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•••••• A••••••••• A•••• M•••••••••

Former SEC-registered adviserNew York, New YorkCRD 158993SEC 801-72994IAPD
Legal name S•••••• A••••••••• A•••• M••••••••• L••
Latest filing Mar 27, 2014
First filing on the tape Dec 20, 2011 · 6 filings
RAUM
$130M
reported, Item 5.F
Discretionary
42%
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
7
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$105M gross assets
History
6 filings and snapshots on the tape
RAUM$130M as of Mar 27, 2014
Mar 30, 2012$148M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2014
Mar 25, 20130 then
Employees (5.A)7 as of Mar 27, 2014
Mar 25, 20139 then
Private funds4 as of Mar 27, 2014
Mar 30, 20123 then
RAUM -4.9% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2014; 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
$26.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
42%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
-4.9%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$52.0M, 3 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)
  • 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
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
$52.0M for 3 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•••••••• P•••••••• L••Hedge Fund$49.8M26Dec 20, 2011
      M•••••••• D••••••• F•••• L••Hedge Fund$29.7M16Dec 20, 2011
      M•••••••• I••••••••• F•••• L••Hedge Fund$20.1M10Dec 20, 2011
      A••••• C•••••• I•• L•Hedge Fund$5.0M1Mar 25, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• A•••••• C••••••••• · Managing Membercontrol
        since 12/2011 · owns less than 5%
      • G•••••••• T••••••• M•••••• · Managing Membercontrol
        since 12/2011 · owns less than 5%
      • K••••• P••••• C••••• · Co-Chief Investment Officer/Managing Membercontrol
        since 12/2011 · owns less than 5%
      • M••••••• C••••••••• B••••••• · Co-Chief Investment Officer/Managing Membercontrol
        since 12/2011 · owns less than 5%
      • S••••••••• R••••• D•••• · Managing Membercontrol
        since 12/2011 · owns less than 5%
      • W••••• S••••••• B•••• · Chief Compliance Officer/Managing Membercontrol
        since 12/2011 · owns less than 5%
      • B•••••• A•••••• C••••••••• · Managing Membercontrol
        since 12/2003 · owns F of S•••••• G••••• L••
      • G•••••••• T••••••• M•••••• · Managing Membercontrol
        since 12/2003 · owns F of S•••••• G••••• L••
      • K••••• P••••• C••••• · Managing Membercontrol
        since 01/2004 · owns 25% to 50% of M•••••••• I••••••••• M••••••••• C••••••• L••
      • M••••••• C••••••••• B••••••• · Managing Membercontrol
        since 01/2004 · owns 50% to 75% of M•••••••• I••••••••• M••••••••• C••••••• L••
      • S••••••••• R••••• D•••• · Managing Membercontrol
        since 12/2003 · owns F of S•••••• G••••• L••
      • W••••• S••••••• B•••• · Managing Membercontrol
        since 12/2003 · owns F of S•••••• G••••• L••
      Entity owners
      • M•••••••• I••••••••• M••••••••• C••••••• L•• · Member
        direct · owns 50% to 75%
      • S•••••• A•••••••• L•• · Member
        direct · owns 50% to 75%
      • C•••••• S••••••• I••• · Member
        indirect · owns 25% to 50% of S•••••• G••••• L••
      • S•• S•••••• L•• · Custodian
        indirect · owns 75% or more of Provident Trust Company
      • S•••••• G••••• L•• · Shareholder
        indirect · owns 75% or more of S•••••• Advisers, LLC
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Locust Valley, NY
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 5
        Mar 25, 2013 to Mar 27, 2014
      • Advisory employees · 5 to 3
        Mar 25, 2013 to Mar 27, 2014
      • Assets in custody · $49.3M to $52.0M
        Mar 25, 2013 to Mar 27, 2014
      • Employees · 9 to 7
        Mar 25, 2013 to Mar 27, 2014
      • Discretionary RAUM · $49.3M to $54.8M
        Mar 25, 2013 to Mar 27, 2014
      • Non-discretionary RAUM · $87.3M to $75.0M
        Mar 25, 2013 to Mar 27, 2014
      • RAUM · $137M to $130M
        Mar 25, 2013 to Mar 27, 2014
      • Accounts · 3 to 4
        Mar 30, 2012 to Mar 25, 2013
      • Advisory employees · unset to 5.0
        Mar 30, 2012 to Mar 25, 2013
      • BD registered reps · unset to 0.0
        Mar 30, 2012 to Mar 25, 2013
      • Assets in custody · $66.8M to $49.3M
        Mar 30, 2012 to Mar 25, 2013
      • Employees · unset to 9.0
        Mar 30, 2012 to Mar 25, 2013
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Mar 25, 2013
      • Private funds · 3 to 4
        Mar 30, 2012 to Mar 25, 2013
      • Discretionary RAUM · $66.8M to $49.3M
        Mar 30, 2012 to Mar 25, 2013
      • Non-discretionary RAUM · $81.1M to $87.3M
        Mar 30, 2012 to Mar 25, 2013
      • RAUM · $148M to $137M
        Mar 30, 2012 to Mar 25, 2013
      • Assets in custody · $61.9M to $66.8M
        Jan 11, 2012 to Mar 30, 2012
      • Discretionary RAUM · $61.9M to $66.8M
        Jan 11, 2012 to Mar 30, 2012
      • Non-discretionary RAUM · $82.3M to $81.1M
        Jan 11, 2012 to Mar 30, 2012
      • RAUM · $144M to $148M
        Jan 11, 2012 to Mar 30, 2012
      • Succession · true to false
        Dec 20, 2011 to Jan 10, 2012
      Signals
      1 dated events
      • S•••••• A••••••••• A•••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Dec 20, 2011 · 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.
      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