported
HNW clients: 3reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 23reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
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 departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
S••••• P•••••• I••••••••• F••• L•no longer reported	Private Equity Fund	$98.3M	36	Mar 21, 2012
S••••• G••••• E••••••• F••• L•no longer reported	Hedge Fund	$55.7M	12	Mar 21, 2012
S••••• P•••••• E••••• F••• L•no longer reported	Private Equity Fund	$49.7M	27	Mar 21, 2012
S••••• A•••• M••••• F••• L••no longer reported	Hedge Fund	$41.8M	32	Mar 27, 2015
S••••• E••••• H•••• F••• L•no longer reported	Hedge Fund	$40.7M	17	Mar 21, 2012
S••••• A••••••• R••••• F••• L•no longer reported	Hedge Fund	$34.6M	22	Mar 21, 2012
S••••• H•••• F••• P•••••• L•no longer reported	Hedge Fund	$34.6M	22	Mar 28, 2016
S••••• P•••••• I••••••••• F••• I• L•no longer reported	Private Equity Fund	$33.5M	12	Jun 19, 2014
S••••• H•••• F••• P•••••• S•• L••no longer reported	Hedge Fund	$33.4M	5	Mar 28, 2016
S••••• A••••••• R••••• F••• O••••••• L••no longer reported	Hedge Fund	$33.4M	5	Mar 21, 2012
S••••• E••••• H•••• F••• O••••••• L••no longer reported	Hedge Fund	$33.0M	6	Mar 21, 2012
S••••• N•••••• R•••••••• F••• L•no longer reported	Private Equity Fund	$30.1M	24	Mar 21, 2012
A••••••• E••••••• G•••••••• I••••••••• I•• L••no longer reported	Private Equity Fund	$23.9M	486	Mar 28, 2012
S••••• R••• E••••• F••• L•no longer reported	Private Equity Fund	$18.6M	24	Mar 21, 2012
S••••• L••••• A••••••• R••••• F••• L•no longer reported	Hedge Fund	$18.3M	10	Mar 21, 2012
S••••• H••• I••••• F••• L•no longer reported	Hedge Fund	$12.4M	4	Mar 21, 2012
S••••• P•••••• I••••••••• F••• I• ••••••••• L•no longer reported	Private Equity Fund	$10.0M	2	Jun 19, 2014
S••••• R••• A••••• F••• L•no longer reported	Hedge Fund	$9.0M	26	Mar 21, 2012
S••••• F•••• I••••• F••• L•no longer reported	Hedge Fund	$8.3M	3	Mar 21, 2012
A••••••• E••••••• M••••••••• I••••••••• I• L••	Private Equity Fund	$5.5M	89	Mar 28, 2012
A••••••• E••••••• G•••••••• I••••••••• I•• L••no longer reported	Private Equity Fund	$4.9M	116	Mar 28, 2012
S••••• T•• E••••• F•••• I••••• F••• L•no longer reported	Hedge Fund	$4.9M	6	Mar 21, 2012
A•• 2••• V•••••• I••••••••• I•• L••no longer reported	Private Equity Fund	$4.8M	158	Mar 28, 2012
S••••• R••• A••••• F••• O••••••• L••no longer reported	Hedge Fund	$4.2M	7	Mar 21, 2012
A•• M••••••••• I••••••••• I•• L••	Private Equity Fund	$3.8M	45	Mar 28, 2012
A•• B•••• S•••••••• I•• L••no longer reported	Private Equity Fund	$3.0M	41	Mar 27, 2015
A•• G•••••••• I••••••••• V• L••no longer reported	Private Equity Fund	$2.9M	66	Mar 28, 2012
A••••••• E••••••• G••••••••• I••••••••• I•• L••no longer reported	Private Equity Fund	$2.9M	140	Mar 28, 2012
A•• A•••• S••••• B• I••••••••• I•• L••no longer reported	Private Equity Fund	$2.7M	60	Mar 28, 2012
A•• 2••• V•••••• I••••••••• I• L••	Private Equity Fund	$2.5M	76	Mar 28, 2012
A••••••• E••••••• G•••••••• I••••••••• I••• L••no longer reported	Private Equity Fund	$2.3M	128	Mar 28, 2012
A•• P•••••• X• L••no longer reported	Private Equity Fund	$2.3M	24	Mar 28, 2012
A•• B••••••••• I••••••••• I•• L••	Private Equity Fund	$1.9M	209	Mar 31, 2022
A•• 2••• V•••••• I••••••••• I• L••no longer reported	Private Equity Fund	$1.6M	101	Mar 28, 2012
S••••• D••••• I••••••••• F••• I• L•	Private Equity Fund	$1.4M	11	Mar 31, 2022
A••••••• E••••••• V•••••• P••••••• I• L•no longer reported	Private Equity Fund	$1.4M	82	Mar 28, 2012
A•• A•••• S••••• B• I••••••••• I• L••no longer reported	Private Equity Fund	$1.4M	52	Mar 28, 2012
A•• 2••• V•••••• I••••••••• I•• L••no longer reported	Private Equity Fund	$1.3M	142	Mar 28, 2012
A••••••• E••••••• I••••••••• X•••• L••no longer reported	Private Equity Fund	$1.3M	100	Mar 28, 2012
A•• G•••••••• I••••••••• V••• L••no longer reported	Private Equity Fund	$1.3M	57	Mar 28, 2012

All funds of S••••• I••••••••• A••••••• L••

Owners and control persons

Schedule A and B, latest filing

B•••••• J•••• C••••••••• · Ceo / Managing Member / Ccocontrol
since 09/2001 · owns 75% or more
M••••••• M••••••• T•••••• · Managing Membercontrol
since 12/2018 · owns 25% to 50%

Related persons

Schedule D 7.A

S••••• I••••••••• M••••••••• L••
pooled vehicle sponsory
S••••• M••••••••• L••
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 33 to 23
Mar 31, 2021 to Mar 31, 2022
Advisory employees · 4 to 1
Mar 31, 2021 to Mar 31, 2022
HNW clients · 5 to 3
Mar 31, 2021 to Mar 31, 2022
Employees · 8 to 2
Mar 31, 2021 to Mar 31, 2022
Private funds · 21 to 20
Mar 31, 2021 to Mar 31, 2022
Discretionary RAUM · $182M to $35.4M
Mar 31, 2021 to Mar 31, 2022
HNW RAUM · $8.8M to $8.4M
Mar 31, 2021 to Mar 31, 2022
Individual RAUM · 1064085.0 to unset
Mar 31, 2021 to Mar 31, 2022
Non-discretionary RAUM · $97,567 to $0
Mar 31, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $172M to $27.0M
Mar 31, 2021 to Mar 31, 2022
RAUM · $182M to $35.4M
Mar 31, 2021 to Mar 31, 2022
Related bank · true to false
Mar 31, 2021 to Mar 31, 2022
Accounts · 58 to 33
Jun 30, 2020 to Mar 31, 2021
HNW clients · 7 to 5
Jun 30, 2020 to Mar 31, 2021
Individual clients · 7.0 to unset
Jun 30, 2020 to Mar 31, 2021
Pooled vehicle clients · 42 to 20
Jun 30, 2020 to Mar 31, 2021
Assets in custody · unset to 0.0
Jun 30, 2020 to Mar 31, 2021
Private funds · 42 to 21
Jun 30, 2020 to Mar 31, 2021
Discretionary RAUM · $210M to $182M
Jun 30, 2020 to Mar 31, 2021
HNW RAUM · $18.5M to $8.8M
Jun 30, 2020 to Mar 31, 2021
Individual RAUM · $14.8M to $1.1M
Jun 30, 2020 to Mar 31, 2021
Non-discretionary RAUM · $98,045 to $97,567
Jun 30, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $177M to $172M
Jun 30, 2020 to Mar 31, 2021
RAUM · $210M to $182M
Jun 30, 2020 to Mar 31, 2021
Accounts · 125 to 58
Mar 27, 2019 to Mar 30, 2020
Advisory employees · 5 to 4
Mar 27, 2019 to Mar 30, 2020
HNW clients · 10 to 7
Mar 27, 2019 to Mar 30, 2020
Pooled vehicle clients · 78 to 42
Mar 27, 2019 to Mar 30, 2020
Employees · 9 to 8
Mar 27, 2019 to Mar 30, 2020
Financial planning clients · 0 to unset
Mar 27, 2019 to Mar 30, 2020
Private funds · 79 to 42
Mar 27, 2019 to Mar 30, 2020
Discretionary RAUM · $293M to $210M
Mar 27, 2019 to Mar 30, 2020
HNW RAUM · $41.3M to $18.5M
Mar 27, 2019 to Mar 30, 2020
Individual RAUM · $13.9M to $14.8M
Mar 27, 2019 to Mar 30, 2020
Non-discretionary RAUM · $2.0M to $98,045
Mar 27, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $239M to $177M
Mar 27, 2019 to Mar 30, 2020
RAUM · $295M to $210M
Mar 27, 2019 to Mar 30, 2020
Accounts · 138 to 125
Mar 26, 2018 to Mar 27, 2019
HNW clients · 9 to 10
Mar 26, 2018 to Mar 27, 2019
Pooled vehicle clients · 84 to 78
Mar 26, 2018 to Mar 27, 2019

Signals

5 dated events

S••••• I••••••••• A••••••• L•• reported RAUM $35.4M, down 81% from $182.4M (2021-03-31 to 2022-03-31)
Mar 31, 2022 · RAUM change · derived
Michael Robert Bastone (Chief Compliance Officer) no longer on Schedule A of S••••• I••••••••• A••••••• L•• (listed 2019-03-27, absent 2020-03-30)
Mar 30, 2020 · Control person left · inference
S••••• I••••••••• A••••••• L•• reported RAUM $294.8M, down 45% from $538.9M (2018-03-26 to 2019-03-27)
Mar 27, 2019 · RAUM change · derived
Telfair Michael Mahaffy (Managing Member) appeared on Schedule A of S••••• I••••••••• A••••••• L••
Mar 27, 2019 · Control person joined · fact
S••••• I••••••••• A••••••• L•• reported RAUM $538.9M, down 39% from $888.5M (2017-03-28 to 2018-03-26)
Mar 26, 2018 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

S••••• I••••••••• A••••••• L•• · Private Equity
shared crd · organization

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