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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Former SEC-registered adviser

S•••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 136683SEC 801-64711IAPD
Latest filing May 30, 2019
First filing on the tape Mar 30, 2012 · 22 filings
RAUM
$1.4B
reported, Item 5.F
Discretionary
36%
of RAUM
Private clients
56%
$804M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$46.8M gross assets
History
22 filings and snapshots on the tape
RAUM$1.4B as of Mar 1, 2019
Mar 30, 2012$1.5B then
HNW client RAUM$804M as of Mar 1, 2019
Feb 28, 2018$857M then
State-registered IARs (5.B.3)0 as of Mar 1, 2019
Mar 27, 20130 then
Employees (5.A)12 as of Mar 1, 2019
Mar 27, 201316 then
Private funds1 as of Mar 1, 2019
Mar 30, 20122 then
RAUM -14% over the last fiscal year-2.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 30, 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
$15.2MderivedHNW RAUM over HNW clients
Average account
$17.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
36%derivedof RAUM
Institutional
41%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
-14%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
Custody
$351M, 54 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$804M56%
  • Charitable organizations$576M40%
  • Pooled investment vehicles$46.8M3.3%
  • Pension and profit-sharing plans$4.4M0.3%
Individual clients
n/areported
HNW clients
53reported
Pension plan clients
1reported
Charitable clients
26reported
Accounts
81reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$351M for 54 clientsreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    T•• C••••••••• F•••• L•no longer reportedOther Private Fund$4.8M3Mar 30, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• A•••••• C••••••••• · Managing Directrorcontrol
      since 07/2005 · owns less than 5%
    • S••••••••• R••••• D•••• · Managing Director - Chief Investment Officercontrol
      since 07/2005 · owns less than 5%
    • W••••• S••••••• B•••• · Managing Director - Chief Compliance Officercontrol
      since 07/2005 · owns less than 5%
    Entity owners
    • S•••••• G••••• L•• · Owner
      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•••••••• · 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•••••••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 74 to 81
      Feb 28, 2018 to Mar 1, 2019
    • Advisory employees · 10 to 9
      Feb 28, 2018 to Mar 1, 2019
    • Charity clients · 27 to 26
      Feb 28, 2018 to Mar 1, 2019
    • HNW clients · 44 to 53
      Feb 28, 2018 to Mar 1, 2019
    • Pooled vehicle clients · 2 to 1
      Feb 28, 2018 to Mar 1, 2019
    • Assets in custody · $322M to $351M
      Feb 28, 2018 to Mar 1, 2019
    • Employees · 16 to 12
      Feb 28, 2018 to Mar 1, 2019
    • Private funds · 2 to 1
      Feb 28, 2018 to Mar 1, 2019
    • Discretionary RAUM · $519M to $514M
      Feb 28, 2018 to Mar 1, 2019
    • HNW RAUM · $857M to $804M
      Feb 28, 2018 to Mar 1, 2019
    • Non-discretionary RAUM · $1.1B to $917M
      Feb 28, 2018 to Mar 1, 2019
    • Pension RAUM · $3.9M to $4.4M
      Feb 28, 2018 to Mar 1, 2019
    • Pooled vehicle RAUM · $54.5M to $46.8M
      Feb 28, 2018 to Mar 1, 2019
    • RAUM · $1.7B to $1.4B
      Feb 28, 2018 to Mar 1, 2019
    • Accounts · 71 to 74
      Feb 7, 2018 to Feb 28, 2018
    • Charity clients · unset to 27.0
      Feb 7, 2018 to Feb 28, 2018
    • HNW clients · unset to 44.0
      Feb 7, 2018 to Feb 28, 2018
    • Pension plan clients · unset to 1.0
      Feb 7, 2018 to Feb 28, 2018
    • Pooled vehicle clients · unset to 2.0
      Feb 7, 2018 to Feb 28, 2018
    • Discretionary RAUM · $545M to $519M
      Feb 7, 2018 to Feb 28, 2018
    • HNW RAUM · unset to 856736457.0
      Feb 7, 2018 to Feb 28, 2018
    • Non-discretionary RAUM · $1.1B to $1.1B
      Feb 7, 2018 to Feb 28, 2018
    • Pension RAUM · unset to 3936368.0
      Feb 7, 2018 to Feb 28, 2018
    • Pooled vehicle RAUM · unset to 54457350.0
      Feb 7, 2018 to Feb 28, 2018
    • RAUM · $1.6B to $1.7B
      Feb 7, 2018 to Feb 28, 2018
    • Other offices · unset to 0.0
      Mar 30, 2017 to Feb 7, 2018
    • Accounts · 63 to 71
      Oct 31, 2016 to Mar 30, 2017
    • Advisory employees · 13 to 10
      Oct 31, 2016 to Mar 30, 2017
    • BD registered reps · 0 to 1
      Oct 31, 2016 to Mar 30, 2017
    • Assets in custody · $765M to $322M
      Oct 31, 2016 to Mar 30, 2017
    • Employees · 17 to 16
      Oct 31, 2016 to Mar 30, 2017
    • Discretionary RAUM · $522M to $545M
      Oct 31, 2016 to Mar 30, 2017
    • Non-discretionary RAUM · $1.0B to $1.1B
      Oct 31, 2016 to Mar 30, 2017
    • RAUM · $1.6B to $1.6B
      Oct 31, 2016 to Mar 30, 2017
    • Assets in custody · $69.8M to $765M
      Mar 30, 2016 to Oct 25, 2016
    • Accounts · 60 to 63
      Nov 25, 2015 to Mar 30, 2016
    • Advisory employees · 12 to 13
      Nov 25, 2015 to Mar 30, 2016
    • Assets in custody · $0 to $69.8M
      Nov 25, 2015 to Mar 30, 2016
    • Discretionary RAUM · $464M to $522M
      Nov 25, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $1.1B to $1.0B
      Nov 25, 2015 to Mar 30, 2016
    Signals
    1 dated events
    • Markley Timothy Ghriskey (Owner) no longer on Schedule A of S•••••• A•••••••• L•• (listed 2019-03-01, absent 2019-04-11)
      Apr 11, 2019 · Control person left · inference
    Across DFX
    shared identifiers only, never a name match
    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