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••••••• R••• A•••• M••••••••• L••
Latest filing Feb 1, 2024
First filing on the tape Nov 18, 2014 · 40 filings
RAUM
$455M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
33%
$149M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
44
13 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
10
$185M gross assets
History
40 filings and snapshots on the tape
RAUM$455M as of Mar 31, 2023
Mar 12, 2015$25.5M then
HNW client RAUM$114M as of Mar 31, 2023
Mar 31, 2021$17.1M then
State-registered IARs (5.B.3)4 as of Mar 31, 2023
Mar 12, 20155 then
Employees (5.A)44 as of Mar 31, 2023
Mar 12, 20157 then
Private funds10 as of Mar 31, 2023
Mar 12, 20152 then
RAUM -5.8% over the last fiscal year-13% a year over threeIARs 4 to 4offices 1 to 2
Practice profile
derived from the filing of Feb 1, 2024; every figure names its basis
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 11.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +184%derived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $171M, 10 clientsreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$178M39%
- High-net-worth individuals$114M25%
- Investment companies$53.5M12%
- State and municipal entities$51.1M11%
- Individuals$34.6M7.6%
- Pension and profit-sharing plans$21.9M4.8%
- Charitable organizations$1.5M0.3%
- Individual clients
- 122reported
- HNW clients
- 40reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 187reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $171M for 10 clientsreported
- 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
- J••• E••••• C•••• to A• W••••• P•••••••Jul 18, 2023 · Other
Joined, latest
- J••• E••••• C•••• from B•••••• C•••••• I••Aug 14, 2018 · Other
Private funds
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V••••• E••••• F•••• L•no longer reported | Hedge Fund | $40.1M | 55 | Mar 29, 2019 |
| V••••• E••••• F•••• L•• | Hedge Fund | $33.4M | 45 | Mar 29, 2019 |
| O•• L••• | Other Private Fund | $10.5M | 16 | Mar 9, 2022 |
| R••• C•••••• P••••••• F•••no longer reported | Hedge Fund | $7.4M | 2 | Nov 18, 2014 |
| H••••••• C•••••• P••••••• L• | Hedge Fund | $6.8M | 24 | Sep 11, 2018 |
| S••••••• R••• I• L•••no longer reported | Private Equity Fund | $6.2M | 20 | Mar 29, 2019 |
| S••••••• R••• I• L••• S••••• A• | Private Equity Fund | $4.8M | 19 | Aug 24, 2022 |
| D••••••••• 5• C•••••• P••••••• F••• L•no longer reported | Hedge Fund | $4.0M | 2 | Nov 18, 2014 |
| L••••••• P•••••••• L• | Hedge Fund | $2.6M | 11 | Mar 31, 2021 |
| B•••• R•••• F•••••••• P•••••••• L•no longer reported | Hedge Fund | $1.8M | 3 | Mar 23, 2018 |
| S••••••• R••• I• L••• S••••• B• ••••• S••••• E•• | Hedge Fund | $542,262 | 2 | Aug 24, 2022 |
| Q•••• U•• L•••• C•• F•••• L••• | Hedge Fund | $489,958 | 4 | Aug 24, 2022 |
| S••••••• R••• I• L••• S••••• C• | Private Equity Fund | $396,910 | 11 | Aug 24, 2022 |
Owners and control persons
Schedule A and B, latest filing
- S••••• A•••••• A••••••• · Chairman And Interim Chief Financial Officer And Chief Compliance Officercontrolsince 06/2022 · owns less than 5%
- S••••• A•••••• A••••••• · Elected Managercontrolsince 06/2020 · owns 25% to 50% of S••••••• R••• F•••••••• P•••••••• L••
- C••••• J•••• E••••• · Elected Managersince 06/2020 · owns F of S••••••• R••• F•••••••• P•••••••• L••
- P••••••• G••••••• A•••• · Elected Managersince 10/2013 · owns F of S••••••• R••• F•••••••• P•••••••• L••
Entity owners
- S••••••• R••• F•••••••• P•••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- G••••••• I••••••••• L••investment adviseryRAUM $329M
- P••• C•••••• M••••••••• C••••••• L••investment adviseryRAUM $1.9B
- S••••••• R••• G•• L••pooled vehicle sponsory
- S••••••• R••• R••••••••• S••••••••• L••investment advisery
- S•••••• A•••• M••••••••• L••investment adviseryRAUM $19.0M
Advisers that list S••••••• R••• A•••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Darien, CT6 employees
- New York, NY5 employees
What changed
consecutive filings, newest first
- Accounts · 80 to 187Feb 27, 2023 to Mar 31, 2023
- Advisory employees · 10 to 13Feb 27, 2023 to Mar 31, 2023
- BD registered reps · 6 to 4Feb 27, 2023 to Mar 31, 2023
- Charity clients · unset to 3.0Feb 27, 2023 to Mar 31, 2023
- HNW clients · 13 to 40Feb 27, 2023 to Mar 31, 2023
- Individual clients · 50 to 122Feb 27, 2023 to Mar 31, 2023
- Pension plan clients · unset to 1.0Feb 27, 2023 to Mar 31, 2023
- Pooled vehicle clients · 12 to 11Feb 27, 2023 to Mar 31, 2023
- Assets in custody · $204M to $171MFeb 27, 2023 to Mar 31, 2023
- Employees · 25 to 44Feb 27, 2023 to Mar 31, 2023
- Private funds · 11 to 10Feb 27, 2023 to Mar 31, 2023
- Discretionary RAUM · $356M to $411MFeb 27, 2023 to Mar 31, 2023
- HNW RAUM · $16.1M to $114MFeb 27, 2023 to Mar 31, 2023
- Individual RAUM · $10.7M to $34.6MFeb 27, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $0 to $44.3MFeb 27, 2023 to Mar 31, 2023
- Pension RAUM · $100.0M to $21.9MFeb 27, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $194M to $178MFeb 27, 2023 to Mar 31, 2023
- RAUM · $356M to $455MFeb 27, 2023 to Mar 31, 2023
- Other offices · 1 to 2Sep 2, 2022 to Feb 27, 2023
- Accounts · 75 to 80Mar 31, 2022 to Aug 24, 2022
- Advisory activities · 4 to 3Mar 31, 2022 to Aug 24, 2022
- Individual clients · 44 to 50Mar 31, 2022 to Aug 24, 2022
- Pooled vehicle clients · 10 to 12Mar 31, 2022 to Aug 24, 2022
- Assets in custody · $75.7M to $204MMar 31, 2022 to Aug 24, 2022
- Financial planning clients · 26-50 to unsetMar 31, 2022 to Aug 24, 2022
- Private funds · 9 to 11Mar 31, 2022 to Aug 24, 2022
- Discretionary RAUM · $483M to $356MMar 31, 2022 to Aug 24, 2022
- HNW RAUM · $29.4M to $16.1MMar 31, 2022 to Aug 24, 2022
- Individual RAUM · $14.8M to $10.7MMar 31, 2022 to Aug 24, 2022
- Pension RAUM · $138M to $100.0MMar 31, 2022 to Aug 24, 2022
- Pooled vehicle RAUM · $262M to $194MMar 31, 2022 to Aug 24, 2022
- RAUM · $483M to $356MMar 31, 2022 to Aug 24, 2022
- Related broker-dealer · true to falseMar 31, 2022 to Aug 24, 2022
- Accounts · 37 to 75Mar 9, 2022 to Mar 31, 2022
- Advisory employees · 7 to 10Mar 9, 2022 to Mar 31, 2022
- BD registered reps · 7 to 6Mar 9, 2022 to Mar 31, 2022
- Charity clients · 2.0 to unsetMar 9, 2022 to Mar 31, 2022
- Corporate clients · 1.0 to unsetMar 9, 2022 to Mar 31, 2022
- HNW clients · 22 to 13Mar 9, 2022 to Mar 31, 2022
- Individual clients · unset to 44.0Mar 9, 2022 to Mar 31, 2022
Signals
22 dated events
- Mclean Andrew Daly (Chief Operating Officer) no longer on Schedule A of S••••••• R••• A•••• M••••••••• L•• (listed 2023-09-28, absent 2024-01-29)Jan 29, 2024 · Control person left · inference
- Meredith Jennifer Shields (General Counsel And Chief Compliance Officer) no longer on Schedule A of S••••••• R••• A•••• M••••••••• L•• (listed 2023-09-28, absent 2024-01-29)Jan 29, 2024 · Control person left · inference
- J Marc Brookman (Chief Executive Officer) no longer on Schedule A of S••••••• R••• A•••• M••••••••• L•• (listed 2023-09-28, absent 2024-01-29)Jan 29, 2024 · Control person left · inference
- Andrew James Wylie (Chief Marketing Officer) no longer on Schedule A of S••••••• R••• A•••• M••••••••• L•• (listed 2023-09-28, absent 2024-01-29)Jan 29, 2024 · Control person left · inference
- John James Mcdermott (Chief Financial Officer) no longer on Schedule A of S••••••• R••• A•••• M••••••••• L•• (listed 2023-03-31, absent 2023-09-28)Sep 28, 2023 · Control person left · inference
- J••• E••••• C•••• left S••••••• R••• A•••• M••••••••• L•• for A• W••••• P••••••• (registered 2023-09-27)Jul 18, 2023 · Advisor changed firm · fact
- Chapman Blakely Page (Member) no longer on Schedule A of S••••••• R••• A•••• M••••••••• L•• (listed 2023-02-27, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Meredith Jennifer Shields (General Counsel And Chief Compliance Officer) appeared on Schedule A of S••••••• R••• A•••• M••••••••• L••Aug 24, 2022 · Control person joined · fact
- John James Mcdermott (Chief Financial Officer) appeared on Schedule A of S••••••• R••• A•••• M••••••••• L••Aug 24, 2022 · Control person joined · fact
- S••••••• R••• A•••• M••••••••• L•• reported RAUM $356.0M, down 26% from $483.2M (2022-03-31 to 2022-08-24)Aug 24, 2022 · RAUM change · derived
- Edward John Coyne (Chairman) no longer on Schedule A of S••••••• R••• A•••• M••••••••• L•• (listed 2022-03-31, absent 2022-08-24)Aug 24, 2022 · Control person left · inference
- J Marc Brookman (Chief Executive Officer) appeared on Schedule A of S••••••• R••• A•••• M••••••••• L••Aug 24, 2022 · Control person joined · fact
- S••••••• R••• A•••• M••••••••• L•• reported RAUM $483.2M, down 34% from $734.5M (2022-03-09 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S••••••• R••• A•••• M••••••••• L•• reported RAUM $734.5M, up 34% from $547.7M (2021-08-19 to 2022-03-09)Mar 9, 2022 · RAUM change · derived
- S••••••• R••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 9, 2022 · Succession (Item 4) · fact
- R Linda Ridolfi (Chief Compliance Officer) no longer on Schedule A of S••••••• R••• A•••• M••••••••• L•• (listed 2021-03-31, absent 2021-07-30)Jul 30, 2021 · Control person left · inference
- Mclean Andrew Daly (Chief Operating Officer) appeared on Schedule A of S••••••• R••• A•••• M••••••••• L••Mar 31, 2021 · Control person joined · fact
- R Linda Ridolfi (Chief Compliance Officer) appeared on Schedule A of S••••••• R••• A•••• M••••••••• L••Mar 31, 2021 · Control person joined · fact
- Dianne Descoteaux (Chief Compliance Officer) no longer on Schedule A of S••••••• R••• A•••• M••••••••• L•• (listed 2021-02-24, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Dianne Descoteaux (Chief Compliance Officer) appeared on Schedule A of S••••••• R••• A•••• M••••••••• L••Aug 28, 2020 · Control person joined · fact
- S••••••• R••• A•••• M••••••••• L•• reported RAUM $690.8M, up 32% from $523.8M (2019-04-02 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- S••••••• R••• F•••••••• filed its initial SEC registration (Form ADV)Nov 18, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••• R••• A•••• M••••••••• L•• · Private Equityshared crd · organization
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