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••••• A•••• M••••••••• L•••
Latest filing Mar 30, 2026
First filing on the tape Feb 14, 2012 · 21 filings
SEC status approved since Mar 30, 2012
RAUM
$3.8B
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
19
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$3.8B as of Mar 30, 2026
Mar 28, 2013$2.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20130 then
Employees (5.A)19 as of Mar 30, 2026
Mar 28, 201317 then
Private funds5 as of Mar 30, 2026
Mar 28, 20135 then
RAUM +24% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $764MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%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
- $3.8B, 5 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)
- compensates persons for client referrals (8.G.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$3.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.8B for 5 clientsreported
- Compensation
- % of AUM, performancereported
- 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• V•••• P•••••••• L••• | Hedge Fund | $2.4B | 10 | Feb 14, 2012 |
| S••••• P•••••••• L••• | Hedge Fund | $173M | 22 | Feb 14, 2012 |
| S••••• P••••••• I•• L••• | Hedge Fund | $157M | 13 | Feb 14, 2012 |
| S••••• V•••• F••• L••• | Hedge Fund | $141M | 8 | Feb 14, 2012 |
| S••••• F••• L••• | Hedge Fund | $54.8M | 14 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• D•••••• M•••• · Chief Operating Officer & Financial Controllercontrolsince 02/2014 · owns less than 5%
- F••••• D••••• · General Counsel & Chief Compliance Officercontrolsince 02/2013 · owns less than 5%
- M•••••••• A••••••••• M•• · Managing Partnercontrolsince 07/2004 · owns 75% or more
- M•••••••• A••••••••• M•• · Shareholdercontrolsince 07/2004 · owns 75% or more of S••••• C••••••• I•••
Entity owners
- S••••• C••••••• I••• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Boca Raton, FL1 employees
What changed
consecutive filings, newest first
- Assets in custody · $3.1B to $3.8BMar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.1B to $3.8BMar 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $3.1B to $3.8BMar 27, 2025 to Mar 30, 2026
- RAUM · $3.1B to $3.8BMar 27, 2025 to Mar 30, 2026
- Assets in custody · $2.9B to $3.1BOct 30, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Oct 30, 2024 to Mar 27, 2025
- Discretionary RAUM · $2.9B to $3.1BOct 30, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $2.9B to $3.1BOct 30, 2024 to Mar 27, 2025
- RAUM · $2.9B to $3.1BOct 30, 2024 to Mar 27, 2025
- Advisory employees · 13 to 11Mar 28, 2023 to Mar 27, 2024
- Assets in custody · $2.7B to $2.9BMar 28, 2023 to Mar 27, 2024
- Employees · 21 to 19Mar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $2.7B to $2.9BMar 28, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $2.7B to $2.9BMar 28, 2023 to Mar 27, 2024
- RAUM · $2.7B to $2.9BMar 28, 2023 to Mar 27, 2024
- Assets in custody · $3.4B to $2.7BNov 4, 2022 to Mar 28, 2023
- Employees · 20 to 21Nov 4, 2022 to Mar 28, 2023
- Discretionary RAUM · $3.4B to $2.7BNov 4, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $3.4B to $2.7BNov 4, 2022 to Mar 28, 2023
- RAUM · $3.4B to $2.7BNov 4, 2022 to Mar 28, 2023
- Advisory employees · 15 to 13Mar 30, 2021 to Mar 30, 2022
- Assets in custody · $4.8B to $3.4BMar 30, 2021 to Mar 30, 2022
- Employees · 22 to 20Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $4.8B to $3.4BMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $4.8B to $3.4BMar 30, 2021 to Mar 30, 2022
- RAUM · $4.8B to $3.4BMar 30, 2021 to Mar 30, 2022
- Advisory employees · 12 to 15Mar 27, 2020 to Mar 30, 2021
- Assets in custody · $2.8B to $4.8BMar 27, 2020 to Mar 30, 2021
- Employees · 20 to 22Mar 27, 2020 to Mar 30, 2021
- Other offices · 2 to 1Mar 27, 2020 to Mar 30, 2021
- Discretionary RAUM · $2.8B to $4.8BMar 27, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $2.8B to $4.8BMar 27, 2020 to Mar 30, 2021
- RAUM · $2.8B to $4.8BMar 27, 2020 to Mar 30, 2021
- Advisory employees · 14 to 12Mar 28, 2019 to Mar 27, 2020
- Assets in custody · $2.7B to $2.8BMar 28, 2019 to Mar 27, 2020
- Employees · 22 to 20Mar 28, 2019 to Mar 27, 2020
- Discretionary RAUM · $2.7B to $2.8BMar 28, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $2.7B to $2.8BMar 28, 2019 to Mar 27, 2020
- RAUM · $2.7B to $2.8BMar 28, 2019 to Mar 27, 2020
- Advisory employees · 16 to 14Oct 17, 2018 to Mar 28, 2019
Signals
4 dated events
- S••••• A•••• M••••••••• L••• reported RAUM $3.4B, down 29% from $4.8B (2021-03-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- S••••• A•••• M••••••••• L••• reported RAUM $4.8B, up 72% from $2.8B (2020-03-27 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- S••••• A•••• M••••••••• L••• reported RAUM $2.7B, down 63% from $7.2B (2018-10-17 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- S••••• A•••• M••••••••• L••• reported RAUM $7.2B, up 65% from $4.3B (2017-03-31 to 2018-03-29)Mar 29, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-251-3270reportedpublic record, Form ADV, Mar 30, 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