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•••• M••••••••• G••••• L••
Latest filing Aug 23, 2023
First filing on the tape Mar 28, 2012 · 17 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$103M as of Mar 28, 2022
Mar 28, 2012$83.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2023
Mar 28, 20120 then
Employees (5.A)1 as of Mar 28, 2023
Apr 1, 20133 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 23, 2023; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• C••••••••• M••••••• | Brooklyn, Ny | Sep 16, 2021 | 28 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- R••••• F•••••• W•••• to A••••••• P••••••••• A•••••••• I••Jan 11, 2017 · Other
- A••• J•• B•••••••• to A••••••• P••••••••• A•••••••• I••Apr 18, 2013 · Other
Joined, latest
- A••• J•• B•••••••• from S•••• A•••• M••••••••• I•••Mar 27, 2008 · Other
- R••••• F•••••• W•••• from S•••• A•••• M••••••••• I•••Mar 27, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• J•••••• C••••••••• · Managing Member/Chief Compliance Officercontrolsince 09/2007 · 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 · 510.0 to unsetMar 28, 2022 to Mar 28, 2023
- Advisory activities · 2 to 1Mar 28, 2022 to Mar 28, 2023
- Discretionary RAUM · 102972942.0 to unsetMar 28, 2022 to Mar 28, 2023
- Non-discretionary RAUM · 0.0 to unsetMar 28, 2022 to Mar 28, 2023
- RAUM · 102972942.0 to unsetMar 28, 2022 to Mar 28, 2023
- Discretionary RAUM · $96.9M to $103MMar 25, 2021 to Mar 28, 2022
- RAUM · $96.9M to $103MMar 25, 2021 to Mar 28, 2022
- Accounts · 494 to 510Mar 23, 2020 to Mar 25, 2021
- Discretionary RAUM · $66.9M to $96.9MMar 23, 2020 to Mar 25, 2021
- RAUM · $66.9M to $96.9MMar 23, 2020 to Mar 25, 2021
- Accounts · 472 to 494Mar 26, 2019 to Mar 23, 2020
- Discretionary RAUM · $83.4M to $66.9MMar 26, 2019 to Mar 23, 2020
- RAUM · $83.4M to $66.9MMar 26, 2019 to Mar 23, 2020
- Accounts · 461 to 472Mar 29, 2018 to Mar 26, 2019
- Discretionary RAUM · $87.5M to $83.4MMar 29, 2018 to Mar 26, 2019
- RAUM · $87.5M to $83.4MMar 29, 2018 to Mar 26, 2019
- Accounts · 447 to 461Jul 21, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Jul 21, 2017 to Mar 29, 2018
- Discretionary RAUM · $78.7M to $87.5MJul 21, 2017 to Mar 29, 2018
- RAUM · $78.7M to $87.5MJul 21, 2017 to Mar 29, 2018
- Accounts · 469 to 447Mar 21, 2016 to Mar 28, 2017
- BD registered reps · 2 to 0Mar 21, 2016 to Mar 28, 2017
- Employees · 3 to 1Mar 21, 2016 to Mar 28, 2017
- State-registered IARs · 2 to 0Mar 21, 2016 to Mar 28, 2017
- Discretionary RAUM · $73.2M to $78.7MMar 21, 2016 to Mar 28, 2017
- RAUM · $73.2M to $78.7MMar 21, 2016 to Mar 28, 2017
- Accounts · 479 to 469Mar 23, 2015 to Mar 21, 2016
- Discretionary RAUM · $87.0M to $73.2MMar 23, 2015 to Mar 21, 2016
- RAUM · $87.0M to $73.2MMar 23, 2015 to Mar 21, 2016
- Accounts · 1 to 479Apr 1, 2014 to Mar 23, 2015
- Discretionary RAUM · $75.0M to $87.0MApr 1, 2014 to Mar 23, 2015
- RAUM · $75.0M to $87.0MApr 1, 2014 to Mar 23, 2015
- Accounts · 477 to 1Apr 1, 2013 to Apr 1, 2014
- Discretionary RAUM · $87.0M to $75.0MApr 1, 2013 to Apr 1, 2014
- RAUM · $87.0M to $75.0MApr 1, 2013 to Apr 1, 2014
- Accounts · 506 to 477Mar 28, 2012 to Apr 1, 2013
- Advisory employees · unset to 1.0Mar 28, 2012 to Apr 1, 2013
- BD registered reps · unset to 2.0Mar 28, 2012 to Apr 1, 2013
- Employees · unset to 3.0Mar 28, 2012 to Apr 1, 2013
- State-registered IARs · 0 to 2Mar 28, 2012 to Apr 1, 2013
Signals
No event on the tape.
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