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••••• F••••• L••
Latest filing Feb 25, 2026
First filing on the tape Mar 29, 2012 · 28 filings
SEC status approved since Sep 18, 2007
RAUM
$61.3M
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
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$61.3M as of Feb 25, 2026
Mar 29, 2012$119M then
HNW client RAUM$0 as of Feb 25, 2026
Mar 22, 2018$0 then
State-registered IARs (5.B.3)0 as of Feb 25, 2026
Mar 29, 20120 then
Employees (5.A)7 as of Feb 25, 2026
Mar 27, 20136 then
Private funds: no history
RAUM +2.6% over the last fiscal year+18% a year over threeIARs 3 to 0
Practice profile
derived from the filing of Feb 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
- $61.3MderivedRAUM 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
- +2.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$61.3M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••• R•••••• C••• · Portfolio Managercontrolsince 09/2007 · owns 75% or more
- B••••• R•••••• R••••• · Cheif Financial Officercontrolsince 09/2007 · owns less than 5%
- B••••• A•••••• L• · Chief Compliance Officercontrolsince 03/2019 · owns less than 5%
- B••••• R•••••• R••••• · Owner/Membercontrolsince 04/2012 · owns 50% to 75% of S••••• B•••• C•••••• M••••••••• L••
- G•••••••• D••••• S••••• · Owner/Membercontrolsince 04/2012 · owns 50% to 75% of S••••• B•••• C•••••• M••••••••• L••
Entity owners
- S••••• B•••• C•••••• M••••••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- I••••••••• P••••••••• L••investment advisernRAUM $785M
- S•••••••• S••••• B••••• L••investment advisernRAUM $317M
- S••••• B•••• I••••••••• A•••••••• L••investment advisernRAUM $1.4B
- T•••• G• L••pooled vehicle sponsorn
- T•••• A•••••••investment advisern
Advisers that list S••••• F••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 9 to 7Nov 17, 2025 to Feb 25, 2026
- Insurance-licensed employees · 3 to 0Nov 17, 2025 to Feb 25, 2026
- State-registered IARs · 3 to 0Nov 17, 2025 to Feb 25, 2026
- Discretionary RAUM · $59.8M to $61.3MNov 17, 2025 to Feb 25, 2026
- RAUM · $59.8M to $61.3MNov 17, 2025 to Feb 25, 2026
- Employees · 8 to 9Jul 29, 2025 to Nov 17, 2025
- Related adviser · true to falseJul 29, 2025 to Nov 17, 2025
- Financial planning clients · unset to Mar 27, 2025 to Jul 29, 2025
- HQ city · INDIANAPOLIS to CARMELMar 27, 2025 to Jul 29, 2025
- Discretionary RAUM · $51.8M to $59.8MMar 26, 2024 to Mar 27, 2025
- RAUM · $51.8M to $59.8MMar 26, 2024 to Mar 27, 2025
- Financial planning clients · 0 to unsetSep 6, 2023 to Mar 22, 2024
- Discretionary RAUM · $36.9M to $51.8MSep 6, 2023 to Mar 22, 2024
- RAUM · $36.9M to $51.8MSep 6, 2023 to Mar 22, 2024
- Employees · 6 to 8Mar 23, 2022 to Mar 24, 2023
- Discretionary RAUM · $26.0M to $36.9MMar 23, 2022 to Mar 24, 2023
- RAUM · $26.0M to $36.9MMar 23, 2022 to Mar 24, 2023
- Discretionary RAUM · $19.2M to $26.0MMar 26, 2021 to Mar 23, 2022
- RAUM · $19.2M to $26.0MMar 26, 2021 to Mar 23, 2022
- Discretionary RAUM · $25.2M to $19.2MMar 16, 2020 to Mar 26, 2021
- RAUM · $25.2M to $19.2MMar 16, 2020 to Mar 26, 2021
- Employees · 5 to 6May 16, 2019 to Mar 16, 2020
- Insurance-licensed employees · 2 to 3May 16, 2019 to Mar 16, 2020
- State-registered IARs · 2 to 3May 16, 2019 to Mar 16, 2020
- Discretionary RAUM · $22.0M to $25.2MMay 16, 2019 to Mar 16, 2020
- RAUM · $22.0M to $25.2MMay 16, 2019 to Mar 16, 2020
- Discretionary RAUM · $31.5M to $22.0MAug 1, 2018 to Mar 22, 2019
- RAUM · $31.5M to $22.0MAug 1, 2018 to Mar 22, 2019
- Charity clients · unset to 0.0Mar 24, 2017 to Mar 22, 2018
- Corporate clients · unset to 0.0Mar 24, 2017 to Mar 22, 2018
- HNW clients · unset to 0.0Mar 24, 2017 to Mar 22, 2018
- Individual clients · unset to 0.0Mar 24, 2017 to Mar 22, 2018
- Pension plan clients · unset to 0.0Mar 24, 2017 to Mar 22, 2018
- Pooled vehicle clients · unset to 0.0Mar 24, 2017 to Mar 22, 2018
- Other offices · unset to 0.0Mar 24, 2017 to Mar 22, 2018
- Discretionary RAUM · $25.7M to $31.5MMar 24, 2017 to Mar 22, 2018
- HNW RAUM · unset to 0.0Mar 24, 2017 to Mar 22, 2018
- Individual RAUM · unset to 0.0Mar 24, 2017 to Mar 22, 2018
- Pension RAUM · unset to 0.0Mar 24, 2017 to Mar 22, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 24, 2017 to Mar 22, 2018
Signals
1 dated events
- Lynn Audrey Kurzawa (Chief Compliance Officer) appeared on Schedule A of S••••• F••••• L••Apr 25, 2019 · Control person joined · fact
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/sbauer-funds-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••FUNDS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 317-814-5000reportedpublic record, Form ADV, Feb 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