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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SEC-registered adviser

S•••••• M••••••••• L•

Asset manager (funds and pooled vehicles)New York, New YorkCRD 157587SEC 801-73305IAPD

Latest filing Mar 30, 2026

First filing on the tape Feb 10, 2012 · 39 filings

SEC status approved since Mar 30, 2012

RAUM

$464M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

10 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

39 filings and snapshots on the tape

RAUM$464M as of Mar 30, 2026

Mar 28, 2013$1.5B 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)18 as of Mar 30, 2026

Mar 28, 201323 then

Private funds2 as of Mar 30, 2026

Mar 28, 201318 then

RAUM +33% over the last fiscal year+30% a year over threeIARs 0 to 0offices 0 to 1

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: $92.8MderivedRAUM 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: +33%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: $464M, 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)
compensates non-employees for client referrals (8.G.2)
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$464M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $464M 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

Every departure Every arrival

Private funds

19 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S•••••• C•••••• M••••••••• I• L••no longer reported	Hedge Fund	$503M	141	Feb 10, 2012
S•••••• I••••••••• F••• L••	Hedge Fund	$251M	67	Feb 10, 2012
S• S•••••• S•••••••• M••••• F••• S••••••••• P•••••••• E•no longer reported	Hedge Fund	$38.8M	14	Mar 30, 2017
G••• B•• P••••••• L•• • S••••• H•no longer reported	Other Private Fund	$3.6M	8	Feb 10, 2012
G••• B•• P••••••• L•• • S••••• F•no longer reported	Other Private Fund	$2.9M	4	Feb 10, 2012
S••••••• L••no longer reported	Other Private Fund	$2.7M	2	Feb 10, 2012
S••• L•• • S••••• 4•no longer reported	Other Private Fund	$2.2M	2	Feb 10, 2012
G••• B•• P••••••• L•• • S••••• G•no longer reported	Other Private Fund	$1.9M	14	Feb 10, 2012
S••• L•• • S••••• 3•no longer reported	Other Private Fund	$1.8M	2	Feb 10, 2012
G••• B•• P••••••• L•• • S••••• J•no longer reported	Other Private Fund	$1.8M	6	Feb 10, 2012
G••• B•• P••••••• L•• • S••••• I•no longer reported	Other Private Fund	$1.6M	2	Feb 10, 2012
G••• B•• P••••••• L•• • S••••• K•no longer reported	Other Private Fund	$800,000	11	Feb 10, 2012
S•••••• I••••••••• P••••••• I• L••no longer reported	Other Private Fund	$729,000	12	Feb 10, 2012
S•••••• I••••••••• P••••••• L••no longer reported	Other Private Fund	$447,000	7	Feb 10, 2012
C••••• P••••••• L••no longer reported	Other Private Fund	$319,000	11	Feb 10, 2012
G••• B•• P••••••• L•• • S••••• E•no longer reported	Other Private Fund	$314,900	3	Feb 10, 2012
S••• L•• • S••••• 1•no longer reported	Other Private Fund	$107,000	2	Feb 10, 2012
S••••• L••	Other Private Fund	$31,317	6	Feb 10, 2012
S••• L•• • S••••• 2•no longer reported	Other Private Fund	$0	2	Feb 10, 2012

Owners and control persons

Schedule A and B, latest filing

E•••••• C••••• W•••••• · Limited Partnercontrol
since 12/2015 · owns 25% to 50%
S•••••••• C•••••• J••••• · Limited Partnercontrol
since 12/2015 · owns 25% to 50%
E•••••• A••••• M••••• · Gpcontrol
since 04/1997 · owns F of E••••• I••••••••
E•••••• B••••• W•••• · Trusteecontrol
since 04/1997 · owns F of C•••• W• E••••• 1••• T••••
E•••••• C••••• W•••••• · Gpcontrol
since 04/1997 · owns F of E••••• I••••••••
E•••••• C••••• W•••••• · Managing Membercontrol
since 12/2015 · owns 50% to 75% of S•••••• G• L••
E•••••• J••••• A•••• · Gpcontrol
since 04/1997 · owns F of E••••• I••••••••
E•••••• J•••••• N•••••••• · Gpcontrol
since 04/1997 · owns F of E••••• I••••••••
S•••••••• C•••••• J••••• · Managing Membercontrol
since 12/2015 · owns 50% to 75% of S•••••• G• L••
J••••••••• T•••• M•••••• · Chief Financial Officer, Chief Compliance Officer
since 12/2015 · owns less than 5%

Entity owners

S•••••• G• L•• · General Partner
direct · owns less than 5%
C•••• W• E••••• 1••• T•••• · Gp
indirect · owns F of E••••• I••••••••
E••••• I•••••••• · Limited Partner
direct · owns 5% to 10%

Related persons

Schedule D 7.A

A••••• P••••••• M••••••••• L••
investment advisery
O•• B•••••• A••••••• L••
bankpooled vehicle sponsorn
O•• B•••••• P••••••• L•••
investment adviserbankyRAUM $30.0M
S•••••• A••••••• L••
bankpooled vehicle sponsorn

Advisers that list S•••••• M••••••••• L• as a related person

157569 y

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 9 to 10
Mar 28, 2025 to Mar 30, 2026
Assets in custody · $350M to $464M
Mar 28, 2025 to Mar 30, 2026
Employees · 16 to 18
Mar 28, 2025 to Mar 30, 2026
Other offices · 0 to 1
Mar 28, 2025 to Mar 30, 2026
Discretionary RAUM · $350M to $464M
Mar 28, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $350M to $464M
Mar 28, 2025 to Mar 30, 2026
RAUM · $350M to $464M
Mar 28, 2025 to Mar 30, 2026
Advisory employees · 7 to 9
May 15, 2024 to Mar 28, 2025
Assets in custody · $251M to $350M
May 15, 2024 to Mar 28, 2025
Employees · 15 to 16
May 15, 2024 to Mar 28, 2025
Financial planning clients · unset to
May 15, 2024 to Mar 28, 2025
Discretionary RAUM · $251M to $350M
May 15, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $251M to $350M
May 15, 2024 to Mar 28, 2025
RAUM · $251M to $350M
May 15, 2024 to Mar 28, 2025
Advisory employees · 8 to 7
Jun 2, 2023 to Mar 28, 2024
Assets in custody · $212M to $251M
Jun 2, 2023 to Mar 28, 2024
Discretionary RAUM · $212M to $251M
Jun 2, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $212M to $251M
Jun 2, 2023 to Mar 28, 2024
RAUM · $212M to $251M
Jun 2, 2023 to Mar 28, 2024
Advisory employees · 7 to 8
Sep 22, 2022 to Mar 30, 2023
Assets in custody · $325M to $212M
Sep 22, 2022 to Mar 30, 2023
Discretionary RAUM · $325M to $212M
Sep 22, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $325M to $212M
Sep 22, 2022 to Mar 30, 2023
RAUM · $325M to $212M
Sep 22, 2022 to Mar 30, 2023
Assets in custody · $370M to $325M
Nov 10, 2021 to Mar 30, 2022
Discretionary RAUM · $370M to $325M
Nov 10, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $370M to $325M
Nov 10, 2021 to Mar 30, 2022
RAUM · $370M to $325M
Nov 10, 2021 to Mar 30, 2022
Advisory employees · 8 to 7
May 18, 2020 to Mar 25, 2021
Assets in custody · $423M to $370M
May 18, 2020 to Mar 25, 2021
Employees · 16 to 15
May 18, 2020 to Mar 25, 2021
Discretionary RAUM · $423M to $370M
May 18, 2020 to Mar 25, 2021
Pooled vehicle RAUM · $423M to $370M
May 18, 2020 to Mar 25, 2021
RAUM · $423M to $370M
May 18, 2020 to Mar 25, 2021
Advisory employees · 10 to 8
May 9, 2019 to Mar 27, 2020
Assets in custody · $459M to $423M
May 9, 2019 to Mar 27, 2020
Employees · 18 to 16
May 9, 2019 to Mar 27, 2020
Discretionary RAUM · $459M to $423M
May 9, 2019 to Mar 27, 2020
Pooled vehicle RAUM · $459M to $423M
May 9, 2019 to Mar 27, 2020
RAUM · $459M to $423M
May 9, 2019 to Mar 27, 2020

Signals

5 dated events

S•••••• M••••••••• L• reported RAUM $463.9M, up 33% from $350.1M (2025-03-28 to 2026-03-30)
Mar 30, 2026 · RAUM change · derived
S•••••• M••••••••• L• reported RAUM $212.3M, down 35% from $325.5M (2022-09-22 to 2023-03-30)
Mar 30, 2023 · RAUM change · derived
S•••••• M••••••••• L• reported RAUM $459.3M, down 38% from $743.7M (2018-05-24 to 2019-03-29)
Mar 29, 2019 · RAUM change · derived
S•••••• M••••••••• L• reported RAUM $743.7M, down 30% from $1.1B (2018-01-06 to 2018-03-29)
Mar 29, 2018 · RAUM change · derived
S•••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Jan 19, 2016 · Succession (Item 4) · fact

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: 212-355-5600reportedpublic 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