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••••••••• A••••••• S•••••••• L••
Latest filing Mar 31, 2017
First filing on the tape Jun 11, 2012 · 9 filings
RAUM
$381M
reported, Item 5.F
Discretionary
4.3%
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$381M as of Mar 31, 2017
Apr 2, 2013$105M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Apr 2, 20130 then
Employees (5.A)1 as of Mar 31, 2017
Apr 2, 20131 then
Private funds: no history
RAUM +275% over the last fiscal year+50% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 4.3%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
- +275%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 183reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
Left, latest
- K•••• D•••• S•••••• to E•••• L••Dec 31, 2017 · Other
- K•••• D•••• S•••••• to E•••••• A•••• A••••••• L••Mar 30, 2012 · Other
Joined, latest
- K•••• D•••• S•••••• from E•••••• A••••••••• S••••••••• L••Jul 10, 2012 · Other
- K•••• D•••• S•••••• from R•••••• J•••• • A••••••••• I•••Mar 30, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• K••••• D•••• · Managing Member/Managing Director/Chief Compliance Officercontrolsince 01/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list S•••••• I••••••••• A••••••• S•••••••• L•• as a related person
- 145770 n
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
- Accounts · 64 to 183Nov 8, 2016 to Mar 31, 2017
- Discretionary RAUM · $15.0M to $16.5MNov 8, 2016 to Mar 31, 2017
- Non-discretionary RAUM · $397M to $365MNov 8, 2016 to Mar 31, 2017
- RAUM · $412M to $381MNov 8, 2016 to Mar 31, 2017
- Accounts · 34 to 64Mar 31, 2016 to Nov 8, 2016
- Non-discretionary RAUM · $86.7M to $397MMar 31, 2016 to Nov 8, 2016
- RAUM · $102M to $412MMar 31, 2016 to Nov 8, 2016
- Accounts · 36 to 34Apr 2, 2015 to Mar 31, 2016
- Discretionary RAUM · $18.4M to $15.0MApr 2, 2015 to Mar 31, 2016
- Non-discretionary RAUM · $85.5M to $86.7MApr 2, 2015 to Mar 31, 2016
- RAUM · $104M to $102MApr 2, 2015 to Mar 31, 2016
- Discretionary RAUM · $18.3M to $18.4MMar 31, 2014 to Apr 2, 2015
- Non-discretionary RAUM · $94.8M to $85.5MMar 31, 2014 to Apr 2, 2015
- RAUM · $113M to $104MMar 31, 2014 to Apr 2, 2015
- Accounts · 54 to 36Apr 2, 2013 to Mar 31, 2014
- Discretionary RAUM · $16.3M to $18.3MApr 2, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $88.8M to $94.8MApr 2, 2013 to Mar 31, 2014
- RAUM · $105M to $113MApr 2, 2013 to Mar 31, 2014
- Related adviser · true to falseApr 2, 2013 to Mar 31, 2014
- Accounts · 51 to 54Jun 22, 2012 to Apr 2, 2013
- Advisory employees · unset to 1.0Jun 22, 2012 to Apr 2, 2013
- Advisory activities · 3 to 2Jun 22, 2012 to Apr 2, 2013
- Employees · unset to 1.0Jun 22, 2012 to Apr 2, 2013
- Discretionary RAUM · $19.3M to $16.3MJun 22, 2012 to Apr 2, 2013
- Non-discretionary RAUM · $85.0M to $88.8MJun 22, 2012 to Apr 2, 2013
- RAUM · $104M to $105MJun 22, 2012 to Apr 2, 2013
Signals
1 dated events
- S•••••• I••••••••• A••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Jun 11, 2012 · First SEC registration · fact
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