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•••• M••••••••• L•
Latest filing May 29, 2024
First filing on the tape Nov 14, 2011 · 19 filings
SEC status approved since Jan 5, 2012
RAUM
$1.4B
reported, Item 5.F
Discretionary
44%
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
68
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$792M as of Mar 28, 2024
Mar 21, 2013$4.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 21, 20130 then
Employees (5.A)68 as of Mar 28, 2024
Mar 21, 201327 then
Private funds2 as of Mar 30, 2018
Mar 21, 20139 then
RAUM -93% over the last fiscal year-54% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 29, 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
- $83.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 44%derivedof RAUM
- Institutional
- 0.0%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
- -96%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$792M56%
- Pooled investment vehicles$612M43%
- Corporations and businesses$11.2M0.8%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 17reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
Private funds
22 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• M••••• M••••• F•••no longer reported | Hedge Fund | $109M | 2 | Mar 31, 2014 |
| S••••••••• M••••• F••• •••••••••no longer reported | Hedge Fund | $99.1M | 1 | Mar 31, 2014 |
| S••••• M•••• M••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $64.6M | 1 | Mar 31, 2014 |
| S••••• P••••• F••• L••no longer reported | Hedge Fund | $32.4M | 31 | Mar 28, 2016 |
| S••••• M•••• M••••••• F•••• L•••no longer reported | Hedge Fund | $23.2M | 1 | Mar 21, 2013 |
| S••••• G••••• G••• M••••• F••• L•no longer reported | Hedge Fund | $18.2M | 3 | Mar 8, 2017 |
| S••••• P••••• F••• L•••no longer reported | Hedge Fund | $17.0M | 21 | Mar 28, 2016 |
| S••••• G••••• G••• C••••• F••• L•no longer reported | Hedge Fund | $16.7M | 3 | Mar 8, 2017 |
| S••••••••• M••••• F••• ••••• A•••••••• L•no longer reported | Hedge Fund | $10.3M | 1 | Mar 31, 2014 |
| S••••• G••••• R•••••••• L•no longer reported | Hedge Fund | $9.3M | 1 | Mar 30, 2015 |
| S••••• G••••• G••• C•••••• L•no longer reported | Hedge Fund | $1.4M | 7 | Mar 8, 2017 |
| S••••• M••••• F•••• L•••no longer reported | Hedge Fund | $1.0M | 2 | Nov 14, 2011 |
| S••••• G••••• R•••••••• M••••• F••• L•••no longer reported | Hedge Fund | $948,835 | 1 | Mar 30, 2015 |
| S••••• O••••••• F••• L•••no longer reported | Hedge Fund | $786,155 | 22 | Nov 14, 2011 |
| S••••• M••••• F••• I•• L•••no longer reported | Hedge Fund | $659,980 | 2 | Nov 14, 2011 |
| S••••• O••••••• F••• I•• L•••no longer reported | Hedge Fund | $392,897 | 22 | Nov 14, 2011 |
| S••••• C••••••• L•no longer reported | Hedge Fund | $388,240 | 24 | Nov 14, 2011 |
| S••••• C•••••• I•• L•no longer reported | Hedge Fund | $382,318 | 25 | Nov 14, 2011 |
| S••••• M•••• M••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $0 | 0 | Mar 21, 2013 |
| S••••• G••••• R•••••••• F••• L•••no longer reported | Hedge Fund | $0 | 1 | Mar 30, 2015 |
| S••••• G••••• G••• O••••••• F•••• L••no longer reported | Hedge Fund | $0 | 0 | Mar 8, 2017 |
| S••••• M•••• M••••••• L•no longer reported | Hedge Fund | $0 | 0 | Mar 21, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• V••••••• · Chief Financial Officercontrolsince 12/2018 · owns less than 5%
- C••••••••• J•••• A•••••• · Ceo, Directorcontrolsince 07/2017 · owns less than 5%
- G•••••• W••••••• W•••••• · Directorcontrolsince 12/2018 · owns less than 5%
- H••••••• K•••• · Directorcontrolsince 01/2016 · owns less than 5%
- M•••••• L••• · Chief Compliance Officercontrolsince 06/2020 · owns less than 5%
- S•••••••• M••••• A•••••••• · Chief Investment Officercontrolsince 12/2021 · owns less than 5%
Entity owners
- S••••• A•••• M••••••••• G• I••• · General Partnerdirect · owns 75% or more
- S••••• I••• · Limited Partnerdirect · owns less than 5% · public reporting company
- S••••• I••• · Shareholderindirect · owns 75% or more of S••••• A•••• M••••••••• G• I••• · public reporting company
Related persons
Schedule D 7.A
- R••••••• C•••••• I••••••••• C•••••••••investment adviserpooled vehicle sponsornRAUM $3.7B
- S••••• A•••• M••••••••• U•• I•••investment advisernRAUM $10B
- S••••• G••••• R••••••• I••••••••• L••broker-dealern
Advisers that list S••••• A•••• M••••••••• L• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 17Mar 29, 2024 to May 29, 2024
- Corporate clients · 0.0 to unsetMar 29, 2024 to May 29, 2024
- Pooled vehicle clients · 0 to 15Mar 29, 2024 to May 29, 2024
- Discretionary RAUM · $0 to $624MMar 29, 2024 to May 29, 2024
- Pooled vehicle RAUM · unset to 612387879.0Mar 29, 2024 to May 29, 2024
- RAUM · $792M to $1.4BMar 29, 2024 to May 29, 2024
- Accounts · 3 to 1Mar 28, 2024 to Mar 29, 2024
- Accounts · 30 to 3Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 7 to 10Mar 31, 2023 to Mar 28, 2024
- BD registered reps · 0 to 9Mar 31, 2023 to Mar 28, 2024
- Corporate clients · 1 to 0Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 19 to 0Mar 31, 2023 to Mar 28, 2024
- Employees · 27 to 68Mar 31, 2023 to Mar 28, 2024
- Insurance-licensed employees · 0 to 4Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $20B to $0Mar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $0 to $792MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · 17603398383.0 to unsetMar 31, 2023 to Mar 28, 2024
- RAUM · $20B to $792MMar 31, 2023 to Mar 28, 2024
- Related bank · false to trueMar 31, 2023 to Mar 28, 2024
- Accounts · 24 to 30Mar 22, 2022 to Mar 31, 2023
- Discretionary RAUM · $18B to $20BMar 22, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $16B to $18BMar 22, 2022 to Mar 31, 2023
- RAUM · $18B to $20BMar 22, 2022 to Mar 31, 2023
- Accounts · 23 to 24Mar 31, 2021 to Mar 22, 2022
- Pooled vehicle clients · 18 to 19Mar 31, 2021 to Mar 22, 2022
- Employees · 25 to 27Mar 31, 2021 to Mar 22, 2022
- Discretionary RAUM · $15B to $18BMar 31, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $13B to $16BMar 31, 2021 to Mar 22, 2022
- RAUM · $15B to $18BMar 31, 2021 to Mar 22, 2022
- Accounts · 22 to 23Mar 30, 2020 to Mar 31, 2021
- Advisory activities · 2 to 3Mar 30, 2020 to Mar 31, 2021
- Corporate clients · 2 to 1Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 16 to 18Mar 30, 2020 to Mar 31, 2021
- Employees · 10 to 25Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $8.4B to $15BMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $6.9B to $13BMar 30, 2020 to Mar 31, 2021
- RAUM · $8.4B to $15BMar 30, 2020 to Mar 31, 2021
- Accounts · 18 to 22Mar 31, 2019 to Mar 30, 2020
- Corporate clients · 0 to 2Mar 31, 2019 to Mar 30, 2020
- Pooled vehicle clients · 17 to 16Mar 31, 2019 to Mar 30, 2020
Signals
14 dated events
- S••••• A•••• M••••••••• L• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $1.4B)May 2, 2025 · Left the SEC roster · derived
- S••••• A•••• M••••••••• L• reported RAUM $1.4B, up 79% from $792.1M (2024-03-29 to 2024-05-29)May 29, 2024 · RAUM change · derived
- S••••• A•••• M••••••••• L• reported RAUM $792.1M, down 96% from $19.9B (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- A•••••••• M•••• S••••••• (Chief Investment Officer) appeared on Schedule A of S••••• A•••• M••••••••• L•Mar 22, 2022 · Control person joined · fact
- A•••• A•••• (Chief Compliance Officer) no longer on Schedule A of S••••• A•••• M••••••••• L• (listed 2020-03-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- K•••• H•••••• (Director) appeared on Schedule A of S••••• A•••• M••••••••• L•Mar 31, 2021 · Control person joined · fact
- L••• M••••• (Chief Compliance Officer) appeared on Schedule A of S••••• A•••• M••••••••• L•Mar 31, 2021 · Control person joined · fact
- S••••• A•••• M••••••••• L• reported RAUM $14.8B, up 75% from $8.4B (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- S••••• A•••• M••••••••• L• reported RAUM $8.4B, up 29% from $6.6B (2019-03-31 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- S••••• A•••• M••••••••• L• reported RAUM $6.6B, up 504% from $1.1B (2018-03-30 to 2019-03-31)Mar 31, 2019 · RAUM change · derived
- K•••• H•••••• (Chief Financial Officer, Director) no longer on Schedule A of S••••• A•••• M••••••••• L• (listed 2018-03-30, absent 2019-03-31)Mar 31, 2019 · Control person left · inference
- V••••••• B••••• (Chief Financial Officer) appeared on Schedule A of S••••• A•••• M••••••••• L•Mar 31, 2019 · Control person joined · fact
- Whitney William George (Chief Investment Officer) appeared on Schedule A of S••••• A•••• M••••••••• L•Mar 31, 2019 · Control person joined · fact
- S••••• A•••• M••••••••• L• reported RAUM $1.1B, down 69% from $3.5B (2017-03-08 to 2018-03-30)Mar 30, 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.
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