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•••• I•••••••••
Legal name S•••• • R••• L••
Latest filing Jun 6, 2018
First filing on the tape Mar 8, 2012 · 18 filings
RAUM
$306M
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
15
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
22
$231M gross assets
History
18 filings and snapshots on the tape
RAUM$306M as of Mar 29, 2018
Mar 8, 2012$7.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 8, 20120 then
Employees (5.A)15 as of Mar 29, 2018
Mar 27, 201354 then
Private funds22 as of Mar 29, 2018
Mar 8, 201242 then
RAUM -47% over the last fiscal year-33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 6, 2018; 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
- $12.2MderivedRAUM 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
- -47%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
- $205M, 22 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$306M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 25reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $205M for 22 clientsreported
- Compensation
- % of AUM, performancereported
- 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
- R••••• A•••• D• D••••• to I•• W••••• P•••••••• L••Nov 21, 2007 · Other
Joined, latest
- R••••• A•••• D• D••••• from S••••• C•••••• M••••••••• I••Aug 11, 2006 · Other
Private funds
42 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• I••••••••• I••••••••• L••• | Hedge Fund | $71.8M | 423 | Mar 8, 2012 |
| S•••• S••••• A•••• F••• L•• | Hedge Fund | $44.6M | 398 | Mar 8, 2012 |
| S••••••• S••••• A•••• L••• | Hedge Fund | $42.2M | 488 | Mar 8, 2012 |
| S•••• I••••••••• L•••••• P••••••••• | Hedge Fund | $25.4M | 398 | Mar 8, 2012 |
| S•••• E••••• I•••••••• L••no longer reported | Hedge Fund | $21.9M | 13 | Mar 8, 2012 |
| S•••• S••••• A•••• M••••• L••• | Hedge Fund | $10.9M | 2 | Mar 8, 2012 |
| S•••• G••••• O••••••••• F••• L••• | Hedge Fund | $7.1M | 14 | Mar 8, 2012 |
| S•••• G••••• O••••••••• M••••• F••• L••• | Hedge Fund | $6.7M | 2 | Mar 8, 2012 |
| S••••••• G••••••• F•••• L••• | Hedge Fund | $6.6M | 8 | Mar 8, 2012 |
| D•••••••• I••••••••• V••••••••• S••••••••• T•••••• L•••no longer reported | Hedge Fund | $4.3M | 2 | Mar 8, 2012 |
| S•••• M••••• F••• L••• | Hedge Fund | $3.5M | 3 | Mar 8, 2012 |
| S•••• A•• O••••••••• M••••• L•••no longer reported | Hedge Fund | $3.3M | 19 | Mar 8, 2012 |
| S•••• A••• M••••• F••• L••• | Hedge Fund | $2.9M | 2 | Mar 8, 2012 |
| D•••••••• I••••••••• V••••••••• S••••••••• F••• L•••no longer reported | Hedge Fund | $2.9M | 9 | Mar 8, 2012 |
| S•••• A••• F••• L••• | Hedge Fund | $2.6M | 18 | Mar 8, 2012 |
| S•••• S•••••••• C•• F••• L••• C•••• 2••• A•no longer reported | Hedge Fund | $2.3M | 4 | Mar 8, 2012 |
| S•••• G••••• O••••••••• F••• L• | Hedge Fund | $2.2M | 25 | Mar 8, 2012 |
| D•••••••• G••••• V•••• P••••••• F••• L••no longer reported | Hedge Fund | $2.2M | 17 | Mar 8, 2012 |
| S•••• M••••••• O••••••••• M••••• L•••no longer reported | Hedge Fund | $2.1M | 2 | Mar 8, 2012 |
| D•••••••• E••••••• E•••• F••• •••• L•••no longer reported | Hedge Fund | $2.0M | 12 | Mar 8, 2012 |
| S•••• M••••••• O••••••••• L•no longer reported | Hedge Fund | $1.9M | 15 | Mar 8, 2012 |
| D•••••••• I••••••••• V••••••••• S••••••••• F••• L••no longer reported | Hedge Fund | $1.4M | 9 | Mar 8, 2012 |
| S•••• A••• F••• L• | Hedge Fund | $1.1M | 7 | Mar 8, 2012 |
| D•••••••• G••••• V•••• P••••••• T•••••• L•••no longer reported | Hedge Fund | $1.1M | 2 | Mar 8, 2012 |
| D•••••••• E••••••• E•••• F••• •••• L•••no longer reported | Hedge Fund | $1.1M | 19 | Mar 8, 2012 |
| S••• O••••••• F•••no longer reported | Hedge Fund | $1.1M | 29 | Mar 8, 2012 |
| S••• O•••••• F•••no longer reported | Hedge Fund | $948,714 | 45 | Mar 8, 2012 |
| D•••••••• G••••• M••••••••• F••• L•• | Hedge Fund | $926,259 | 51 | Mar 8, 2012 |
| S•••• Q•• S•••••••• L••• | Hedge Fund | $692,891 | 3 | Mar 8, 2012 |
| D•••••••• G••••• M••••••••• F••• L•••••• | Hedge Fund | $453,652 | 75 | Mar 8, 2012 |
| D•••••••• G••••• M••••••••• M••••• F••• L• | Hedge Fund | $383,978 | 2 | Mar 8, 2012 |
| D•••••••• G••••• V•••• P••••••• F••• L•••no longer reported | Hedge Fund | $374,768 | 1 | Mar 8, 2012 |
| D•••••••• E••••••• E•••• M••••• F••• L•••no longer reported | Hedge Fund | $364,906 | 2 | Mar 8, 2012 |
| D•••••••• E•••• F••• L••• | Hedge Fund | $296,948 | 46 | Mar 8, 2012 |
| S•••• M••••••• O••••••••• L•••no longer reported | Hedge Fund | $276,369 | 4 | Mar 8, 2012 |
| D•••••••• E•••• F••• L•• | Hedge Fund | $270,933 | 26 | Mar 8, 2012 |
| D•••••••• E•••• T•••••• L••• | Hedge Fund | $112,301 | 2 | Mar 8, 2012 |
| S•••• C•••••••• F••• L••• | Hedge Fund | $62,977 | 3 | Mar 8, 2012 |
| D•••••••• E••••••• E•••• F••• L••no longer reported | Hedge Fund | $14,511 | 6 | Mar 8, 2012 |
| S•••• S•••••••• C•• F••• L••• C•••• 2••• A•no longer reported | Hedge Fund | $0 | 3 | Mar 8, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• R•••• R••••• · Chief Compliance Officercontrolsince 07/2013 · owns less than 5%
- B••••••• R•••••• J•••• · Deputy Chief Investment Officer And Principalcontrolsince 01/2000 · owns less than 5%
- M••••••• D•••••• J••••• · Chief Operating Officer, General Counsel And Principalcontrolsince 01/2006 · owns less than 5%
- R•••• M••••••• A•••••• · Executive Vice Presidentcontrolsince 08/1993 · owns less than 5%
- S••••• B••••• J•• · Chief Executive Officer And Chief Investment Officercontrolsince 08/1993 · owns less than 5%
- T••••••• J•••••• R•• · Chief Financial Officercontrolsince 01/2011 · owns less than 5%
- R•••• M••••••• A•••••• · Common Stock Shareholdercontrolsince 12/2010 · owns 25% to 50% of S•••• • R••• H•••••• I•••
- S••••• B••••• J•• · Common Stock Shareholdercontrolsince 12/2010 · owns 75% or more of S•••• • R••• H•••••• I•••
Entity owners
- S•••• • R••• H•••••• I••• · Memberdirect · owns 75% or more
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
- Accounts · 31 to 25Mar 28, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 16.0Mar 28, 2017 to Mar 29, 2018
- Assets in custody · $428M to $205MMar 28, 2017 to Mar 29, 2018
- Employees · 17 to 15Mar 28, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 28, 2017 to Mar 29, 2018
- Private funds · 26 to 22Mar 28, 2017 to Mar 29, 2018
- Discretionary RAUM · $579M to $306MMar 28, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 305708895.0Mar 28, 2017 to Mar 29, 2018
- RAUM · $579M to $306MMar 28, 2017 to Mar 29, 2018
- Accounts · 32 to 31Mar 30, 2016 to Mar 28, 2017
- Advisory employees · 9 to 6Mar 30, 2016 to Mar 28, 2017
- Assets in custody · $437M to $428MMar 30, 2016 to Mar 28, 2017
- Employees · 24 to 17Mar 30, 2016 to Mar 28, 2017
- Discretionary RAUM · $690M to $579MMar 30, 2016 to Mar 28, 2017
- RAUM · $690M to $579MMar 30, 2016 to Mar 28, 2017
- Accounts · 35 to 32Mar 31, 2015 to Mar 30, 2016
- Advisory employees · 10 to 9Mar 31, 2015 to Mar 30, 2016
- Assets in custody · $811M to $437MMar 31, 2015 to Mar 30, 2016
- Employees · 27 to 24Mar 31, 2015 to Mar 30, 2016
- Private funds · 29 to 26Mar 31, 2015 to Mar 30, 2016
- Discretionary RAUM · $1.0B to $690MMar 31, 2015 to Mar 30, 2016
- RAUM · $1.0B to $690MMar 31, 2015 to Mar 30, 2016
- Advisory employees · 13 to 10Jul 30, 2014 to Mar 31, 2015
- Assets in custody · $1.2B to $811MJul 30, 2014 to Mar 31, 2015
- Employees · 41 to 27Jul 30, 2014 to Mar 31, 2015
- HQ city · ST. FRANCIS to MILWAUKEEJul 30, 2014 to Mar 31, 2015
- Discretionary RAUM · $1.4B to $1.0BJul 30, 2014 to Mar 31, 2015
- RAUM · $1.4B to $1.0BJul 30, 2014 to Mar 31, 2015
- Accounts · 44 to 35Mar 25, 2014 to Jul 30, 2014
- Assets in custody · $1.3B to $1.2BMar 25, 2014 to Jul 30, 2014
- Employees · 42 to 41Mar 25, 2014 to Jul 30, 2014
- Private funds · 38 to 29Mar 25, 2014 to Jul 30, 2014
- Discretionary RAUM · $1.4B to $1.4BMar 25, 2014 to Jul 30, 2014
- RAUM · $1.4B to $1.4BMar 25, 2014 to Jul 30, 2014
- Accounts · 42 to 44Nov 15, 2013 to Mar 25, 2014
- Assets in custody · $1.3B to $1.3BNov 15, 2013 to Mar 25, 2014
- Employees · 47 to 42Nov 15, 2013 to Mar 25, 2014
- Discretionary RAUM · $1.4B to $1.4BNov 15, 2013 to Mar 25, 2014
- RAUM · $1.4B to $1.4BNov 15, 2013 to Mar 25, 2014
- Assets in custody · $1.4B to $1.3BSep 16, 2013 to Nov 15, 2013
Signals
1 dated events
- S•••• I••••••••• reported RAUM $305.7M, down 47% from $579.0M (2017-03-28 to 2018-03-29)Mar 29, 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.
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