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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

S•••••• A•••• M•••••••••

Former SEC-registered adviserNew York, New YorkCRD 129650SEC 801-62742IAPD
Latest filing Mar 1, 2019
First filing on the tape Mar 30, 2012 · 19 filings
RAUM
$106M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$81.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$106M as of Feb 26, 2019
Mar 30, 2012$179M then
HNW client RAUM$81.2M as of Feb 26, 2019
Jan 30, 2018$222M then
State-registered IARs (5.B.3)0 as of Feb 26, 2019
Mar 28, 20130 then
Employees (5.A)10 as of Feb 26, 2019
Mar 28, 201311 then
Private funds1 as of Jan 30, 2018
Mar 30, 20121 then
RAUM -62% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 1, 2019; 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
$8.1MderivedHNW RAUM over HNW clients
Average account
$8.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
23%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
-62%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$38.0M, 6 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$81.2M77%
  • Charitable organizations$24.7M23%
Individual clients
n/areported
HNW clients
10reported
Pension plan clients
n/areported
Charitable clients
3reported
Accounts
13reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$38.0M for 6 clientsreported
Compensation
% of AUMreported
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
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    T•• G••••• F•••• L•Hedge Fund$655,91113Mar 30, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• A•••••• C••••••••• · Managing Directorcontrol
      since 12/2003 · owns less than 5%
    • S••••••••• R••••• D•••• · Managing Directorcontrol
      since 12/2003 · owns less than 5%
    • W••••• S••••••• B•••• · Managing Director - Chief Compliance Officercontrol
      since 12/2003 · owns less than 5%
    Entity owners
    • S•••••• G••••• L•• · Shareholder
      direct · owns 75% or more
    • C•••••• S•••••• I••• · Member
      indirect · owns 25% to 50% of S•••••• G••••• L••
    • S•• S•••••• L•• · Sole Shareholder
      indirect · owns 75% or more of C•••••• S•••••• I•••
    • S••••• F•••••• I••••••••• T•••• G•••• A• C•••••••• · The Sole Manager And Ira Owner/C•••••••• For Ira Of S••••• F••••••
      indirect · owns 75% or more of S•• S•••••• L••
    Related persons
    Schedule D 7.A
    Advisers that list S•••••• A•••• M••••••••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 54 to 13
      Jan 30, 2018 to Feb 26, 2019
    • Charity clients · 6 to 3
      Jan 30, 2018 to Feb 26, 2019
    • HNW clients · 37 to 10
      Jan 30, 2018 to Feb 26, 2019
    • Individual clients · 10.0 to unset
      Jan 30, 2018 to Feb 26, 2019
    • Pooled vehicle clients · 1.0 to unset
      Jan 30, 2018 to Feb 26, 2019
    • Assets in custody · $100.0M to $38.0M
      Jan 30, 2018 to Feb 26, 2019
    • Employees · 11 to 10
      Jan 30, 2018 to Feb 26, 2019
    • Private funds · 1 to unset
      Jan 30, 2018 to Feb 26, 2019
    • Discretionary RAUM · $276M to $106M
      Jan 30, 2018 to Feb 26, 2019
    • HNW RAUM · $222M to $81.2M
      Jan 30, 2018 to Feb 26, 2019
    • Individual RAUM · 4054030.0 to unset
      Jan 30, 2018 to Feb 26, 2019
    • Pooled vehicle RAUM · 655911.0 to unset
      Jan 30, 2018 to Feb 26, 2019
    • RAUM · $276M to $106M
      Jan 30, 2018 to Feb 26, 2019
    • Accounts · 55 to 54
      Mar 30, 2017 to Jan 30, 2018
    • Advisory employees · 6 to 5
      Mar 30, 2017 to Jan 30, 2018
    • Advisory activities · 3 to 2
      Mar 30, 2017 to Jan 30, 2018
    • Charity clients · unset to 6.0
      Mar 30, 2017 to Jan 30, 2018
    • HNW clients · unset to 37.0
      Mar 30, 2017 to Jan 30, 2018
    • Individual clients · unset to 10.0
      Mar 30, 2017 to Jan 30, 2018
    • Pooled vehicle clients · unset to 1.0
      Mar 30, 2017 to Jan 30, 2018
    • Assets in custody · $99.2M to $100.0M
      Mar 30, 2017 to Jan 30, 2018
    • Employees · 12 to 11
      Mar 30, 2017 to Jan 30, 2018
    • Other offices · unset to 0.0
      Mar 30, 2017 to Jan 30, 2018
    • Discretionary RAUM · $251M to $276M
      Mar 30, 2017 to Jan 30, 2018
    • HNW RAUM · unset to 222471125.0
      Mar 30, 2017 to Jan 30, 2018
    • Individual RAUM · unset to 4054030.0
      Mar 30, 2017 to Jan 30, 2018
    • Pooled vehicle RAUM · unset to 655911.0
      Mar 30, 2017 to Jan 30, 2018
    • RAUM · $251M to $276M
      Mar 30, 2017 to Jan 30, 2018
    • Advisory employees · 4 to 6
      Nov 3, 2016 to Mar 30, 2017
    • Assets in custody · $91.2M to $99.2M
      Nov 3, 2016 to Mar 30, 2017
    • Employees · 11 to 12
      Nov 3, 2016 to Mar 30, 2017
    • Discretionary RAUM · $257M to $251M
      Nov 3, 2016 to Mar 30, 2017
    • RAUM · $257M to $251M
      Nov 3, 2016 to Mar 30, 2017
    • Assets in custody · $2.2M to $91.2M
      Mar 29, 2016 to Oct 25, 2016
    • Accounts · 74 to 55
      Nov 25, 2015 to Mar 29, 2016
    • Assets in custody · $0 to $2.2M
      Nov 25, 2015 to Mar 29, 2016
    • Custody of client assets · false to true
      Nov 25, 2015 to Mar 29, 2016
    • Discretionary RAUM · $260M to $257M
      Nov 25, 2015 to Mar 29, 2016
    • RAUM · $260M to $257M
      Nov 25, 2015 to Mar 29, 2016
    • Accounts · 52 to 74
      Jul 14, 2015 to Nov 25, 2015
    Signals
    2 dated events
    • S•••••• A•••• M••••••••• reported RAUM $105.9M, down 62% from $276.1M (2018-01-30 to 2019-02-26)
      Feb 26, 2019 · RAUM change · derived
    • Markley Timothy Ghriskey (Managing Director - Chief Investment Officer) no longer on Schedule A of S•••••• A•••• M••••••••• (listed 2018-01-30, absent 2019-02-26)
      Feb 26, 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.
    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