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•••• M••••••••• L•••••
Latest filing Mar 25, 2026
First filing on the tape Mar 29, 2012 · 22 filings
SEC status approved since Aug 8, 2011
RAUM
$152M
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$152M as of Mar 25, 2026
Mar 29, 2012$572M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 29, 20120 then
Employees (5.A)3 as of Mar 25, 2026
Mar 22, 20139 then
Private funds1 as of Mar 25, 2026
Mar 29, 20123 then
RAUM -13% over the last fiscal year-4.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $152MderivedRAUM 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
- -13%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
- $152M, 1 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$152M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $152M for 1 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=false 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• I••••••••• P••••••• M•••••• L•••no longer reported | Hedge Fund | $525M | 70 | Mar 29, 2012 |
| S•••••••• I••••••••• P•••••••• L•••no longer reported | Hedge Fund | $370M | 44 | Mar 29, 2012 |
| S•••••••• P•••••••• L••• | Hedge Fund | $194M | 47 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••••• B••••• J•• · Managing Membercontrolsince 01/2003 · owns 75% or more
- P•••••• M•••••••• H••••• · Chief Compliance Officer & Chief Financial Officercontrolsince 03/2019 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $175M to $152MJan 22, 2026 to Mar 25, 2026
- Discretionary RAUM · $175M to $152MJan 22, 2026 to Mar 25, 2026
- Pooled vehicle RAUM · $175M to $152MJan 22, 2026 to Mar 25, 2026
- RAUM · $175M to $152MJan 22, 2026 to Mar 25, 2026
- Accounts · 2 to 1Mar 27, 2024 to Mar 26, 2025
- Advisory activities · 2 to 1Mar 27, 2024 to Mar 26, 2025
- Assets in custody · $205M to $175MMar 27, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $205M to $175MMar 27, 2024 to Mar 26, 2025
- Individual RAUM · 10619183.0 to unsetMar 27, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $194M to $175MMar 27, 2024 to Mar 26, 2025
- RAUM · $205M to $175MMar 27, 2024 to Mar 26, 2025
- Advisory employees · 2 to 3May 15, 2023 to Mar 27, 2024
- Individual clients · 1.0 to unsetMay 15, 2023 to Mar 27, 2024
- Assets in custody · $163M to $205MMay 15, 2023 to Mar 27, 2024
- Discretionary RAUM · $172M to $205MMay 15, 2023 to Mar 27, 2024
- Individual RAUM · $9.2M to $10.6MMay 15, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $163M to $194MMay 15, 2023 to Mar 27, 2024
- RAUM · $172M to $205MMay 15, 2023 to Mar 27, 2024
- Assets in custody · $195M to $163MMar 23, 2022 to Mar 27, 2023
- Discretionary RAUM · $207M to $172MMar 23, 2022 to Mar 27, 2023
- Individual RAUM · $12.1M to $9.2MMar 23, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $195M to $163MMar 23, 2022 to Mar 27, 2023
- RAUM · $207M to $172MMar 23, 2022 to Mar 27, 2023
- Assets in custody · $226M to $195MMar 16, 2021 to Mar 23, 2022
- Discretionary RAUM · $234M to $207MMar 16, 2021 to Mar 23, 2022
- Individual RAUM · $8.3M to $12.1MMar 16, 2021 to Mar 23, 2022
- Pooled vehicle RAUM · $226M to $195MMar 16, 2021 to Mar 23, 2022
- RAUM · $234M to $207MMar 16, 2021 to Mar 23, 2022
- Assets in custody · $181M to $226MJun 24, 2020 to Mar 16, 2021
- Discretionary RAUM · $187M to $234MJun 24, 2020 to Mar 16, 2021
- Individual RAUM · $6.0M to $8.3MJun 24, 2020 to Mar 16, 2021
- Pooled vehicle RAUM · $181M to $226MJun 24, 2020 to Mar 16, 2021
- RAUM · $187M to $234MJun 24, 2020 to Mar 16, 2021
- Accounts · 1 to 2Mar 19, 2019 to Mar 23, 2020
- Advisory activities · 1 to 2Mar 19, 2019 to Mar 23, 2020
- Individual clients · unset to 1.0Mar 19, 2019 to Mar 23, 2020
- Assets in custody · $120M to $181MMar 19, 2019 to Mar 23, 2020
- Employees · 5 to 3Mar 19, 2019 to Mar 23, 2020
- Other offices · 1 to 0Mar 19, 2019 to Mar 23, 2020
Signals
4 dated events
- Eric Scott Perlen (Chief Financial Officer) no longer on Schedule A of S•••••••• A•••• M••••••••• L••••• (listed 2019-03-19, absent 2020-03-23)Mar 23, 2020 · Control person left · inference
- S•••••••• A•••• M••••••••• L••••• reported RAUM $119.9M, down 81% from $639.4M (2018-03-14 to 2019-03-19)Mar 19, 2019 · RAUM change · derived
- Helena Michelle Peluso (Chief Compliance Officer) appeared on Schedule A of S•••••••• A•••• M••••••••• L•••••Mar 19, 2019 · Control person joined · fact
- S•••••••• A•••• M••••••••• L••••• reported RAUM $639.4M, down 25% from $855.8M (2017-07-24 to 2018-03-14)Mar 14, 2018 · 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
- Firm profile
- linkedin.com/company/sheffield-asset-management/aboutreportedpublic record, Form ADV, Sep 19, 2026
- Website
- S••••••••MGMT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-506-6400reportedpublic record, Form ADV, Mar 25, 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