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••••••• F••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since Sep 1, 2011
RAUM
$461M
reported, Item 5.F
Discretionary
86%
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
11
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
4
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$461M as of Mar 30, 2026
Mar 30, 2012$65.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Apr 1, 20133 then
Employees (5.A)11 as of Mar 30, 2026
Apr 1, 20139 then
Private funds4 as of Mar 30, 2026
Mar 30, 20121 then
RAUM +111% over the last fiscal year+13% a year over threeIARs 2 to 0offices 1 to 2
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
- $65.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 50%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +111%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 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
- $229M, 6 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$232M50%
- Insurance companies$229M50%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $229M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.5 institutional_share=0.5 related_bd=false related_bank=false 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
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• M•••••••• O••••••••• F••• V• L• | Private Equity Fund | $53.2M | 58 | Mar 30, 2017 |
| S••••••• M•••••••• O••••••••• F••• I• L• | Private Equity Fund | $34.5M | 51 | Mar 30, 2012 |
| S••••••• M•••••••• A••••• A•••• F••• L•no longer reported | Hedge Fund | $12.7M | 2 | Mar 30, 2012 |
| L••••••• L• | Private Equity Fund | $7.6M | 30 | Mar 30, 2018 |
| S••••••• M••••••• O••••••••• F••• V•• L• | Private Equity Fund | $6.9M | 44 | Mar 31, 2022 |
| S••••••• T••••••••• O••••••••• F••• I•••• L•no longer reported | Hedge Fund | $1.2M | 60 | Mar 30, 2012 |
| S••••••• T••••••••• O••••••••• F••• I•••••• L•no longer reported | Hedge Fund | $1.2M | 1 | Mar 30, 2012 |
| S••••••• T••••••••• O••••••••• F••• I•••••• L•no longer reported | Hedge Fund | $1.2M | 1 | Mar 30, 2012 |
| S••••••• T••••••••• O••••••••• F••• I•••••• L•no longer reported | Hedge Fund | $332,869 | 3 | Mar 30, 2012 |
| S••••••• T••••••••• O••••••••• F••• I•••• L•no longer reported | Hedge Fund | $244,712 | 3 | Mar 30, 2012 |
| S••••••• T••••••••• O••••••••• F••• I•••••• L•no longer reported | Hedge Fund | $111,350 | 2 | Mar 30, 2012 |
| W••••• L••• H••••••• L••no longer reported | Other Private Fund | $0 | 64 | Mar 29, 2019 |
Owners and control persons
Schedule A and B, latest filing
- L••• S••• H••• · Chief Compliance Officercontrolsince 04/2016 · owns less than 5%
- S•••••• J••• P•••• · Member, Managing Membercontrolsince 02/2011 · owns less than 5%
- S•••••• K••••••••• W•••••• · Chief Operating Officercontrolsince 10/2023 · owns less than 5%
- W•••••• J••••••• M•••••• · Member, Managing Membercontrolsince 02/2011 · owns less than 5%
- S•••••• J••• P•••• · Member And Ownercontrolsince 07/2012 · owns 50% to 75% of S••••••• F••• M•••••••• L••
- W•••••• J••••••• M•••••• · Member And Ownercontrolsince 07/2012 · owns 50% to 75% of S••••••• F••• M•••••••• L••
Entity owners
- S••••••• F••• M•••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••••• F••• I••••••••• L••pooled vehicle sponsory
- S••••••• T••••••••• I••••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Redwood Shores, CA1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 30, 2026institutional share of RAUM moved from 0.0% to 50.0% between the annual amendments of 2025-03-25 and 2026-03-30peers: other advisers, $100M to $500M (212)
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $218,686,597 to $461,209,006 (+111.0%) between the annual amendments of 2025-03-25 and 2026-03-30; the peer median change was +8.0% (161 comparable advisers, 96.0th percentile of changes)peers: other advisers, $100M to $500M (161) · 96% percentile
What changed
consecutive filings, newest first
- Advisory employees · 5 to 7Mar 25, 2025 to Mar 30, 2026
- Assets in custody · $97.5M to $229MMar 25, 2025 to Mar 30, 2026
- Employees · 9 to 11Mar 25, 2025 to Mar 30, 2026
- State-registered IARs · 2 to 0Mar 25, 2025 to Mar 30, 2026
- Other offices · 1 to 2Mar 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $158M to $395MMar 25, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $60.4M to $66.2MMar 25, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $219M to $232MMar 25, 2025 to Mar 30, 2026
- RAUM · $219M to $461MMar 25, 2025 to Mar 30, 2026
- Advisory employees · 4 to 5Jan 8, 2025 to Mar 25, 2025
- Assets in custody · $102M to $97.5MJan 8, 2025 to Mar 25, 2025
- Employees · 8 to 9Jan 8, 2025 to Mar 25, 2025
- Financial planning clients · unset to Jan 8, 2025 to Mar 25, 2025
- Discretionary RAUM · $165M to $158MJan 8, 2025 to Mar 25, 2025
- Non-discretionary RAUM · $84.3M to $60.4MJan 8, 2025 to Mar 25, 2025
- Pooled vehicle RAUM · $249M to $219MJan 8, 2025 to Mar 25, 2025
- RAUM · $249M to $219MJan 8, 2025 to Mar 25, 2025
- Accounts · 5 to 7Mar 22, 2024 to Nov 12, 2024
- Advisory employees · 5 to 4Mar 29, 2023 to Mar 22, 2024
- Assets in custody · $125M to $102MMar 29, 2023 to Mar 22, 2024
- Employees · 9 to 8Mar 29, 2023 to Mar 22, 2024
- State-registered IARs · 3 to 2Mar 29, 2023 to Mar 22, 2024
- Discretionary RAUM · $195M to $165MMar 29, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $124M to $84.3MMar 29, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $319M to $249MMar 29, 2023 to Mar 22, 2024
- RAUM · $319M to $249MMar 29, 2023 to Mar 22, 2024
- Accounts · 6 to 5Apr 13, 2022 to Mar 29, 2023
- Pooled vehicle clients · 6 to 5Apr 13, 2022 to Mar 29, 2023
- Assets in custody · $125M to $125MApr 13, 2022 to Mar 29, 2023
- Private funds · 5 to 4Apr 13, 2022 to Mar 29, 2023
- Discretionary RAUM · $184M to $195MApr 13, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $102M to $124MApr 13, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $286M to $319MApr 13, 2022 to Mar 29, 2023
- RAUM · $286M to $319MApr 13, 2022 to Mar 29, 2023
- Accounts · 5 to 6Mar 29, 2021 to Mar 31, 2022
- Pooled vehicle clients · 5 to 6Mar 29, 2021 to Mar 31, 2022
- Assets in custody · $92.6M to $125MMar 29, 2021 to Mar 31, 2022
- Private funds · 4 to 5Mar 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $140M to $184MMar 29, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $91.1M to $102MMar 29, 2021 to Mar 31, 2022
Signals
2 dated events
- S••••••• F••• A•••••••• L•• reported RAUM $461.2M, up 111% from $218.7M (2025-03-25 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- W•••••• K•••••••• S••••• (Chief Operating Officer) appeared on Schedule A of S••••••• F••• A•••••••• L••Mar 22, 2024 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- S••••••• F••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••••• F••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/saybrook-fund-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••••FUNDADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-601-3710reportedpublic 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
- Other 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