DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••••••• C•••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Feb 13, 2012 · 29 filings
SEC status approved since Mar 30, 2012
RAUM
$10B
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
43
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$10B as of Mar 31, 2026
Mar 28, 2013$6.7B then
HNW client RAUM$0 as of Mar 31, 2026
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)43 as of Mar 31, 2026
Mar 28, 201331 then
Private funds2 as of Mar 31, 2026
Mar 28, 20134 then
RAUM +22% over the last fiscal year+5.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $5.2BderivedRAUM 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
- +22%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$10B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• I••••••••• M••••• F••• L••• | Hedge Fund | $4.5B | 119 | Feb 13, 2012 |
| A••••••• S••••••••• L••• | Hedge Fund | $2.8B | 272 | Feb 13, 2012 |
| S•••••••• L••• C•••••• M••••• F•••• L••• | Other Private Fund | $392M | 18 | Mar 30, 2018 |
| S•••••••• C••••••• L•••no longer reported | Hedge Fund | $322M | 24 | Feb 13, 2012 |
| S•••••••• L••• C••••••• L••• | Other Private Fund | $158M | 24 | Mar 31, 2017 |
| S•• M••••• F•••• L•••no longer reported | Other Private Fund | $51.6M | 2 | Feb 28, 2019 |
| S••••• P•••••••• L•••no longer reported | Hedge Fund | $1.8M | 1 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• Z•••••• · Chief Compliance Officercontrolsince 03/2015 · owns less than 5%
- K••••• S••••• · Chief Operating Officercontrolsince 01/2007 · owns less than 5%
- P••••• R•••••• S•••••• · Limited Partnercontrolsince 12/1995 · owns 75% or more
- P••••• R•••••• S•••••• · Managing Membercontrolsince 01/2009 · owns 75% or more of S•••••••• G• L••
Entity owners
- S•••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S•••••••• A••••••• L•pooled vehicle sponsorn
Advisers that list S•••••••• C•••••• M••••••••• L• as a related person
- 311670 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 31, 2026bank affiliate (Item 7.A.6): no on the filing of 2025-05-19, yes on the filing of 2026-03-31peers: asset managers, $5B to $20B (684)
What changed
consecutive filings, newest first
- Advisory employees · 19 to 25May 19, 2025 to Mar 31, 2026
- Employees · 36 to 43May 19, 2025 to Mar 31, 2026
- Discretionary RAUM · $8.5B to $10BMay 19, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $8.5B to $10BMay 19, 2025 to Mar 31, 2026
- RAUM · $8.5B to $10BMay 19, 2025 to Mar 31, 2026
- Related bank · false to trueMay 19, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 19, 2025
- Advisory employees · 16 to 19Mar 29, 2024 to Mar 31, 2025
- Employees · 34 to 36Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $7.2B to $8.5BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $7.2B to $8.5BMar 29, 2024 to Mar 31, 2025
- RAUM · $7.2B to $8.5BMar 29, 2024 to Mar 31, 2025
- Accounts · 7 to 2Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 4 to 2Mar 31, 2023 to Mar 29, 2024
- Employees · 37 to 34Mar 31, 2023 to Mar 29, 2024
- Private funds · 4 to 2Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $8.8B to $7.2BMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $8.5B to $7.2BMar 31, 2023 to Mar 29, 2024
- RAUM · $8.8B to $7.2BMar 31, 2023 to Mar 29, 2024
- Related bank · true to falseMar 31, 2023 to Mar 29, 2024
- Accounts · 6 to 7Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 20 to 16Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 6 to 4Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $322M to $0Mar 31, 2022 to Mar 31, 2023
- Custody of client assets · true to falseMar 31, 2022 to Mar 31, 2023
- Employees · 49 to 37Mar 31, 2022 to Mar 31, 2023
- Other offices · 1 to 0Mar 31, 2022 to Mar 31, 2023
- Private funds · 6 to 4Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $11B to $8.8BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $11B to $8.5BMar 31, 2022 to Mar 31, 2023
- RAUM · $11B to $8.8BMar 31, 2022 to Mar 31, 2023
- Advisory employees · 24 to 20Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $461M to $322MMar 31, 2021 to Mar 31, 2022
- Employees · 51 to 49Mar 31, 2021 to Mar 31, 2022
- Other offices · 0 to 1Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $15B to $11BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $15B to $11BMar 31, 2021 to Mar 31, 2022
- RAUM · $15B to $11BMar 31, 2021 to Mar 31, 2022
- Accounts · 7 to 6Mar 30, 2020 to Mar 31, 2021
- Advisory employees · 19 to 24Mar 30, 2020 to Mar 31, 2021
Signals
3 dated events
- Francis Thomas Fortin (Chief Strategy Officer) no longer on Schedule A of S•••••••• C•••••• M••••••••• L• (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Matthew Joseph Carney (Executive Director) no longer on Schedule A of S•••••••• C•••••• M••••••••• L• (listed 2020-03-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- S•••••••• C•••••• M••••••••• L• reported RAUM $12.5B, up 39% from $9.1B (2019-08-13 to 2020-03-30)Mar 30, 2020 · 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
- S••••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-415-4600reportedpublic record, Form ADV, Mar 31, 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