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••••• M••••••••• C••••••• L••
Latest filing Sep 26, 2025
First filing on the tape Jan 18, 2012 · 31 filings
SEC status approved since Jan 5, 2010
RAUM
$6.4B
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
23
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$6.4B as of Sep 26, 2025
Oct 1, 2012$3.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 26, 2025
Oct 1, 20120 then
Employees (5.A)23 as of Sep 26, 2025
Sep 30, 201319 then
Private funds1 as of Sep 26, 2025
Oct 1, 20121 then
RAUM +8.5% over the last fiscal year+1.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 26, 2025; every figure names its basis
Archetypes, each a printed rule
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- 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
- $3.2BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 54%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
- +2.4%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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
- Charitable organizations$3.5B54%
- Pooled investment vehicles$2.9B46%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.46 institutional_share=0.54 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• R••••••• F•••• L• | Other Private Fund | $2.8B | 29 | Jan 18, 2012 |
| S••••• B••••• H•••••••• L• | Other Private Fund | $754,815 | 3 | Sep 28, 2018 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• R•••••• A••••• · Member, Board Of Managerscontrolsince 07/2015 · owns less than 5%
- H•••• D••••• B••••••• · Member, Board Of Managerscontrolsince 08/2013 · owns less than 5%
- H••••••• K••••• F•••••••• · Member, Board Of Managerscontrolsince 08/2021 · owns less than 5%
- H••••••••• K••••• E•••••••• · Deputy Chief Investment Officercontrolsince 01/2024 · owns less than 5%
- H••••••••• S••••• M••••• · Member, Board Of Managerscontrolsince 09/2022 · owns less than 5%
- K••••••• S••••••• J••••• · Member, Board Of Managerscontrolsince 03/2023 · owns less than 5%
- L••••••••• J••• C••••••• A••••• · Member, Board Of Managerscontrolsince 09/2010 · owns less than 5%
- M•••••• W•••••• · President / Chief Investment Officercontrolsince 01/2021 · owns less than 5%
- M••••••••• L••••• W•••••• · Member, Board Of Managerscontrolsince 07/2021 · owns less than 5%
- M••••• J•••••••• H••••• · Chief Compliance Officer / Chief Administrative Officercontrolsince 08/2018 · owns less than 5%
- Q••••••• P•••• B•••• · Member, Board Of Managerscontrolsince 11/2007 · owns less than 5%
- R•••••• R•••••• E••••• · Member, Board Of Managerscontrolsince 07/2024 · owns less than 5%
- R••••••• P•••••••• L••••• · Member, Board Of Managerscontrolsince 03/2012 · owns less than 5%
Entity owners
- U••••••••• O• R••••••• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••• B••••• • G•• L••pooled vehicle sponsory
- T•• R••••••• F••• M••••••••• C••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 2Sep 26, 2024 to Sep 26, 2025
- Pooled vehicle clients · 2 to 1Sep 26, 2024 to Sep 26, 2025
- Employees · 22 to 23Sep 26, 2024 to Sep 26, 2025
- Financial planning clients · unset to Sep 26, 2024 to Sep 26, 2025
- Private funds · 2 to 1Sep 26, 2024 to Sep 26, 2025
- Discretionary RAUM · $6.1B to $6.4BSep 26, 2024 to Sep 26, 2025
- Pooled vehicle RAUM · $2.8B to $2.9BSep 26, 2024 to Sep 26, 2025
- RAUM · $6.1B to $6.4BSep 26, 2024 to Sep 26, 2025
- Advisory employees · 9 to 10Sep 27, 2023 to Sep 26, 2024
- Employees · 19 to 22Sep 27, 2023 to Sep 26, 2024
- Discretionary RAUM · $5.9B to $6.1BSep 27, 2023 to Sep 26, 2024
- Pooled vehicle RAUM · $2.8B to $2.8BSep 27, 2023 to Sep 26, 2024
- RAUM · $5.9B to $6.1BSep 27, 2023 to Sep 26, 2024
- Employees · 16 to 19Sep 28, 2022 to Sep 27, 2023
- Discretionary RAUM · $5.8B to $5.9BSep 28, 2022 to Sep 27, 2023
- Pooled vehicle RAUM · $2.7B to $2.8BSep 28, 2022 to Sep 27, 2023
- RAUM · $5.8B to $5.9BSep 28, 2022 to Sep 27, 2023
- Accounts · 3 to 4Sep 28, 2021 to Sep 28, 2022
- Advisory employees · 8 to 9Sep 28, 2021 to Sep 28, 2022
- Employees · 18 to 16Sep 28, 2021 to Sep 28, 2022
- Discretionary RAUM · $6.2B to $5.8BSep 28, 2021 to Sep 28, 2022
- Pooled vehicle RAUM · $2.8B to $2.7BSep 28, 2021 to Sep 28, 2022
- RAUM · $6.2B to $5.8BSep 28, 2021 to Sep 28, 2022
- Employees · 16 to 18Jan 8, 2021 to Sep 28, 2021
- Discretionary RAUM · $4.4B to $6.2BJan 8, 2021 to Sep 28, 2021
- Pooled vehicle RAUM · $2.0B to $2.8BJan 8, 2021 to Sep 28, 2021
- RAUM · $4.4B to $6.2BJan 8, 2021 to Sep 28, 2021
- Advisory employees · 10 to 8Sep 26, 2019 to Sep 26, 2020
- Employees · 20 to 16Sep 26, 2019 to Sep 26, 2020
- Discretionary RAUM · $4.8B to $4.4BSep 26, 2019 to Sep 26, 2020
- Pooled vehicle RAUM · $2.3B to $2.0BSep 26, 2019 to Sep 26, 2020
- RAUM · $4.8B to $4.4BSep 26, 2019 to Sep 26, 2020
- Advisory employees · 9 to 10Sep 28, 2018 to Sep 26, 2019
- Employees · 19 to 20Sep 28, 2018 to Sep 26, 2019
- Discretionary RAUM · $4.8B to $4.8BSep 28, 2018 to Sep 26, 2019
- Pooled vehicle RAUM · $2.3B to $2.3BSep 28, 2018 to Sep 26, 2019
- RAUM · $4.8B to $4.8BSep 28, 2018 to Sep 26, 2019
- Accounts · 2 to 3Aug 10, 2018 to Sep 28, 2018
- Advisory employees · 11 to 9Aug 10, 2018 to Sep 28, 2018
- Pooled vehicle clients · unset to 2.0Aug 10, 2018 to Sep 28, 2018
Signals
12 dated events
- Edward Robert Rigsby (Member, Board Of Managers) appeared on Schedule A of S••••• M••••••••• C••••••• L••Sep 26, 2024 · Control person joined · fact
- H. Herbert Mcdade Iii (Member, Board Of Managers) no longer on Schedule A of S••••• M••••••••• C••••••• L•• (listed 2022-09-28, absent 2023-09-27)Sep 27, 2023 · Control person left · inference
- Joseph Stephen Kneeley (Member, Board Of Managers) appeared on Schedule A of S••••• M••••••••• C••••••• L••Sep 27, 2023 · Control person joined · fact
- Joseph Robin Blandford (Chief Executive Officer) no longer on Schedule A of S••••• M••••••••• C••••••• L•• (listed 2021-09-28, absent 2022-09-28)Sep 28, 2022 · Control person left · inference
- Coles Steven Henderson (Director Of Investments) no longer on Schedule A of S••••• M••••••••• C••••••• L•• (listed 2021-09-28, absent 2022-09-28)Sep 28, 2022 · Control person left · inference
- Elizabeth Karen Horn-Welch (Managing Director Of Investments) appeared on Schedule A of S••••• M••••••••• C••••••• L••Sep 28, 2022 · Control person joined · fact
- Moomaw Susan Humphreville (Member, Board Of Managers) appeared on Schedule A of S••••• M••••••••• C••••••• L••Sep 28, 2022 · Control person joined · fact
- S••••• M••••••••• C••••••• L•• reported RAUM $6.2B, up 39% from $4.4B (2021-01-08 to 2021-09-28)Sep 28, 2021 · RAUM change · derived
- William Louis Moelchert (Member, Board Of Managers) appeared on Schedule A of S••••• M••••••••• C••••••• L••Sep 28, 2021 · Control person joined · fact
- Frederick Kevin Hallock (Member, Board Of Managers) appeared on Schedule A of S••••• M••••••••• C••••••• L••Sep 28, 2021 · Control person joined · fact
- William Mclean (President / Chief Investment Officer) appeared on Schedule A of S••••• M••••••••• C••••••• L••Jan 8, 2021 · Control person joined · fact
- Walter Leonard Sandridge (Member, Board Of Managers) no longer on Schedule A of S••••• M••••••••• C••••••• L•• (listed 2018-09-28, absent 2019-09-26)Sep 26, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- S••••• M••••••••• C••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- H•••://LINKEDIN.COM/COMPANY/S•••••-MANAGEMENT-COMPANY-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- iam.intralinks.com/idp/loginreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 804-289-6010reportedpublic record, Form ADV, Sep 26, 2025
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
- Other 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