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.
SEC-registered adviser
S••••••• I••••••••• A•••••••• L••
Latest filing Mar 29, 2026
First filing on the tape Feb 29, 2012 · 15 filings
SEC status approved since Mar 16, 2010
RAUM
$1.9B
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
28
23 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$1.9B as of Mar 29, 2026
Feb 29, 2012$99.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2026
Feb 29, 20120 then
Employees (5.A)28 as of Mar 29, 2026
Mar 28, 20139 then
Private funds: no history
RAUM -1.1% over the last fiscal year-0.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2026; 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
- $949MderivedRAUM 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
- -1.1%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 pooled vehicles, portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$12.2M100%
- 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
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• M••••••• J••••• · Co-Managing Partnercontrolsince 11/2022 · owns less than 5%
- O•••••••• C••••••••• L••• · Managing Member; Chief Executive Officercontrolsince 02/2010 · owns 75% or more
- S••••••••• H••••• J••••• · Chief Compliance Officer; Chief Financial Officercontrolsince 03/2014 · owns less than 5%
Related persons
Schedule D 7.A
- S••••••• A••••••••• I• L••pooled vehicle sponsorn
- S••••••• M••••••••• C••••••• L••investment advisern
Advisers that list S••••••• I••••••••• A•••••••• L•• as a related person
- 161822 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 18 to 23Mar 20, 2025 to Mar 29, 2026
- Employees · 23 to 28Mar 20, 2025 to Mar 29, 2026
- Discretionary RAUM · $1.9B to $1.9BMar 20, 2025 to Mar 29, 2026
- Pooled vehicle RAUM · $12.5M to $12.2MMar 20, 2025 to Mar 29, 2026
- RAUM · $1.9B to $1.9BMar 20, 2025 to Mar 29, 2026
- Advisory employees · 16 to 18Mar 28, 2024 to Mar 20, 2025
- Employees · 22 to 23Mar 28, 2024 to Mar 20, 2025
- Financial planning clients · 0 to Mar 28, 2024 to Mar 20, 2025
- Discretionary RAUM · $2.2B to $1.9BMar 28, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $12.2M to $12.5MMar 28, 2024 to Mar 20, 2025
- RAUM · $2.2B to $1.9BMar 28, 2024 to Mar 20, 2025
- Employees · 21 to 22Mar 29, 2023 to Mar 28, 2024
- Financial planning clients · unset to 0Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.9B to $2.2BMar 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $12.0M to $12.2MMar 29, 2023 to Mar 28, 2024
- RAUM · $1.9B to $2.2BMar 29, 2023 to Mar 28, 2024
- Employees · 20 to 21Mar 23, 2022 to Mar 29, 2023
- Discretionary RAUM · $1.6B to $1.9BMar 23, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $8.4M to $12.0MMar 23, 2022 to Mar 29, 2023
- RAUM · $1.6B to $1.9BMar 23, 2022 to Mar 29, 2023
- Advisory employees · 14 to 16Mar 30, 2021 to Mar 23, 2022
- Employees · 18 to 20Mar 30, 2021 to Mar 23, 2022
- Discretionary RAUM · $1.2B to $1.6BMar 30, 2021 to Mar 23, 2022
- Pooled vehicle RAUM · $8.6M to $8.4MMar 30, 2021 to Mar 23, 2022
- RAUM · $1.2B to $1.6BMar 30, 2021 to Mar 23, 2022
- Advisory employees · 13 to 14Mar 27, 2020 to Mar 30, 2021
- Employees · 16 to 18Mar 27, 2020 to Mar 30, 2021
- Discretionary RAUM · $1.0B to $1.2BMar 27, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $9.3M to $8.6MMar 27, 2020 to Mar 30, 2021
- RAUM · $1.0B to $1.2BMar 27, 2020 to Mar 30, 2021
- Advisory employees · 14 to 13Mar 29, 2019 to Mar 27, 2020
- Employees · 17 to 16Mar 29, 2019 to Mar 27, 2020
- Discretionary RAUM · $968M to $1.0BMar 29, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $22.8M to $9.3MMar 29, 2019 to Mar 27, 2020
- RAUM · $968M to $1.0BMar 29, 2019 to Mar 27, 2020
- Advisory employees · 13 to 14Mar 28, 2018 to Mar 29, 2019
- Discretionary RAUM · $694M to $968MMar 28, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $28.3M to $22.8MMar 28, 2018 to Mar 29, 2019
- RAUM · $694M to $968MMar 28, 2018 to Mar 29, 2019
- Advisory employees · 14 to 13Mar 28, 2017 to Mar 28, 2018
Signals
2 dated events
- S••••••• I••••••••• A•••••••• L•• reported RAUM $1.6B, up 36% from $1.2B (2021-03-30 to 2022-03-23)Mar 23, 2022 · RAUM change · derived
- S••••••• I••••••••• A•••••••• L•• reported RAUM $968.5M, up 40% from $694.1M (2018-03-28 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212) 906-7800reportedpublic record, Form ADV, Mar 29, 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
- Asset manager (funds and pooled vehicles)deriveda 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