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••••••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 28, 2012 · 20 filings
SEC status approved since Aug 20, 2004
RAUM
$763M
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
6
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$763M as of Mar 31, 2026
Mar 28, 2012$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20130 then
Employees (5.A)6 as of Mar 31, 2026
Apr 1, 20137 then
Private funds5 as of Mar 31, 2026
Mar 28, 20128 then
RAUM -27% over the last fiscal year-12% 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
- $153MderivedRAUM 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
- -27%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$763M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1.0derived
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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| U• C•••••• F•••••• V•• L••• | Securitized Asset Fund | $330M | 15 | Mar 28, 2012 |
| U• C•••••• F•••••• I•• L••• | Securitized Asset Fund | $249M | 7 | Mar 28, 2012 |
| U• C•••••• F•••••• V• L••• | Securitized Asset Fund | $193M | 10 | Mar 28, 2012 |
| U• C•••••• F•••••• I•• L••• | Securitized Asset Fund | $150M | 33 | Mar 28, 2012 |
| U• C•••••• F•••••• I••• L••• | Securitized Asset Fund | $109M | 13 | Mar 28, 2012 |
| U• C•••••• F•••••• I• L•• | Securitized Asset Fund | $90.5M | 10 | Mar 28, 2012 |
| S••• B••• F••• I•• L•no longer reported | Hedge Fund | $83.9M | 5 | Mar 28, 2012 |
| S••• B••• F•••• L•no longer reported | Hedge Fund | $58.9M | 8 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••••• P••••••• J••••• · Chief Financial Officercontrolsince 04/2014 · owns less than 5%
- S•••••••• R•••••• N••••• · Chief Compliance Officercontrolsince 03/2014 · owns less than 5%
- S••••••••• G••••• · Executive Officercontrolsince 01/2007 · owns less than 5%
- S•••••• J•••••• S••••• · Presidentcontrolsince 02/2004 · owns less than 5%
- S•••••• J•••••• S••••• · Managing Membercontrolsince 06/2003 · owns 25% to 50% of Stone Castle Partners, LLC
Entity owners
- S••••••••• A••••••• S•••••••• L•• · Sole Memberdirect · owns 75% or more
- C••••••••• E••••• F••• V•• L• · Memberindirect · owns 25% to 50% of S••••••••• P•••••••• L••
- S••••••••• P•••••••• L•• · Sole Memberindirect · owns 75% or more of S••••••••• A••••••• S•••••••• L••
Related persons
Schedule D 7.A
- S••••••••• A••••••• S•••••••• L••investment advisery
- S••••••••• A•••• M••••••••• L••investment advisernRAUM $7.5M
- S••••••••• I••••••••• M••••••••• L••investment advisern
- S••••••••• L••• M••••••••• L••investment advisern
- S••••••••• P•••••••• L••investment advisery
- S••••••••• S••••••••• L••broker-dealern
- S••••••••• T•••• C••n
Advisers that list S••••••••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $1,049,566,334 to $763,430,789 (-27.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +8.0% (673 comparable advisers, 7.0th percentile of changes)peers: asset managers, $500M to $1B (673) · 7.0% percentile
What changed
consecutive filings, newest first
- Accounts · 6 to 5Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 2 to 1Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 4 to 1Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 6 to 5Mar 31, 2025 to Mar 31, 2026
- Employees · 9 to 6Mar 31, 2025 to Mar 31, 2026
- Private funds · 6 to 5Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.0B to $763MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.0B to $763MMar 31, 2025 to Mar 31, 2026
- RAUM · $1.0B to $763MMar 31, 2025 to Mar 31, 2026
- Financial planning clients · unset to May 31, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.1B to $1.0BMay 31, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.1B to $1.0BMay 31, 2024 to Mar 31, 2025
- RAUM · $1.1B to $1.0BMay 31, 2024 to Mar 31, 2025
- Advisory employees · 7 to 2Mar 31, 2023 to Mar 30, 2024
- BD registered reps · 5 to 4Mar 31, 2023 to Mar 30, 2024
- Discretionary RAUM · $1.1B to $1.1BMar 31, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $1.1B to $1.1BMar 31, 2023 to Mar 30, 2024
- RAUM · $1.1B to $1.1BMar 31, 2023 to Mar 30, 2024
- Discretionary RAUM · $1.2B to $1.1BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.2B to $1.1BMar 31, 2022 to Mar 31, 2023
- RAUM · $1.2B to $1.1BMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.2B to $1.2BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.2B to $1.2BMar 31, 2021 to Mar 31, 2022
- RAUM · $1.2B to $1.2BMar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.3B to $1.2BMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $1.3B to $1.2BMar 30, 2020 to Mar 31, 2021
- RAUM · $1.3B to $1.2BMar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.3B to $1.3BMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $1.3B to $1.3BMar 29, 2019 to Mar 30, 2020
- RAUM · $1.3B to $1.3BMar 29, 2019 to Mar 30, 2020
- Employees · 7 to 9Jun 12, 2018 to Mar 29, 2019
- Discretionary RAUM · $1.3B to $1.3BJun 12, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $1.3B to $1.3BJun 12, 2018 to Mar 29, 2019
- RAUM · $1.3B to $1.3BJun 12, 2018 to Mar 29, 2019
- Pooled vehicle clients · unset to 6.0Mar 30, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 30, 2017 to Mar 29, 2018
- Discretionary RAUM · $1.5B to $1.3BMar 30, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 1331547309.0Mar 30, 2017 to Mar 29, 2018
- RAUM · $1.5B to $1.3BMar 30, 2017 to Mar 29, 2018
- Discretionary RAUM · $1.5B to $1.5BAug 29, 2016 to Mar 30, 2017
Signals
1 dated events
- S••••••••• A•••••••• L•• reported RAUM $763.4M, down 27% from $1.0B (2025-03-31 to 2026-03-31)Mar 31, 2026 · 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
- s•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-354-6500reportedpublic 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