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•••••••• I•••••••• M••••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Feb 14, 2012 · 26 filings
SEC status approved since Mar 16, 2012
RAUM
$522M
reported, Item 5.F
Discretionary
100%
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$522M as of Mar 27, 2026
Apr 1, 2013$573M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Apr 1, 20130 then
Employees (5.A)4 as of Mar 27, 2026
Apr 1, 20134 then
Private funds4 as of Mar 27, 2026
Apr 1, 20135 then
RAUM -3.6% over the last fiscal year-6.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $131MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.6%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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$522M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| W•••••• I•••••••• L••no longer reported | Other Private Fund | $1.9B | 2 | Mar 29, 2019 |
| N•••••• I•••••••• L•• | Other Private Fund | $731M | 2 | Mar 28, 2022 |
| W•••••• I•••••••• I• L••no longer reported | Other Private Fund | $323M | 3 | Mar 29, 2019 |
| S•••• L•no longer reported | Other Private Fund | $208M | 3 | Feb 14, 2012 |
| S•••• L•no longer reported | Other Private Fund | $58.2M | 4 | Apr 1, 2013 |
| S•••••••• S•••••••• F••• C• L••no longer reported | Other Private Fund | $40.6M | 7 | Feb 14, 2012 |
| S•••• L• ••••••••• | Other Private Fund | $5.4M | 3 | Sep 29, 2017 |
| W•••••• I••••••••• P••••••• L••no longer reported | Other Private Fund | $2.2M | 4 | Mar 20, 2020 |
| S••• L•• | Other Private Fund | $1.6M | 3 | Mar 20, 2020 |
| S•••••••• S•••••••• F••• D• L••no longer reported | Other Private Fund | $148,596 | 2 | Apr 1, 2013 |
| W•••••• I•••••••• ••••••••• L• I••••••••• | Other Private Fund | $82,120 | 3 | Mar 26, 2021 |
| S•••••••• S•••••••• F••• E• L••no longer reported | Other Private Fund | $35,541 | 3 | Apr 1, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• E•••••• J••• · Portfolio Managercontrolsince 05/2006 · owns 50% to 75%
- P•••• S•••••• J•• · Chief Compliance Officercontrolsince 12/2018 · owns less than 5%
- W•••••• S••••••• L• · Director Of Researchcontrolsince 01/2010 · owns 25% to 50%
- B••••••• E•••••• J••• · Managing Membercontrolsince 05/2006 · owns 50% to 75% of S•••••••• I•••••••• M••••••••• G•• L••
- W•••••• S••••••• L• · Managing Directorcontrolsince 03/2013 · owns 25% to 50% of S•••••••• I•••••••• M••••••••• G•• L••
Entity owners
- S•••••••• I•••••••• M••••••••• G•• L•• · General Partner Of Registrantdirect · owns less than 5%
Related persons
Schedule D 7.A
- S•••••••• I•••••••• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $541M to $522MJan 6, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $541M to $522MJan 6, 2026 to Mar 27, 2026
- RAUM · $541M to $522MJan 6, 2026 to Mar 27, 2026
- Accounts · 3 to 4Mar 27, 2024 to Mar 27, 2025
- Pooled vehicle clients · 3 to 4Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- Private funds · 3 to 4Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $732M to $541MMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $732M to $541MMar 27, 2024 to Mar 27, 2025
- RAUM · $732M to $541MMar 27, 2024 to Mar 27, 2025
- Accounts · 4 to 3Mar 28, 2023 to Mar 27, 2024
- Pooled vehicle clients · 4 to 3Mar 28, 2023 to Mar 27, 2024
- Assets in custody · 639552799.0 to unsetMar 28, 2023 to Mar 27, 2024
- Custody of client assets · true to falseMar 28, 2023 to Mar 27, 2024
- Private funds · 4 to 3Mar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $640M to $732MMar 28, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $640M to $732MMar 28, 2023 to Mar 27, 2024
- RAUM · $640M to $732MMar 28, 2023 to Mar 27, 2024
- Assets in custody · $787M to $640MMar 28, 2022 to Mar 28, 2023
- Discretionary RAUM · $787M to $640MMar 28, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $787M to $640MMar 28, 2022 to Mar 28, 2023
- RAUM · $787M to $640MMar 28, 2022 to Mar 28, 2023
- Accounts · 9 to 4Mar 26, 2021 to Mar 28, 2022
- Pooled vehicle clients · 9 to 4Mar 26, 2021 to Mar 28, 2022
- Assets in custody · $2.5B to $787MMar 26, 2021 to Mar 28, 2022
- Private funds · 9 to 4Mar 26, 2021 to Mar 28, 2022
- Discretionary RAUM · $2.5B to $787MMar 26, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $2.5B to $787MMar 26, 2021 to Mar 28, 2022
- RAUM · $2.5B to $787MMar 26, 2021 to Mar 28, 2022
- Accounts · 8 to 9Mar 20, 2020 to Mar 26, 2021
- Advisory employees · 3 to 2Mar 20, 2020 to Mar 26, 2021
- Pooled vehicle clients · 8 to 9Mar 20, 2020 to Mar 26, 2021
- Assets in custody · $2.5B to $2.5BMar 20, 2020 to Mar 26, 2021
- Employees · 5 to 4Mar 20, 2020 to Mar 26, 2021
- Private funds · 8 to 9Mar 20, 2020 to Mar 26, 2021
- Discretionary RAUM · $2.5B to $2.5BMar 20, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $2.5B to $2.5BMar 20, 2020 to Mar 26, 2021
- RAUM · $2.5B to $2.5BMar 20, 2020 to Mar 26, 2021
- Accounts · 6 to 8Mar 29, 2019 to Mar 20, 2020
- Pooled vehicle clients · 6 to 8Mar 29, 2019 to Mar 20, 2020
Signals
3 dated events
- S•••••••• I•••••••• M••••••••• L• reported RAUM $541.4M, down 26% from $732.5M (2024-03-27 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- S•••••••• I•••••••• M••••••••• L• reported RAUM $787.2M, down 68% from $2.5B (2021-03-26 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- S•••••••• I•••••••• M••••••••• L• reported RAUM $2.3B, up 58% from $1.4B (2018-12-03 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S•••••••• I•••••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- S••••••••INVESTORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-735-1000reportedpublic record, Form ADV, Mar 27, 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