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•••• C•••••• M••••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 146842SEC 801-77899IAPD
Latest filing Mar 31, 2015
First filing on the tape Mar 28, 2013 · 5 filings
RAUM
$1.2M
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$1.2M gross assets
History
5 filings and snapshots on the tape
RAUM$1.2M as of Mar 31, 2015
Mar 31, 2014$1.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2015
Mar 31, 20142 then
Employees (5.A)2 as of Mar 31, 2015
Mar 31, 20143 then
Private funds1 as of Mar 31, 2015
Mar 31, 20141 then
RAUM -6.3% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2015; every figure names its basis
RAUM per advisor
$615,525derivedRAUM 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
$1.2MderivedRAUM 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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-6.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 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
  • 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)
  • 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
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••• G••••• E••••••• M•••••• F••• L•Hedge Fund$1.2M1Mar 28, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • J•••••••• X•• · Managing Membercontrol
        since 03/2008 · owns 75% or more
      • S•••••••• G••••••• H•••••••• · Chief Compliance Officercontrol
        since 10/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 3 to 2
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.3M to $1.2M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $1.3M to $1.2M
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.0M to $1.3M
        Sep 3, 2013 to Mar 31, 2014
      • RAUM · $1.0M to $1.3M
        Sep 3, 2013 to Mar 31, 2014
      Signals
      1 dated events
      • S•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 28, 2013 · 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