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.
Former SEC-registered adviser
S••••• A•••• S••••••••• W••••• M••••••••• L••
Latest filing Mar 23, 2015
First filing on the tape Mar 28, 2012 · 12 filings
RAUM
$9.5M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$7.5M gross assets
History
12 filings and snapshots on the tape
RAUM$9.5M as of Mar 23, 2015
Mar 28, 2012$45.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 23, 2015
Mar 27, 20136 then
Employees (5.A)1 as of Mar 23, 2015
Mar 27, 20138 then
Private funds2 as of Mar 23, 2015
Mar 28, 20122 then
RAUM -88% over the last fiscal year-41% a year over threeIARs 6 to 1
Practice profile
derived from the filing of Mar 23, 2015; every figure names its basis
- RAUM per advisor
- $9.5MderivedRAUM 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
- $128,108derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -88%derivedbetween the last two annual amendments
- Advisor growth, one year
- -83%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $7.5M, 7 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)
- has custody of client cash or bank accounts (9.A.1.a)
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
- 74reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.5M for 7 clientsreported
- Compensation
- % of AUM, hourly, 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
- T••••• E•••• K••••• to B••• M••• W••••• A•••••••• L•••Oct 2, 2014 · Other
- A••• Q•••••• Z•••••••• to B••• M••• W••••• A•••••••• L•••Sep 9, 2014 · Other
- H••• K••• to C• P••••••• C•••Sep 16, 2013 · Other
Joined, latest
- H••• K••• from S••••• A•••• S••••••••• I••••••••• A•••••••• I•••Mar 9, 2012 · Other
- T••••• E•••• K••••• from A••••••••• F•••••••• S•••••••• L••Feb 10, 2011 · Other
- A••• Q•••••• Z•••••••• from A••••••• R••••••• G••••• L••Jun 8, 2010 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• S••••• V•••• F•••• L•• | Other Private Fund | $6.6M | 1 | Mar 28, 2012 |
| S••••• S•••••••• O••••••••• F••• I• L•• | Private Equity Fund | $860,000 | 6 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Y••• C••••• Y•••• · Manager & Chief Compliance Officercontrolsince 02/2006 · owns 75% or more
- Y••• C••••• Y•••• · Membercontrolsince 07/2009 · owns 75% or more of S••••• Asset S••••••••• Group, LLC
Entity owners
- S••••• A•••• S••••••••• G••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••• A•••• S••••••••• I••••••••• A•••••••• I•••investment advisery
- S••••• A•••• S••••••••• I••••••••• M••••••••• L••investment advisery
- S••••• A•••• S••••••••• K••••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 440 to 74Jan 13, 2015 to Mar 23, 2015
- Advisory employees · 6 to 1Jan 13, 2015 to Mar 23, 2015
- Advisory activities · 3 to 1Jan 13, 2015 to Mar 23, 2015
- Assets in custody · $10.2M to $7.5MJan 13, 2015 to Mar 23, 2015
- Employees · 8 to 1Jan 13, 2015 to Mar 23, 2015
- fin p••••••• clients · 1-10 to unsetJan 13, 2015 to Mar 23, 2015
- State-registered IARs · 6 to 1Jan 13, 2015 to Mar 23, 2015
- Discretionary RAUM · $82.0M to $9.5MJan 13, 2015 to Mar 23, 2015
- Non-discretionary RAUM · $339,689 to $0Jan 13, 2015 to Mar 23, 2015
- RAUM · $82.3M to $9.5MJan 13, 2015 to Mar 23, 2015
- Accounts · 385 to 440Jan 13, 2014 to Mar 17, 2014
- Assets in custody · $483,361 to $10.2MJan 13, 2014 to Mar 17, 2014
- fin p••••••• clients · 0 to 1-10Jan 13, 2014 to Mar 17, 2014
- Discretionary RAUM · $66.2M to $82.0MJan 13, 2014 to Mar 17, 2014
- Non-discretionary RAUM · $3.7M to $339,689Jan 13, 2014 to Mar 17, 2014
- RAUM · $69.9M to $82.3MJan 13, 2014 to Mar 17, 2014
- Accounts · 270 to 385Mar 28, 2012 to Mar 27, 2013
- Advisory employees · unset to 6.0Mar 28, 2012 to Mar 27, 2013
- Employees · unset to 8.0Mar 28, 2012 to Mar 27, 2013
- State-registered IARs · unset to 6.0Mar 28, 2012 to Mar 27, 2013
- Discretionary RAUM · $43.1M to $66.2MMar 28, 2012 to Mar 27, 2013
- Non-discretionary RAUM · $2.3M to $3.7MMar 28, 2012 to Mar 27, 2013
- RAUM · $45.4M to $69.9MMar 28, 2012 to Mar 27, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- S••••• A•••• S••••••••• W••••• M••••••••• L•• · Private Equityshared crd · organization
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