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••••••••• I••••••••• M••••••••• U• L••

Former SEC-registered adviserSausalito, CaliforniaCRD 144012SEC 801-68144IAPD
Latest filing Mar 30, 2020
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$2.9B
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
9
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$2.9B gross assets
History
13 filings and snapshots on the tape
RAUM$2.9B as of Mar 30, 2020
Mar 30, 2012$2.2B then
HNW client RAUM$0 as of Mar 30, 2020
Mar 22, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 30, 20120 then
Employees (5.A)9 as of Mar 30, 2020
Mar 28, 201325 then
Private funds2 as of Mar 30, 2020
Mar 30, 20121 then
RAUM -23% over the last fiscal year-7.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$1.5BderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-23%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.9B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••••• I••••••••• F••• N•••• A•••••• L•Private Equity Fund$23.0M28Mar 30, 2012
      S••••••••• L•• I••••••••• L•Private Equity Fund$6.3M4Mar 28, 2013
      S••••••••• I••••••••• F••• N•••• A•••••• I• L•no longer reportedPrivate Equity Fund$00Mar 28, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• M••••••• J• · Chief Operating Officercontrol
        since 02/2008 · owns less than 5%
      • K•••••• C••••••••• P•••••• · Chief Executive Officercontrol
        since 06/2007 · owns less than 5%
      • M••••••• D•••••• T••••• · Partnercontrol
        since 02/2008 · owns less than 5%
      • M••••••• J•••• F•••••• · Chief Legal Officer / Chief Compliance Officercontrol
        since 11/2014 · owns less than 5%
      • P••••••• K••••••• A••••• · Chief Financial Officercontrol
        since 08/2007 · owns less than 5%
      • K•••••• C••••••••• P•••••• · Managercontrol
        since 05/2009 · owns 25% to 50% of S••••••••• S••••••• L••
      • K•••••• C••••••••• P•••••• · Managercontrol
        since 10/2011 · owns 50% to 75% of C•• S••••••••• H••••••• I• L••
      • M••••••• D•••••• T••••• · Limited Partnercontrol
        since 04/2009 · owns 25% to 50% of S••••••••• I••••••••• P••••••• L•
      • M••••••• D•••••• T••••• · Managercontrol
        since 05/2009 · owns 25% to 50% of S••••••••• S••••••• L••
      Entity owners
      • S••••••••• O••••••••• L• · Managing Member
        direct · owns 75% or more
      • C•• S••••••••• H••••••• I• L•• · Limited Partner
        indirect · owns 25% to 50% of S••••••••• I••••••••• P••••••• L•
      • S••••••••• I••••••••• P••••••• L• · Limited Partner
        indirect · owns 75% or more of S••••••••• O••••••••• L•
      • S••••••••• S••••••• L•• · General Partner
        indirect · owns F of S••••••••• I••••••••• P••••••• L•
      • S••••••••• S••••••• L•• · General Partner
        indirect · owns F of S••••••••• O••••••••• L•
      • C••••••••• P• K••••• 2••• F••••• T•••• · Member; Trustee Is Ivan Taback
        indirect · owns 25% to 50% of C•• S••••••••• H••••••• I• L••
      Related persons
      Schedule D 7.A
      • S••••••••• I••••••••• A••••••••• I•• L••
        pooled vehicle sponsorn
      • S••••••••• I••••••••• A••••••••• L••
        bankpooled vehicle sponsorn
      • S••••••••• I••••••••• P••••••• I•• L•
        pooled vehicle sponsorn
      • S••••••••• I••••••••• P••••••• L•
        investment advisern
      • S••••••••• S••••••• L••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY5 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 13 to 4
        Jul 30, 2019 to Mar 30, 2020
      • Employees · 21 to 9
        Jul 30, 2019 to Mar 30, 2020
      • Discretionary RAUM · $3.8B to $2.9B
        Jul 30, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $3.8B to $2.9B
        Jul 30, 2019 to Mar 30, 2020
      • RAUM · $3.8B to $2.9B
        Jul 30, 2019 to Mar 30, 2020
      • Discretionary RAUM · $3.7B to $3.8B
        Mar 22, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $3.7B to $3.8B
        Mar 22, 2018 to Mar 29, 2019
      • RAUM · $3.7B to $3.8B
        Mar 22, 2018 to Mar 29, 2019
      • Advisory employees · 12 to 13
        Mar 29, 2017 to Mar 22, 2018
      • Charity clients · unset to 0.0
        Mar 29, 2017 to Mar 22, 2018
      • Corporate clients · unset to 0.0
        Mar 29, 2017 to Mar 22, 2018
      • HNW clients · unset to 0.0
        Mar 29, 2017 to Mar 22, 2018
      • Individual clients · unset to 0.0
        Mar 29, 2017 to Mar 22, 2018
      • Pension plan clients · unset to 0.0
        Mar 29, 2017 to Mar 22, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 29, 2017 to Mar 22, 2018
      • Employees · 20 to 21
        Mar 29, 2017 to Mar 22, 2018
      • HQ city · SAN F••••••CO to SAUSALITO
        Mar 29, 2017 to Mar 22, 2018
      • Other offices · unset to 1.0
        Mar 29, 2017 to Mar 22, 2018
      • Discretionary RAUM · $3.7B to $3.7B
        Mar 29, 2017 to Mar 22, 2018
      • HNW RAUM · unset to 0.0
        Mar 29, 2017 to Mar 22, 2018
      • Individual RAUM · unset to 0.0
        Mar 29, 2017 to Mar 22, 2018
      • Pension RAUM · unset to 0.0
        Mar 29, 2017 to Mar 22, 2018
      • Pooled vehicle RAUM · unset to 3678921259.0
        Mar 29, 2017 to Mar 22, 2018
      • RAUM · $3.7B to $3.7B
        Mar 29, 2017 to Mar 22, 2018
      • Discretionary RAUM · $3.2B to $3.7B
        Mar 29, 2016 to Mar 29, 2017
      • RAUM · $3.2B to $3.7B
        Mar 29, 2016 to Mar 29, 2017
      • Advisory employees · 14 to 12
        Mar 27, 2015 to Mar 29, 2016
      • Employees · 21 to 20
        Mar 27, 2015 to Mar 29, 2016
      • Discretionary RAUM · $2.5B to $3.2B
        Mar 27, 2015 to Mar 29, 2016
      • RAUM · $2.5B to $3.2B
        Mar 27, 2015 to Mar 29, 2016
      • Employees · 25 to 21
        Dec 17, 2014 to Mar 27, 2015
      • Discretionary RAUM · $2.4B to $2.5B
        Dec 17, 2014 to Mar 27, 2015
      • RAUM · $2.4B to $2.5B
        Dec 17, 2014 to Mar 27, 2015
      • Accounts · 3 to 2
        Mar 28, 2014 to Dec 17, 2014
      • Private funds · 3 to 2
        Mar 28, 2014 to Dec 17, 2014
      • Accounts · 1 to 3
        Apr 9, 2013 to Mar 28, 2014
      • Discretionary RAUM · $2.3B to $2.4B
        Apr 9, 2013 to Mar 28, 2014
      • RAUM · $2.3B to $2.4B
        Apr 9, 2013 to Mar 28, 2014
      • Advisory employees · unset to 14.0
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 25.0
        Mar 30, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      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