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••••• I••••••••• M••••••••• L••
Latest filing Apr 8, 2021
First filing on the tape Mar 30, 2012 · 20 filings
RAUM
$239M
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
14
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
33
$233M gross assets
History
20 filings and snapshots on the tape
RAUM$239M as of Mar 31, 2021
Mar 30, 2012$983M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 30, 20120 then
Employees (5.A)14 as of Mar 31, 2021
Apr 1, 201311 then
Private funds33 as of Mar 31, 2021
Mar 30, 201230 then
RAUM +25% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 8, 2021; 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
- $7.2MderivedRAUM 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
- +25%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 vehiclesreportedItem 5.G
- Custody
- $221M, 33 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)
- 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$239M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 33reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $221M for 33 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
43 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• G••••• S••••••• F••• L••no longer reported | Private Equity Fund | $161M | 220 | Mar 30, 2012 |
| I••••••• G••••• S••••••• F••• L••••••no longer reported | H•••• Fund | $112M | 265 | Mar 30, 2012 |
| S••••• D•••••• T•••••• F••• U•• C••••no longer reported | H•••• Fund | $96.9M | 7 | Mar 30, 2012 |
| G••••• S••••• M••••• I••••••••• L•••no longer reported | H•••• Fund | $87.1M | 32 | Mar 31, 2015 |
| S••••• H••••••• C•••••• L•••no longer reported | H•••• Fund | $55.8M | 19 | Mar 30, 2012 |
| S••••• H••••••• C•••••• L•••no longer reported | H•••• Fund | $48.7M | 16 | Mar 30, 2016 |
| C••• D•••••• H•••••• L••no longer reported | H•••• Fund | $42.3M | 37 | Mar 30, 2012 |
| P• H••••••• I• L••no longer reported | H•••• Fund | $40.8M | 23 | Mar 30, 2012 |
| S•• H••••••• 4• L•••no longer reported | H•••• Fund | $39.9M | 1 | Mar 30, 2012 |
| C••• D•••••• H•••••• I•• L•••no longer reported | H•••• Fund | $36.9M | 5 | Mar 31, 2014 |
| H••••••• R••••••• F••• 2•••no longer reported | H•••• Fund | $30.8M | 1 | Mar 31, 2014 |
| S••••• C•• I• F••••• F••• L•••no longer reported | H•••• Fund | $18.6M | 1 | Mar 30, 2012 |
| S••••• G••••• O••••••••• F•••no longer reported | H•••• Fund | $17.7M | 6 | Mar 30, 2012 |
| A•••••• I••••••••• H•••••••no longer reported | H•••• Fund | $16.2M | 1 | Mar 31, 2014 |
| T•••••••• C•••••••• H•••••••no longer reported | H•••• Fund | $16.1M | 1 | Mar 31, 2014 |
| S••••• S•••••• S••••••••• M••••• F••• L•••• C•••• S•no longer reported | H•••• Fund | $13.8M | 1 | Apr 1, 2013 |
| S••••• M••••••• H••••••• L•••no longer reported | H•••• Fund | $10.1M | 2 | Mar 30, 2012 |
| A• P••••••• L•••no longer reported | Private Equity Fund | $8.5M | 25 | Mar 30, 2012 |
| N•• H••••••• L••no longer reported | Private Equity Fund | $7.1M | 15 | Mar 30, 2012 |
| C• P••••••• L•••no longer reported | H•••• Fund | $6.7M | 4 | Mar 30, 2016 |
| R••••• H••••••• L•••no longer reported | H•••• Fund | $6.3M | 11 | Mar 30, 2012 |
| A• P••••••• 2• L•••no longer reported | Private Equity Fund | $6.0M | 19 | Mar 30, 2012 |
| S•• S•••• E••••••• C••no longer reported | Private Equity Fund | $5.4M | 42 | Mar 30, 2012 |
| N••••••• H••••••• H••••••• L••no longer reported | H•••• Fund | $1.0M | 52 | Mar 30, 2016 |
| N••••••• H••••••• H••••••• L••no longer reported | Private Equity Fund | $1.0M | 52 | Mar 30, 2012 |
| A• P••••••• L•••no longer reported | H•••• Fund | $886,616 | 26 | Mar 31, 2015 |
| S••••• L••••• H••••••• L•••no longer reported | Private Equity Fund | $865,529 | 4 | Mar 30, 2012 |
| S••••• I••••• H••••••• L•no longer reported | Private Equity Fund | $657,600 | 17 | Mar 30, 2012 |
| A• P••••••• 2• L•••no longer reported | H•••• Fund | $639,319 | 18 | Mar 31, 2015 |
| A•• L••• 3•no longer reported | Private Equity Fund | $588,539 | 8 | Mar 30, 2012 |
| S••••• L••••• H••••••• L•••no longer reported | H•••• Fund | $584,450 | 3 | Apr 1, 2013 |
| S••••• A••••••••• A••••• R••••••• F••• I•• C•••• F•••• | H•••• Fund | $412,160 | 9 | Apr 1, 2013 |
| S•• 2• F•••• L•••no longer reported | Private Equity Fund | $400,000 | 1 | Mar 30, 2012 |
| S••••• F••• O• H•••• F••••• L•••no longer reported | H•••• Fund | $206,223 | 29 | Mar 30, 2012 |
| N•• O•• C••••••••• L•••no longer reported | Private Equity Fund | $200,000 | 5 | Mar 30, 2012 |
| A•• L••• 4•no longer reported | Private Equity Fund | $184,624 | 4 | Mar 30, 2012 |
| S••••• C•••••• P•••••••• L•no longer reported | H•••• Fund | $120,631 | 12 | Mar 30, 2012 |
| A•• L••• 2•no longer reported | Private Equity Fund | $8,683 | 6 | Mar 30, 2012 |
| A••••••• I••••••••• S•••••• L•••no longer reported | Private Equity Fund | $6,532 | 11 | Mar 30, 2012 |
| I••••••••• T••••• S•••••• L•••no longer reported | Private Equity Fund | $3,478 | 15 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• C••••••••• P••• · Chief Compliance Officercontrolsince 01/2••• · owns less than 5%
- R••••• I••••••• ••••• · Chief Executive Officer (Sim)controlsince 01/2••• · owns less than 5%
- R••••• I••••••• ••••• · S••••Holdercontrolsince 10/2008 · owns 75% or more of S••••• F••• O• F••• M••••••••• H••••••• L•••
Entity owners
- S••••• F••• O• F•••• M••••••••• L••• · Owner (Sim)direct · owns 75% or more
- S••••• F••• O• F••• M••••••••• H••••••• L••• · S••••Holderindirect · owns 75% or more of S••••• F••• O• F•••• M••••••••• L•••
Related persons
Schedule D 7.A
- A•••••••• A•••••• L•••••••••pooled vehicle sponsorn
- C••••••••• P••• M•••••••pooled vehicle sponsorn
- D••••• J•••• S••••••pooled vehicle sponsorn
- I•••••• R••••pooled vehicle sponsory
- S••••• O••••••• M••••••••• L•••investment adviserpooled vehicle sponsorn
- S•••• A•••• M••••••••• ••••••••• L••••••investment adviserbankpooled vehicle sponsornRAUM $322M
Advisers that list S••••• I••••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Charity clients · unset to 0.0Mar 31, 2020 to Mar 31, 2021
- Corporate clients · unset to 0.0Mar 31, 2020 to Mar 31, 2021
- HNW clients · unset to 0.0Mar 31, 2020 to Mar 31, 2021
- Individual clients · unset to 0.0Mar 31, 2020 to Mar 31, 2021
- Pension plan clients · unset to 0.0Mar 31, 2020 to Mar 31, 2021
- Assets in custody · $187M to $221MMar 31, 2020 to Mar 31, 2021
- Employees · 13 to 14Mar 31, 2020 to Mar 31, 2021
- Discretionary RAUM · $191M to $239MMar 31, 2020 to Mar 31, 2021
- HNW RAUM · unset to 0.0Mar 31, 2020 to Mar 31, 2021
- Individual RAUM · unset to 0.0Mar 31, 2020 to Mar 31, 2021
- Pension RAUM · unset to 0.0Mar 31, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $191M to $239MMar 31, 2020 to Mar 31, 2021
- RAUM · $191M to $239MMar 31, 2020 to Mar 31, 2021
- Accounts · 35 to 33Mar 31, 2019 to Mar 31, 2020
- Pooled vehicle clients · 35 to 33Mar 31, 2019 to Mar 31, 2020
- Assets in custody · $266M to $187MMar 31, 2019 to Mar 31, 2020
- Employees · 12 to 13Mar 31, 2019 to Mar 31, 2020
- Other offices · 1 to 0Mar 31, 2019 to Mar 31, 2020
- Private funds · 35 to 33Mar 31, 2019 to Mar 31, 2020
- Discretionary RAUM · $276M to $191MMar 31, 2019 to Mar 31, 2020
- Pooled vehicle RAUM · $276M to $191MMar 31, 2019 to Mar 31, 2020
- RAUM · $276M to $191MMar 31, 2019 to Mar 31, 2020
- Accounts · 37 to 35Mar 26, 2019 to Mar 31, 2019
- Pooled vehicle clients · 37 to 35Mar 26, 2019 to Mar 31, 2019
- Assets in custody · $380M to $266MMar 26, 2019 to Mar 31, 2019
- Private funds · 36 to 35Mar 26, 2019 to Mar 31, 2019
- Discretionary RAUM · $387M to $276MMar 26, 2019 to Mar 31, 2019
- Pooled vehicle RAUM · $387M to $276MMar 26, 2019 to Mar 31, 2019
- RAUM · $387M to $276MMar 26, 2019 to Mar 31, 2019
- Employees · 14 to 12Dec 10, 2018 to Mar 26, 2019
- Private funds · 37 to 36Dec 10, 2018 to Mar 26, 2019
- Accounts · 34 to 37Apr 25, 2018 to Dec 10, 2018
- Advisory employees · 6 to 5Apr 25, 2018 to Dec 10, 2018
- Pooled vehicle clients · 34 to 37Apr 25, 2018 to Dec 10, 2018
- Assets in custody · $374M to $380MApr 25, 2018 to Dec 10, 2018
- Employees · 15 to 14Apr 25, 2018 to Dec 10, 2018
- Private funds · 34 to 37Apr 25, 2018 to Dec 10, 2018
- Discretionary RAUM · $358M to $387MApr 25, 2018 to Dec 10, 2018
- Pooled vehicle RAUM · $358M to $387MApr 25, 2018 to Dec 10, 2018
- RAUM · $358M to $387MApr 25, 2018 to Dec 10, 2018
Signals
1 dated events
- S••••• I••••••••• M••••••••• L•• reported RAUM $275.5M, down 29% from $386.8M (2019-03-26 to 2019-03-31)Mar 31, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S••••• I••••••••• M••••••••• L•• · Private Equitys••••d 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