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•••••••• B••••• A•••• M•••••••••

Former SEC-registered adviserSao Paulo, CRD 156926SEC 801-76833IAPD
Legal name S•••••••• B••••• A•••• M••••••••• D••• S•••
Latest filing Mar 30, 2020
First filing on the tape Jun 15, 2012 · 18 filings
RAUM
$143M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$136M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$143M as of Mar 30, 2020
Mar 28, 2013$56B then
HNW client RAUM: $67.6M
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 28, 20130 then
Employees (5.A)0 as of Mar 30, 2020
Mar 28, 201391 then
Private funds: no history
RAUM -75% over the last fiscal year-45% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$373,650derivedHNW RAUM over HNW clients
Average account
$19,769derivedRAUM 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
-75%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, publicationsreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$67.9M48%
  • High-net-worth individuals$67.6M47%
  • Corporations and businesses$7.2M5.0%
  • Pooled investment vehicles$27,2130.0%
  • State and municipal entities$20,4570.0%
Individual clients
6,639reported
HNW clients
181reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7,222reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•••• D• C•••••• E•••••• · Directorcontrol
        since 06/2011 · owns less than 5%
      • F•••••••• M•••••• G•••• · Chief Executive Officercontrol
        since 01/2017 · owns less than 5%
      • F•••••••• R••••••• B••••••• · Chief Risk Officer & Chief Compliance Officercontrol
        since 06/2017 · owns less than 5%
      Related persons
      Schedule D 7.A
      • A••••••• I••••••••• S•••
        n
      • B•••• S•••••••• ••••••• S•••
        investment advisern
      • B•••• S••••••••• S•••
        y
      • S•••••••• A•••• M••••••••• L••••••••• S•••
        investment advisern
      • S•••••••• A•••• M••••••••• S••• ••••••
        investment advisern
      • S•••••••• A•••• M••••••••• S• S••••
        investment advisernRAUM $160B
      • S•••••••• B••••• G••••• D• R••••••• L••••
        investment advisern
      • S•••••••• C•••••••• D• C••••• E• V•••••• M••••••••• S•• ••••••••• C•••••
        broker-dealern
      • S•••••••• I••••••••• S••••••••• I•••
        broker-dealern
      • S•••••••• S••••••••• S••••••• B••••• D••• S•••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 7,222
        Jul 9, 2019 to Mar 30, 2020
      • Advisory employees · 5 to 0
        Jul 9, 2019 to Mar 30, 2020
      • Corporate clients · unset to 383.0
        Jul 9, 2019 to Mar 30, 2020
      • HNW clients · unset to 181.0
        Jul 9, 2019 to Mar 30, 2020
      • Individual clients · unset to 6639.0
        Jul 9, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 13 to 10
        Jul 9, 2019 to Mar 30, 2020
      • Employees · 5 to 0
        Jul 9, 2019 to Mar 30, 2020
      • Discretionary RAUM · $570M to $143M
        Jul 9, 2019 to Mar 30, 2020
      • HNW RAUM · unset to 67630726.0
        Jul 9, 2019 to Mar 30, 2020
      • Individual RAUM · unset to 67932313.0
        Jul 9, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $570M to $27,213
        Jul 9, 2019 to Mar 30, 2020
      • RAUM · $570M to $143M
        Jul 9, 2019 to Mar 30, 2020
      • Accounts · 14 to 13
        Jul 26, 2018 to Jan 24, 2019
      • Pooled vehicle clients · 14 to 13
        Jul 26, 2018 to Jan 24, 2019
      • Discretionary RAUM · $1.2B to $570M
        Jul 26, 2018 to Jan 24, 2019
      • Pooled vehicle RAUM · $502M to $570M
        Jul 26, 2018 to Jan 24, 2019
      • RAUM · $1.2B to $570M
        Jul 26, 2018 to Jan 24, 2019
      • Pooled vehicle RAUM · $1.2B to $502M
        Apr 3, 2018 to Jul 26, 2018
      • Accounts · 15 to 14
        Oct 4, 2017 to Apr 3, 2018
      • Advisory employees · 4 to 5
        Oct 4, 2017 to Apr 3, 2018
      • Pooled vehicle clients · unset to 14.0
        Oct 4, 2017 to Apr 3, 2018
      • Employees · 4 to 5
        Oct 4, 2017 to Apr 3, 2018
      • Discretionary RAUM · $854M to $1.2B
        Oct 4, 2017 to Apr 3, 2018
      • Pooled vehicle RAUM · unset to 1232136107.0
        Oct 4, 2017 to Apr 3, 2018
      • RAUM · $854M to $1.2B
        Oct 4, 2017 to Apr 3, 2018
      • Other offices · unset to 0.0
        Sep 29, 2017 to Oct 4, 2017
      • Accounts · 11 to 15
        Mar 10, 2016 to Sep 29, 2017
      • Advisory employees · 40 to 4
        Mar 10, 2016 to Sep 29, 2017
      • Employees · 90 to 4
        Mar 10, 2016 to Sep 29, 2017
      • Discretionary RAUM · $134M to $854M
        Mar 10, 2016 to Sep 29, 2017
      • RAUM · $134M to $854M
        Mar 10, 2016 to Sep 29, 2017
      • Accounts · 130 to 11
        Mar 18, 2015 to Mar 10, 2016
      • Employees · 98 to 90
        Mar 18, 2015 to Mar 10, 2016
      • Discretionary RAUM · $1.3B to $134M
        Mar 18, 2015 to Mar 10, 2016
      • RAUM · $1.3B to $134M
        Mar 18, 2015 to Mar 10, 2016
      • Accounts · 66 to 130
        Apr 15, 2014 to Mar 18, 2015
      • Employees · 88 to 98
        Apr 15, 2014 to Mar 18, 2015
      • Financial planning clients · unset to 0
        Apr 15, 2014 to Mar 18, 2015
      • Discretionary RAUM · $8.1B to $1.3B
        Apr 15, 2014 to Mar 18, 2015
      • RAUM · $8.1B to $1.3B
        Apr 15, 2014 to Mar 18, 2015
      Signals
      6 dated events
      • S•••••••• B••••• A•••• M••••••••• reported RAUM $142.8M, down 75% from $569.8M (2019-07-09 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • Robotton Murilo Filho (Director) no longer on Schedule A of S•••••••• B••••• A•••• M••••••••• (listed 2019-01-24, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Eduardo Jorge Kattar (Director) no longer on Schedule A of S•••••••• B••••• A•••• M••••••••• (listed 2019-01-24, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • S•••••••• B••••• A•••• M••••••••• reported RAUM $569.8M, down 54% from $1.2B (2018-07-26 to 2019-01-24)
        Jan 24, 2019 · RAUM change · derived
      • S•••••••• B••••• A•••• M••••••••• reported RAUM $1.2B, up 44% from $853.7M (2017-10-04 to 2018-04-03)
        Apr 3, 2018 · RAUM change · derived
      • S•••••••• B••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)
        Jun 15, 2012 · First SEC registration · 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