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•• H••••• C•••••• M••••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 159020SEC 801-72729websiteIAPD
Latest filing Mar 28, 2024
First filing on the tape Jan 18, 2012 · 37 filings
SEC status approved since Sep 27, 2011
RAUM
$4.1B
reported, Item 5.F
Discretionary
99%
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
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$180M gross assets
History
37 filings and snapshots on the tape
RAUM$4.1B as of Mar 28, 2024
Mar 26, 2012$729M then
HNW client RAUM$0 as of Mar 28, 2024
Mar 28, 2018$106M then
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 26, 20120 then
Employees (5.A)19 as of Mar 28, 2024
Mar 25, 201322 then
Private funds1 as of Mar 28, 2024
Mar 25, 20131 then
RAUM -8.3% over the last fiscal year-4.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2024; 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
$156MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
47%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
-8.3%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
$180M, 1 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • an independent public accountant performs a surprise examination (9.C.1)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.1B52%
  • Insurance companies$1.6B38%
  • Pension and profit-sharing plans$232M5.7%
  • State and municipal entities$108M2.7%
  • Banks and thrifts$49.3M1.2%
  • Charitable organizations$18.7M0.5%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
26reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$180M for 1 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•• H••••• B•••• H••• Y•••• M••••• P•••••••• L•Other Private Fund$180M15Feb 3, 2014
      S•• H••••• S•••• D••••••• H••• Y•••• P•••••••• L•no longer reportedOther Private Fund$72.9M16Mar 25, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • E••• G••••• · General Counsel And Chief Compliance Officercontrol
        since 08/2011 · owns less than 5%
      • K••••••• D••••• W•••••• · Principalcontrol
        since 09/2011 · owns less than 5%
      • M•••••••• F••••• S••• · Elected Managercontrol
        since 09/2011 · owns less than 5%
      • S•••••••• H•••••• H•••••• · Managing Directorcontrol
        since 09/2011 · owns less than 5%
      • W••••••• D••••• J•• · Elected Managercontrol
        since 09/2011 · owns less than 5%
      • Y•••••• A•••• C•••••••• · Directorcontrol
        since 09/2011 · owns less than 5%
      • C••••• J••••• D••••• · Managing Membercontrol
        since 12/2008 · owns 75% or more of J• T•••••• V• L••
      • D••••• C••••••• A••••• · Managing Membercontrol
        since 12/2008 · owns 75% or more of C• T•••••• V• L••
      • M•••••••• F••••• S••• · Elected Managercontrol
        since 08/2011 · owns F of S•• H••••• C•••••• H••••••• L••
      • S•••••••• H•••••• H•••••• · Elected Managercontrol
        since 09/2011 · owns F of S•• H••••• C•••••• H••••••• L••
      • W••••••• D••••• J•• · Managing Membercontrol
        since 12/2008 · owns 75% or more of D• T•••••• V• L••
      • W••••••• D••••• J•• · Elected Managercontrol
        since 08/2011 · owns F of S•• H••••• C•••••• H••••••• L••
      • Y•••••• A•••• C•••••••• · Elected Managercontrol
        since 09/2011 · owns F of S•• H••••• C•••••• H••••••• L••
      • Z•••••• N••••••• D•••• · Managing Membercontrol
        since 12/2008 · owns 75% or more of N• T•••••• V• L••
      Entity owners
      • S•• H••••• C•••••• H••••••• L•• · Managing Member
        direct · owns 75% or more
      • C• T•••••• V• L•• · General Partner
        indirect · owns F of T•••••• C•••••• V• L•••
      • C• T•••••• V• L•• · General Partner
        indirect · owns F of T•••••• C•••••• V•••• L•••
      • D• T•••••• V• L•• · General Partner
        indirect · owns F of T•••••• C•••••• V• L•••
      • D• T•••••• V• L•• · General Partner
        indirect · owns F of T•••••• C•••••• V•••• L•••
      • J• T•••••• V• L•• · General Partner
        indirect · owns F of T•••••• C•••••• V•••• L•••
      • J• T•••••• V• L•• · General Partner
        indirect · owns F of T•••••• C•••••• V• L•••
      • N• T•••••• V• L•• · General Partner
        indirect · owns F of T•••••• C•••••• V• L•••
      • N• T•••••• V• L•• · General Partner
        indirect · owns F of T•••••• C•••••• V•••• L•••
      • T•••••• C•••••• V•••• L••• · General Partner
        indirect · owns F of T•••••• V• P••••••• F•••• L•••
      • T•••••• C•••••• V• L••• · General Partner
        indirect · owns F of T•••••• V• L•••
      • T•••••• S•• P• H••••••• L•• · Member
        indirect · owns 50% to 75% of S•• H••••• C•••••• H••••••• L••
      • T•••••• S••• H••••••• I••• · Member
        indirect · owns 25% to 50% of T•••••• S•• P• H••••••• L••
      • T•••••• V• P••••••• F•••• L••• · Shareholder
        indirect · owns 75% or more of T•••••• S••• H••••••• I•••
      • T•••••• V• L••• · Member
        indirect · owns 50% to 75% of T•••••• S•• P• H••••••• L••
      Related persons
      Schedule D 7.A
      • S•• H••••• C•••••• M••••••••• G•••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 25 to 26
        Mar 31, 2023 to Mar 28, 2024
      • Advisory employees · 13 to 9
        Mar 31, 2023 to Mar 28, 2024
      • Assets in custody · $145M to $180M
        Mar 31, 2023 to Mar 28, 2024
      • Employees · 23 to 19
        Mar 31, 2023 to Mar 28, 2024
      • Discretionary RAUM · $4.4B to $4.0B
        Mar 31, 2023 to Mar 28, 2024
      • Non-discretionary RAUM · $26.4M to $28.6M
        Mar 31, 2023 to Mar 28, 2024
      • Pension RAUM · $217M to $232M
        Mar 31, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $2.4B to $2.1B
        Mar 31, 2023 to Mar 28, 2024
      • RAUM · $4.4B to $4.1B
        Mar 31, 2023 to Mar 28, 2024
      • Advisory employees · 12 to 13
        Mar 30, 2022 to Mar 31, 2023
      • Advisory activities · 3 to 2
        Mar 30, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 6 to 7
        Mar 30, 2022 to Mar 31, 2023
      • Assets in custody · $198M to $145M
        Mar 30, 2022 to Mar 31, 2023
      • Discretionary RAUM · $5.1B to $4.4B
        Mar 30, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $19.5M to $26.4M
        Mar 30, 2022 to Mar 31, 2023
      • Pension RAUM · $250M to $217M
        Mar 30, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $3.2B to $2.4B
        Mar 30, 2022 to Mar 31, 2023
      • RAUM · $5.1B to $4.4B
        Mar 30, 2022 to Mar 31, 2023
      • Accounts · 26 to 25
        Mar 31, 2021 to Mar 30, 2022
      • Pooled vehicle clients · 5 to 6
        Mar 31, 2021 to Mar 30, 2022
      • Assets in custody · $304M to $198M
        Mar 31, 2021 to Mar 30, 2022
      • Discretionary RAUM · $4.6B to $5.1B
        Mar 31, 2021 to Mar 30, 2022
      • Non-discretionary RAUM · $17.6M to $19.5M
        Mar 31, 2021 to Mar 30, 2022
      • Pension RAUM · $269M to $250M
        Mar 31, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $3.0B to $3.2B
        Mar 31, 2021 to Mar 30, 2022
      • RAUM · $4.7B to $5.1B
        Mar 31, 2021 to Mar 30, 2022
      • Pooled vehicle clients · 6 to 5
        Oct 22, 2020 to Mar 31, 2021
      • Assets in custody · $368M to $304M
        Oct 22, 2020 to Mar 31, 2021
      • Private funds · 2 to 1
        Oct 22, 2020 to Mar 31, 2021
      • Discretionary RAUM · $5.3B to $4.6B
        Oct 22, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $27.0M to $17.6M
        Oct 22, 2020 to Mar 31, 2021
      • Pension RAUM · $423M to $269M
        Oct 22, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $3.6B to $3.0B
        Oct 22, 2020 to Mar 31, 2021
      • RAUM · $5.4B to $4.7B
        Oct 22, 2020 to Mar 31, 2021
      • HNW RAUM · $157M to $0
        Apr 1, 2020 to Oct 22, 2020
      • Advisory activities · 5 to 3
        Mar 28, 2019 to Mar 30, 2020
      • Assets in custody · $399M to $368M
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $4.6B to $5.3B
        Mar 28, 2019 to Mar 30, 2020
      • HNW RAUM · $116M to $157M
        Mar 28, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $30.7M to $27.0M
        Mar 28, 2019 to Mar 30, 2020
      Signals
      3 dated events
      • S•• H••••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $4.1B)
        May 2, 2025 · Left the SEC roster · derived
      • D••••• J•••••• K•••• (Chief Administrative Officer) no longer on Schedule A of S•• H••••• C•••••• M••••••••• L•• (listed 2022-03-30, absent 2023-03-31)
        Mar 31, 2023 · Control person left · inference
      • Claire Labrunerie (Head Of Global Distribution) no longer on Schedule A of S•• H••••• C•••••• M••••••••• L•• (listed 2018-03-28, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      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