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•••• L••• L•••

Former SEC-registered adviserNew York, New YorkCRD 157391SEC 801-73812IAPD
Latest filing Mar 31, 2018
First filing on the tape Feb 14, 2012 · 13 filings
RAUM
$193M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
$193M gross assets
History
13 filings and snapshots on the tape
RAUM$193M as of Mar 31, 2018
Mar 21, 2013$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2018
Mar 21, 20130 then
Employees (5.A)4 as of Mar 31, 2018
Mar 21, 201315 then
Private funds9 as of Mar 31, 2018
Mar 21, 20133 then
RAUM -74% over the last fiscal year-52% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2018; 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
$10.7MderivedRAUM 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
-74%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$193M, 18 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$193M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
18reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$193M for 18 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
      Every departureEvery arrival
      Private funds
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••• S•••• L••• F••• L•••Hedge Fund$62.5M19Feb 14, 2012
      S• P••••• R••• F••• L•••Hedge Fund$41.6M17Feb 27, 2015
      L••• I• L•••Hedge Fund$32.7M12Mar 30, 2015
      S•••• L••• P•••••••• L•••Hedge Fund$23.1M1Feb 14, 2012
      S• P••••• R••• F••• I• L•••Hedge Fund$14.6M4Feb 27, 2015
      L••• L•••Hedge Fund$6.8M1Aug 20, 2013
      P• S•••• L••• I•Hedge Fund$4.6M4Nov 20, 2015
      S• L••••••••• F••• L•Hedge Fund$4.1M1Mar 21, 2013
      H••• L•••Hedge Fund$3.0M1Aug 20, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• G••••••• A•••••••• · Managing Membercontrol
        since 08/2008 · owns less than 5%
      • M••••• A•••• J•• · Managing Member / Ccocontrol
        since 08/2008 · owns less than 5%
      • H•••••• G••••••• A•••••••• · Limited Partnercontrol
        since 08/2008 · owns 25% to 50% of S••• P••••••• L•••
      • M••••• A•••• J•• · Limited Partnercontrol
        since 08/2008 · owns 25% to 50% of S••• P••••••• L•••
      Entity owners
      • S• C•••••• P••••••• L•• · General Partner
        direct · owns less than 5%
      • S••• P••••••• L• · Limited Partner
        direct · owns 75% or more
      • S••• P••••••• L••• · Indirect Owner
        indirect · owns 75% or more of S• C•••••• P••••••• L••
      • T•••• S•••••• H••••••• L•• · Limited Partner
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • H••• L••
        pooled vehicle sponsory
      • L•• G• L•••
        pooled vehicle sponsorn
      • S• L••••••••• L••
        pooled vehicle sponsory
      • S••• G• L•••
        pooled vehicle sponsorn
      • S•••• L••• G• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 20 to 18
        Mar 30, 2017 to Mar 31, 2018
      • Advisory employees · 6 to 3
        Mar 30, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 18.0
        Mar 30, 2017 to Mar 31, 2018
      • Assets in custody · $731M to $193M
        Mar 30, 2017 to Mar 31, 2018
      • Employees · 11 to 4
        Mar 30, 2017 to Mar 31, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 31, 2018
      • Discretionary RAUM · $731M to $193M
        Mar 30, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 192821210.0
        Mar 30, 2017 to Mar 31, 2018
      • RAUM · $731M to $193M
        Mar 30, 2017 to Mar 31, 2018
      • Accounts · 21 to 20
        Feb 22, 2017 to Mar 30, 2017
      • Advisory employees · 9 to 6
        Feb 22, 2017 to Mar 30, 2017
      • Business name · S•••• L••• C•••••• P••••••• L••• to S•••• L••• L•••
        Feb 22, 2017 to Mar 30, 2017
      • Assets in custody · $1.1B to $731M
        Feb 22, 2017 to Mar 30, 2017
      • Employees · 15 to 11
        Feb 22, 2017 to Mar 30, 2017
      • Legal name · S•••• L••• CAPITAL PARTNERS L.P. to S•••• L••• L•••
        Feb 22, 2017 to Mar 30, 2017
      • Discretionary RAUM · $1.1B to $731M
        Feb 22, 2017 to Mar 30, 2017
      • RAUM · $1.1B to $731M
        Feb 22, 2017 to Mar 30, 2017
      • Related adviser · true to false
        Feb 22, 2017 to Mar 30, 2017
      • Accounts · 18 to 21
        Nov 20, 2015 to Mar 30, 2016
      • Advisory employees · 10 to 9
        Nov 20, 2015 to Mar 30, 2016
      • Advisory activities · 1 to 2
        Nov 20, 2015 to Mar 30, 2016
      • Assets in custody · $1.7B to $1.1B
        Nov 20, 2015 to Mar 30, 2016
      • Employees · 18 to 15
        Nov 20, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.7B to $1.1B
        Nov 20, 2015 to Mar 30, 2016
      • RAUM · $1.7B to $1.1B
        Nov 20, 2015 to Mar 30, 2016
      • Private funds · 8 to 9
        Apr 1, 2015 to Nov 20, 2015
      • Accounts · 9 to 18
        Feb 27, 2015 to Mar 30, 2015
      • Advisory employees · 11 to 10
        Feb 27, 2015 to Mar 30, 2015
      • Assets in custody · $1.7B to $1.7B
        Feb 27, 2015 to Mar 30, 2015
      • Private funds · 7 to 8
        Feb 27, 2015 to Mar 30, 2015
      • Discretionary RAUM · $1.7B to $1.7B
        Feb 27, 2015 to Mar 30, 2015
      • RAUM · $1.7B to $1.7B
        Feb 27, 2015 to Mar 30, 2015
      • Private funds · 5 to 7
        Mar 21, 2014 to Feb 27, 2015
      • Advisory employees · 10 to 11
        Aug 20, 2013 to Mar 21, 2014
      • Assets in custody · $1.5B to $1.7B
        Aug 20, 2013 to Mar 21, 2014
      • Employees · 17 to 18
        Aug 20, 2013 to Mar 21, 2014
      • Discretionary RAUM · $1.5B to $1.7B
        Aug 20, 2013 to Mar 21, 2014
      • RAUM · $1.5B to $1.7B
        Aug 20, 2013 to Mar 21, 2014
      • Accounts · 5 to 9
        Mar 21, 2013 to Aug 20, 2013
      • Advisory employees · 8 to 10
        Mar 21, 2013 to Aug 20, 2013
      Signals
      1 dated events
      • S•••• L••• L••• reported RAUM $192.8M, down 74% from $731.4M (2017-03-30 to 2018-03-31)
        Mar 31, 2018 · 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.
      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