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••••• M••••••••• U••• L••

Former SEC-registered adviserReston, VirginiaCRD 152989SEC 801-71140IAPD
Latest filing Apr 1, 2013
First filing on the tape Jan 26, 2012 · 8 filings
RAUM
$174M
reported, Item 5.F
Discretionary
90%
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
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$95.4M gross assets
History
8 filings and snapshots on the tape
RAUM$174M as of Mar 28, 2013
Mar 30, 2012$95.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 6
Private funds1 as of Mar 28, 2013
Mar 30, 20121 then
RAUM +82% over the last fiscal year
Practice profile
derived from the filing of Apr 1, 2013; 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
$727,498derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+82%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
$74.0M, 1 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
239reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$74.0M for 1 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
Every departureEvery arrival
Private funds
2 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
S••••• G••••• F•••• I••••• F•••• L•Hedge Fund$95.4M41Jan 26, 2012
S••••• G••••• S••••••••• S•• L•••••• • F•••• I••••• S••••••••• P••••••••no longer reportedHedge Fund$4.2M4Jan 26, 2012
Owners and control persons
Schedule A and B, latest filing
  • M••••••• Z•••••••• · Chief Compliance Officer
    since 04/2013 · owns less than 5%
  • B•••••• R••••••• A••••• · Member
    since 01/2010 · owns F of S••••• C•••••• M••••••••• L••
  • B•••••• P•••••• · Manager
    since 01/2010 · owns F of S••••• C•••••• M••••••••• L••
  • J•••• A•••• · Member
    since 01/2010 · owns F of S••••• C•••••• M••••••••• L••
  • M••••••••• R•••••• A••••• · Member
    since 01/2010 · owns F of S••••• C•••••• M••••••••• L••
  • M••••• N•••• E••••• · Member
    since 01/2010 · owns F of S••••• C•••••• M••••••••• L••
  • U••••••• S•••• · Member
    since 01/2010 · owns F of S••••• C•••••• M••••••••• L••
Entity owners
  • S••••• C•••••• M••••••••• L•• · Owner And Managing Member
    direct · owns 75% or more
  • C••••••••• L•• · Member
    indirect · owns 25% to 50% of S••••• I••••••••• T••••••••• L••
  • F•••••••• T•••• I••••••••• O• D••••••• · Trustee
    indirect · owns F of P•••••••• L•• And C••••••••• L••
  • G•••••••• T•••• · Trustee
    indirect · owns 50% to 75% of C••••••••• L••
  • P•••••••• L•• · Member
    indirect · owns 25% to 50% of S••••• I••••••••• T••••••••• L••
  • S••••• I••••••••• T••••••••• L•• · Member
    indirect · owns 50% to 75% of S••••• C•••••• M••••••••• L••
  • T•• E••••••• T•••• · Trustee
    indirect · owns 75% or more of Project 24 Lldc
  • T•• O••••••••• T•••• · Trustee
    indirect · owns 25% to 50% of C••••••••• L••
Related persons
Schedule D 7.A
  • S••••• C•••••• M••••••••• L•••
    investment adviserpooled vehicle sponsorn
  • S••••• G••••• F•••• I••••• G•• L••
    pooled vehicle sponsory
  • S••••• R••••••• • A••••••• S•
    investment advisern
Offices
Schedule D 1.F, the 25 largest
  • Boca Raton, FL
  • Lausanne, Switzerland
  • London, United Kingdom
What changed
consecutive filings, newest first
  • Accounts · 1 to 239
    Jan 8, 2013 to Mar 28, 2013
  • Assets in custody · $95.4M to $74.0M
    Jan 8, 2013 to Mar 28, 2013
  • Discretionary RAUM · $95.4M to $157M
    Jan 8, 2013 to Mar 28, 2013
  • Non-discretionary RAUM · $0 to $17.0M
    Jan 8, 2013 to Mar 28, 2013
  • RAUM · $95.4M to $174M
    Jan 8, 2013 to Mar 28, 2013
  • Related bank · false to true
    Jan 8, 2013 to Mar 28, 2013
  • Advisory employees · unset to 4.0
    Mar 30, 2012 to Oct 29, 2012
  • Advisory activities · 1 to 2
    Mar 30, 2012 to Oct 29, 2012
  • Employees · unset to 6.0
    Mar 30, 2012 to Oct 29, 2012
  • State-registered IARs · unset to 0.0
    Mar 30, 2012 to Oct 29, 2012
  • Accounts · 2 to 1
    Feb 8, 2012 to Mar 30, 2012
  • Business name · S••••• C•••••• M••••••••• L•• to S••••• M••••••••• U••• L••
    Feb 8, 2012 to Mar 30, 2012
  • Assets in custody · $99.7M to $95.4M
    Feb 8, 2012 to Mar 30, 2012
  • Legal name · S••••• C•••••• M••••••••• L•• to S••••• M••••••••• U••• L••
    Feb 8, 2012 to Mar 30, 2012
  • Private funds · 2 to 1
    Feb 8, 2012 to Mar 30, 2012
  • Discretionary RAUM · $99.7M to $95.4M
    Feb 8, 2012 to Mar 30, 2012
  • RAUM · $99.7M to $95.4M
    Feb 8, 2012 to Mar 30, 2012
  • Succession · true to false
    Feb 8, 2012 to Mar 30, 2012
Signals
1 dated events
  • S••••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Jan 26, 2012 · Succession (Item 4) · 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