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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SEC-registered adviser
S• S•••••• T••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 22 filings
SEC status approved since Dec 16, 2004
RAUM
$308M
reported, Item 5.F
Discretionary
100%
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
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$308M as of Mar 31, 2026
Mar 29, 2012$460M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)4 as of Mar 31, 2026
Mar 28, 20139 then
Private funds1 as of Mar 31, 2026
Mar 29, 20124 then
RAUM +0.5% over the last fiscal year+9.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $308MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.5%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 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)
- 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$308M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••• I••••••••• P•••••••• L••• | Hedge Fund | $269M | 20 | Mar 29, 2012 |
| S• P•••••••• L•••no longer reported | Hedge Fund | $54.1M | 7 | Mar 29, 2012 |
| S••••••• I••••••••• P•••••••• L•••no longer reported | Hedge Fund | $11.2M | 7 | Mar 29, 2012 |
| E•••••••• T••••••••• L•••no longer reported | Hedge Fund | $3.7M | 4 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• K••••••• A• · Managing Member And Chief Compliance Officer (A/O 11/2014)controlsince 04/2017 · owns 50% to 75%
- G••••••••• S••••••• L••••••• · Membercontrolsince 04/2017 · owns less than 5%
- M••••••• C••••• V••••••• · Chief Financial Officercontrolsince 07/2018 · owns less than 5%
- G••••••••• K••••••• A• · Beneficiarycontrolsince 06/2003 · owns 75% or more of T•• K•••••• G•••••••• 2••• T••••
Entity owners
- T•• K•••••• G•••••••• 2••• T•••• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- S• S•••••• C••••••• L••pooled vehicle sponsorn
Advisers that list S• S•••••• T••••••••• L•• as a related person
- 133711 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · NEW YORK to Mar 14, 2025 to Mar 31, 2026
- HQ state · NY to Mar 14, 2025 to Mar 31, 2026
- Discretionary RAUM · $306M to $308MMar 14, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $306M to $308MMar 14, 2025 to Mar 31, 2026
- RAUM · $306M to $308MMar 14, 2025 to Mar 31, 2026
- Assets in custody · $269M to $0Mar 5, 2024 to Mar 14, 2025
- Custody of client assets · true to falseMar 5, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 0Mar 5, 2024 to Mar 14, 2025
- Other offices · 0 to 1Mar 5, 2024 to Mar 14, 2025
- Discretionary RAUM · $269M to $306MMar 5, 2024 to Mar 14, 2025
- Pooled vehicle RAUM · $269M to $306MMar 5, 2024 to Mar 14, 2025
- RAUM · $269M to $306MMar 5, 2024 to Mar 14, 2025
- Assets in custody · $233M to $269MMar 6, 2023 to Mar 5, 2024
- Discretionary RAUM · $233M to $269MMar 6, 2023 to Mar 5, 2024
- Pooled vehicle RAUM · $233M to $269MMar 6, 2023 to Mar 5, 2024
- RAUM · $233M to $269MMar 6, 2023 to Mar 5, 2024
- Assets in custody · $329M to $233MMar 22, 2022 to Mar 6, 2023
- Discretionary RAUM · $329M to $233MMar 22, 2022 to Mar 6, 2023
- Pooled vehicle RAUM · $329M to $233MMar 22, 2022 to Mar 6, 2023
- RAUM · $329M to $233MMar 22, 2022 to Mar 6, 2023
- Assets in custody · $286M to $329MFeb 25, 2021 to Feb 25, 2022
- Discretionary RAUM · $286M to $329MFeb 25, 2021 to Feb 25, 2022
- Pooled vehicle RAUM · $286M to $329MFeb 25, 2021 to Feb 25, 2022
- RAUM · $286M to $329MFeb 25, 2021 to Feb 25, 2022
- Assets in custody · $207M to $286MFeb 6, 2020 to Feb 25, 2021
- Discretionary RAUM · $207M to $286MFeb 6, 2020 to Feb 25, 2021
- Pooled vehicle RAUM · $207M to $286MFeb 6, 2020 to Feb 25, 2021
- RAUM · $207M to $286MFeb 6, 2020 to Feb 25, 2021
- Assets in custody · $155M to $207MDec 12, 2019 to Feb 6, 2020
- Employees · 3 to 4Dec 12, 2019 to Feb 6, 2020
- Discretionary RAUM · $155M to $207MDec 12, 2019 to Feb 6, 2020
- Pooled vehicle RAUM · $155M to $207MDec 12, 2019 to Feb 6, 2020
- RAUM · $155M to $207MDec 12, 2019 to Feb 6, 2020
- Assets in custody · unset to 154900000.0Aug 7, 2019 to Dec 12, 2019
- Custody of client assets · false to trueAug 7, 2019 to Dec 12, 2019
- Advisory employees · 3 to 2Mar 28, 2018 to Mar 22, 2019
- Employees · 4 to 3Mar 28, 2018 to Mar 22, 2019
- Discretionary RAUM · $157M to $155MMar 28, 2018 to Mar 22, 2019
- Pooled vehicle RAUM · $157M to $155MMar 28, 2018 to Mar 22, 2019
- RAUM · $157M to $155MMar 28, 2018 to Mar 22, 2019
Signals
1 dated events
- Veronica Carol Maguire (Chief Financial Officer) appeared on Schedule A of S• S•••••• T••••••••• L••Feb 25, 2021 · Control person joined · 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
- SS••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-421-2155reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda 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