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••••••••• G••••• A•••••••• L•
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 31 filings
SEC status approved since Jun 18, 2003
RAUM
$17B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.2%
$193M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
33
18 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$17B as of Mar 30, 2026
Mar 29, 2012$2.7B then
HNW client RAUM$39.3M as of Mar 30, 2026
Mar 28, 2018$40.1M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20120 then
Employees (5.A)33 as of Mar 30, 2026
Mar 27, 201315 then
Private funds: no history
RAUM -25% over the last fiscal year-3.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $252MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -25%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -16%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$9.5B57%
- Pooled investment vehicles$5.5B33%
- Charitable organizations$527M3.2%
- Pension and profit-sharing plans$497M3.0%
- Individuals$153M0.9%
- Corporations and businesses$151M0.9%
- Insurance companies$128M0.8%
- Sovereign wealth funds$97.6M0.6%
- High-net-worth individuals$39.3M0.2%
- State and municipal entities$38.3M0.2%
- Individual clients
- 160reported
- HNW clients
- 10reported
- Pension plan clients
- 7reported
- Charitable clients
- 2reported
- Accounts
- 66reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $153M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.01 fund_share=0.9 institutional_share=0.08 related_bd=true related_bank=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• D•••••• C••• · Chief Compliance Officercontrolsince 11/2015 · owns less than 5%
- G••••• H••••••••• · Principal & Executive Committee Membercontrolsince 07/2024 · owns less than 5%
- R••• K••••••• D• · Principal & Executive Committee Membercontrolsince 07/2023 · owns less than 5%
- R•••• R•••••• L••••••• · Principal & Executive Committee Membercontrolsince 11/2003 · owns less than 5%
- S•••••••• P••••• J••••• · Chief Operating Officercontrolsince 02/2014 · owns less than 5%
Entity owners
- S•••• L•• · General Partnerdirect · owns less than 5%
- V••••• P•••••••• I••• · Shareholderdirect · owns 50% to 75% · public reporting company
- V••••• I••••••••• P•••••••• I••• · Sole Shareholderindirect · owns 75% or more of V••••• P•••••••• I••• · public reporting company
Related persons
Schedule D 7.A
- A••••••••• G••••• L••investment adviserbanknRAUM $3.1B
- C•••••• V•••• A••••••• L••investment advisernRAUM $3.4B
- D••• • P••••• I••••••••• M••••••••• C••investment advisernRAUM $13B
- K•••• A••••••• R•••••• I••••••••• M••••••••• L••investment advisernRAUM $39B
- N•• I••••••••• G••••• L••investment advisernRAUM $3.0B
- S••• C•• M••••••••• G• L••pooled vehicle sponsorn
- S••• C•• M••••••••• L••investment advisernRAUM $336M
- S•••••• C•••••• M••••••••• L••investment advisernRAUM $3.0B
- V••••• A••••••••• Investment Advisers, LLCinvestment adviserbanknRAUM $1.1B
- V••••• Advisers, LLCinvestment adviserbanknRAUM $1.4B
- V••••• F•••• I••••• A•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $35B
- V••••• Capital Advisers, LLCinvestment adviserbankpooled vehicle sponsornRAUM $1.5B
- V••••• G••••• P••••••• P••• L•••investment advisern
- V••••• I••••••••• F••• M••••••••• L••••••investment adviserpooled vehicle sponsorn
- V••••• I••••••••• M••••••••• L••investment advisern
- V••••• Investment Advisers, LLCinvestment adviserbankpooled vehicle sponsornRAUM $52B
- V• D••••••••• L••broker-dealern
- W••••••••• C•••••• M••••••••• L••investment adviserbanknRAUM $2.9B
- W••••••••• C•••••• P•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $34.2M
Advisers that list S••••••••• G••••• A•••••••• L• as a related person
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom1 employees
- Sydney, Australia1 employees
ADV anomalies
0 against comparable advisers; where to look, not conclusions
Nothing stands out against peers.
Data quality: total accounts (5.F.2.f) is below the private client count (5.D) by half or more on the filing of 2026-03-30
What changed
consecutive filings, newest first
- Accounts · 83 to 66Jul 24, 2025 to Mar 30, 2026
- Advisory employees · 17 to 18Jul 24, 2025 to Mar 30, 2026
- Charity clients · 4 to 2Jul 24, 2025 to Mar 30, 2026
- Corporate clients · 13 to 15Jul 24, 2025 to Mar 30, 2026
- HNW clients · 11 to 10Jul 24, 2025 to Mar 30, 2026
- Individual clients · 192 to 160Jul 24, 2025 to Mar 30, 2026
- Pension plan clients · 17 to 7Jul 24, 2025 to Mar 30, 2026
- Pooled vehicle clients · 18 to 12Jul 24, 2025 to Mar 30, 2026
- Employees · 34 to 33Jul 24, 2025 to Mar 30, 2026
- Discretionary RAUM · $22B to $17BJul 24, 2025 to Mar 30, 2026
- HNW RAUM · $42.6M to $39.3MJul 24, 2025 to Mar 30, 2026
- Individual RAUM · $204M to $153MJul 24, 2025 to Mar 30, 2026
- Pension RAUM · $1.4B to $497MJul 24, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $9.0B to $5.5BJul 24, 2025 to Mar 30, 2026
- RAUM · $22B to $17BJul 24, 2025 to Mar 30, 2026
- Wrap assets (manager) · $204M to $153MJul 24, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 28, 2025 to Jul 24, 2025
- Accounts · 87 to 83Jul 24, 2024 to Mar 28, 2025
- Advisory employees · 16 to 17Jul 24, 2024 to Mar 28, 2025
- Charity clients · 5 to 4Jul 24, 2024 to Mar 28, 2025
- Corporate clients · 11 to 13Jul 24, 2024 to Mar 28, 2025
- HNW clients · 12 to 11Jul 24, 2024 to Mar 28, 2025
- Individual clients · 248 to 192Jul 24, 2024 to Mar 28, 2025
- Pension plan clients · 18 to 17Jul 24, 2024 to Mar 28, 2025
- Employees · 33 to 34Jul 24, 2024 to Mar 28, 2025
- Discretionary RAUM · $24B to $22BJul 24, 2024 to Mar 28, 2025
- HNW RAUM · $37.7M to $42.6MJul 24, 2024 to Mar 28, 2025
- Individual RAUM · $234M to $204MJul 24, 2024 to Mar 28, 2025
- Pension RAUM · $1.5B to $1.4BJul 24, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $8.0B to $9.0BJul 24, 2024 to Mar 28, 2025
- RAUM · $24B to $22BJul 24, 2024 to Mar 28, 2025
- Wrap assets (manager) · $234M to $204MJul 24, 2024 to Mar 28, 2025
- Accounts · 89 to 87Jul 25, 2023 to Mar 27, 2024
- Advisory employees · 17 to 16Jul 25, 2023 to Mar 27, 2024
- Corporate clients · 8 to 11Jul 25, 2023 to Mar 27, 2024
- HNW clients · 14 to 12Jul 25, 2023 to Mar 27, 2024
- Individual clients · 281 to 248Jul 25, 2023 to Mar 27, 2024
- Pension plan clients · 20 to 18Jul 25, 2023 to Mar 27, 2024
- Pooled vehicle clients · 22 to 18Jul 25, 2023 to Mar 27, 2024
- Employees · 34 to 33Jul 25, 2023 to Mar 27, 2024
Signals
7 dated events
- H••••••••• G•••• (Principal & Executive Committee Member) appeared on Schedule A of S••••••••• G••••• A•••••••• L•Jul 24, 2024 · Control person joined · fact
- Patrice George Fraise (Principal & Executive Committee Member) no longer on Schedule A of S••••••••• G••••• A•••••••• L• (listed 2024-03-27, absent 2024-07-24)Jul 24, 2024 · Control person left · inference
- S••••••••• G••••• A•••••••• L• reported RAUM $23.9B, up 30% from $18.4B (2023-07-25 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- D Kishore Rao (Principal & Executive Committee Member) appeared on Schedule A of S••••••••• G••••• A•••••••• L•Jul 25, 2023 · Control person joined · fact
- Michael Gordon Marchand (Principal & Executive Committee Member) no longer on Schedule A of S••••••••• G••••• A•••••••• L• (listed 2023-03-30, absent 2023-07-25)Jul 25, 2023 · Control person left · inference
- S••••••••• G••••• A•••••••• L• reported RAUM $18.8B, up 52% from $12.3B (2020-06-12 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- S••••••••• G••••• A•••••••• L• reported RAUM $12.3B, up 36% from $9.1B (2019-03-29 to 2020-03-27)Mar 27, 2020 · 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
- V•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-348-4742reportedpublic record, Form ADV, Mar 30, 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