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.
SEC-registered adviser
S••••••• A•••• M••••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Mar 8, 2012 · 23 filings
SEC status approved since Jul 7, 2005
RAUM
$125M
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
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$125M as of Mar 27, 2026
Mar 8, 2012$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 18, 20130 then
Employees (5.A)2 as of Mar 27, 2026
Mar 18, 201319 then
Private funds1 as of Mar 27, 2026
Mar 8, 20121 then
RAUM +25% over the last fiscal year+21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $41.7MderivedRAUM 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
- +25%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
- Custody
- $125M, 3 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$125M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $125M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• C••••• O••••••••• M••••• F••• L• | Hedge Fund | $89.1M | 310 | Mar 8, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• H•••••• J••••• · Chief Compliance Officer And Limited Partnercontrolsince 04/2005 · owns 25% to 50%
- W••••• K••••• M••• · Limited Partnercontrolsince 01/2021 · owns 25% to 50%
- G•••••• H•••••• J••••• · Managing Membercontrolsince 04/2005 · owns 50% to 75% of S••••••• Holdings, LLC
- W••••• K••••• M••• · Managing Membercontrolsince 04/2005 · owns 50% to 75% of S••••••• Holdings, LLC
Entity owners
- S••••••• H••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S••••••• G• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Assets in custody · $100M to $125MMar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $100M to $125MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $100M to $125MMar 28, 2025 to Mar 27, 2026
- RAUM · $100M to $125MMar 28, 2025 to Mar 27, 2026
- Assets in custody · $89.1M to $100MMar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- HQ city · unset to Mar 29, 2024 to Mar 28, 2025
- HQ state · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $89.1M to $100MMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $89.1M to $100MMar 29, 2024 to Mar 28, 2025
- RAUM · $89.1M to $100MMar 29, 2024 to Mar 28, 2025
- Assets in custody · $71.1M to $89.1MMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $71.1M to $89.1MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $71.1M to $89.1MMar 31, 2023 to Mar 29, 2024
- RAUM · $71.1M to $89.1MMar 31, 2023 to Mar 29, 2024
- Assets in custody · $80.5M to $71.1MMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $80.5M to $71.1MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $80.5M to $71.1MMar 31, 2022 to Mar 31, 2023
- RAUM · $80.5M to $71.1MMar 31, 2022 to Mar 31, 2023
- Assets in custody · $229M to $80.5MJan 4, 2022 to Mar 31, 2022
- Discretionary RAUM · $236M to $80.5MJan 4, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $236M to $80.5MJan 4, 2022 to Mar 31, 2022
- RAUM · $236M to $80.5MJan 4, 2022 to Mar 31, 2022
- HQ city · STAMFORD to unsetMar 30, 2021 to Jan 4, 2022
- HQ state · CT to unsetMar 30, 2021 to Jan 4, 2022
- Legal name · S••••••• A•••• M••••••••• L• to S••••••• A•••• M••••••••• L•Mar 30, 2021 to Jan 4, 2022
- Other offices · 0 to 1Mar 30, 2021 to Jan 4, 2022
- Advisory employees · 8 to 2Oct 14, 2020 to Mar 30, 2021
- Assets in custody · $1.2B to $229MOct 14, 2020 to Mar 30, 2021
- Employees · 14 to 2Oct 14, 2020 to Mar 30, 2021
- Discretionary RAUM · $1.3B to $236MOct 14, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $1.3B to $236MOct 14, 2020 to Mar 30, 2021
- RAUM · $1.3B to $236MOct 14, 2020 to Mar 30, 2021
- Related adviser · false to trueOct 14, 2020 to Mar 30, 2021
- HQ city · GREENWICH to STAMFORDMar 25, 2020 to Jul 7, 2020
- Advisory employees · 11 to 8Mar 25, 2019 to Mar 25, 2020
- Assets in custody · $1.2B to $1.2BMar 25, 2019 to Mar 25, 2020
- Employees · 18 to 14Mar 25, 2019 to Mar 25, 2020
- Discretionary RAUM · $1.5B to $1.3BMar 25, 2019 to Mar 25, 2020
- Pooled vehicle RAUM · $1.5B to $1.3BMar 25, 2019 to Mar 25, 2020
Signals
6 dated events
- S••••••• A•••• M••••••••• L• reported RAUM $80.5M, down 66% from $236.2M (2022-01-04 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S••••••• A•••• M••••••••• L• reported RAUM $236.2M, down 82% from $1.3B (2020-10-14 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- H Jeffrey Cohen (Chief Compliance Officer) no longer on Schedule A of S••••••• A•••• M••••••••• L• (listed 2020-10-14, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- H Jeffrey Cohen (Chief Compliance Officer) appeared on Schedule A of S••••••• A•••• M••••••••• L•Oct 14, 2020 · Control person joined · fact
- Lewis Robert Thompson (Chief Financial Officer) no longer on Schedule A of S••••••• A•••• M••••••••• L• (listed 2020-07-07, absent 2020-10-14)Oct 14, 2020 · Control person left · inference
- John Michael Andersen (Chief Compliance Officer/General Counsel) no longer on Schedule A of S••••••• A•••• M••••••••• L• (listed 2020-07-07, absent 2020-10-14)Oct 14, 2020 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 914-450-4781reportedpublic record, Form ADV, Mar 27, 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