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•••• S••••• A•••••••• L••
Latest filing Jun 24, 2022
First filing on the tape Mar 28, 2012 · 18 filings
RAUM
$179M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
68%
$123M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$56.8M gross assets
History
18 filings and snapshots on the tape
RAUM$179M as of Mar 16, 2022
Mar 28, 2012$120M then
HNW client RAUM$123M as of Mar 16, 2022
Mar 8, 2018$98.8M then
State-registered IARs (5.B.3)0 as of Mar 16, 2022
Mar 28, 20120 then
Employees (5.A)2 as of Mar 16, 2022
Mar 20, 20132 then
Private funds1 as of Mar 16, 2022
Mar 28, 20121 then
RAUM -11% over the last fiscal year+6.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 24, 2022; 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
- $24.5MderivedHNW RAUM over HNW clients
- Average account
- $25.6MderivedRAUM 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
- -11%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $56.8M, 2 clientsreportedItem 9.A
- 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
- High-net-worth individuals$123M68%
- Pooled investment vehicles$56.8M32%
- Individual clients
- n/areported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $56.8M for 2 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
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• 2•••• L•• | Other Private Fund | $96.9M | 1 | Jan 20, 2023 |
| S•••• S••••• G••••• E••••• F•••• L•• | Hedge Fund | $31.2M | 4 | Mar 28, 2012 |
| B••• C•••• G••••• E••••• F••• L••no longer reported | Hedge Fund | $10.4M | 1 | Feb 28, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• M••••••• S•••• · Chief Compliance Officercontrolsince 02/2020 · owns less than 5%
- B•••• M•••••• V•••• · Managing Membercontrolsince 10/2009 · 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
- Assets in custody · $62.1M to $56.8MMar 26, 2021 to Mar 16, 2022
- Discretionary RAUM · $201M to $179MMar 26, 2021 to Mar 16, 2022
- HNW RAUM · $139M to $123MMar 26, 2021 to Mar 16, 2022
- Pooled vehicle RAUM · $62.1M to $56.8MMar 26, 2021 to Mar 16, 2022
- RAUM · $201M to $179MMar 26, 2021 to Mar 16, 2022
- Assets in custody · $51.6M to $62.1MJun 30, 2020 to Mar 26, 2021
- Discretionary RAUM · $169M to $201MJun 30, 2020 to Mar 26, 2021
- HNW RAUM · $118M to $139MJun 30, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $51.6M to $62.1MJun 30, 2020 to Mar 26, 2021
- RAUM · $169M to $201MJun 30, 2020 to Mar 26, 2021
- Assets in custody · $45.2M to $51.6MMar 21, 2019 to Mar 13, 2020
- Discretionary RAUM · $149M to $169MMar 21, 2019 to Mar 13, 2020
- HNW RAUM · $104M to $118MMar 21, 2019 to Mar 13, 2020
- Pooled vehicle RAUM · $45.2M to $51.6MMar 21, 2019 to Mar 13, 2020
- RAUM · $149M to $169MMar 21, 2019 to Mar 13, 2020
- Accounts · 5 to 7Mar 8, 2018 to Mar 21, 2019
- HNW clients · 3 to 5Mar 8, 2018 to Mar 21, 2019
- Assets in custody · $40.9M to $45.2MMar 8, 2018 to Mar 21, 2019
- Discretionary RAUM · $140M to $149MMar 8, 2018 to Mar 21, 2019
- HNW RAUM · $98.8M to $104MMar 8, 2018 to Mar 21, 2019
- Pooled vehicle RAUM · $40.9M to $45.2MMar 8, 2018 to Mar 21, 2019
- RAUM · $140M to $149MMar 8, 2018 to Mar 21, 2019
- HNW clients · unset to 3.0Mar 14, 2017 to Mar 8, 2018
- Pooled vehicle clients · unset to 2.0Mar 14, 2017 to Mar 8, 2018
- Assets in custody · $30.4M to $40.9MMar 14, 2017 to Mar 8, 2018
- Other offices · unset to 0.0Mar 14, 2017 to Mar 8, 2018
- Discretionary RAUM · $126M to $140MMar 14, 2017 to Mar 8, 2018
- HNW RAUM · unset to 98754434.0Mar 14, 2017 to Mar 8, 2018
- Pooled vehicle RAUM · unset to 40867348.0Mar 14, 2017 to Mar 8, 2018
- RAUM · $126M to $140MMar 14, 2017 to Mar 8, 2018
- Advisory employees · 1 to 2Jul 1, 2016 to Mar 14, 2017
- Assets in custody · $37.3M to $30.4MJul 1, 2016 to Mar 14, 2017
- Employees · 1 to 2Jul 1, 2016 to Mar 14, 2017
- HQ city · NEW YORK to DALLASMar 30, 2016 to Jul 1, 2016
- HQ state · NY to TXMar 30, 2016 to Jul 1, 2016
- Accounts · 4 to 5Dec 21, 2015 to Mar 30, 2016
- Assets in custody · unset to 37295561.0Dec 21, 2015 to Mar 30, 2016
- Custody of client assets · false to trueDec 21, 2015 to Mar 30, 2016
- Employees · 4 to 1Dec 21, 2015 to Mar 30, 2016
- Discretionary RAUM · $120M to $126MDec 21, 2015 to Mar 30, 2016
Signals
2 dated events
- Hassanali Ahamed Saleemah (Chief Compliance Officer) no longer on Schedule A of S•••• S••••• A•••••••• L•• (listed 2019-03-21, absent 2020-03-13)Mar 13, 2020 · Control person left · inference
- Scott Michael Baldermann (Chief Compliance Officer) appeared on Schedule A of S•••• S••••• A•••••••• L••Mar 13, 2020 · 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/S••••-S•••••-ADVISORS-LLCreportedpublic record, Form ADV, Sep 21, 2026
- Website
- S••••-S•••••-ADVISORS.COMreportedpublic record, Form ADV, Sep 21, 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
- 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