DFX Intelligence

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S•••• I••••••••• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered3 private funds· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $55.1M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $55.1M
Advisors: 0
RAUM change, 1 year: +5.5%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2026, RAUM $52.2M to $55.1M (+5.5%) on the Form ADV filed 27 Mar 2026.

Every filed figure, and the identifiersCRD 160406 · SEC 801-73584 · 25 filingsShow

CRD 160406SEC 801-73584First filing on the tape Feb 14, 2012, latest Mar 27, 2026SEC status approved since Mar 23, 2012IAPD

RAUM

$55.1M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

25 filings and snapshots on the tape

RAUM -17% a year over three years · the tape starts Feb 14, 2012

Peer group: Asset managers, under $100M, 329 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$55.1M as of Mar 27, 2026

May 24, 2013$94.7M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2026

May 24, 20130 then

Employees (5.A)4 as of Mar 27, 2026

May 24, 20136 then

Private funds3 as of Mar 27, 2026

May 24, 20134 then

RAUM +5.5% over the last fiscal year-17% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $13.8MderivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year: +5.5%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

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)
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

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$55.1M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

4 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S•••• I• C••••• O••••••••• F•••• L•no longer reported	Hedge Fund	$39.6M	11	Feb 14, 2012
S•••• D••••• A•••• F•••• L•••	Hedge Fund	$21.2M	11	Feb 14, 2012
S•••• D••••• A•••• F•••• L•••	Hedge Fund	$14.5M	2	Feb 14, 2012
S•••• I••••••••• P•••••••• L•••	Hedge Fund	$8.2M	8	Feb 14, 2012

Owners and control persons

Schedule A and B, latest filing

B•••••• M••••••• J••••• · Managing Membercontrol
since 02/2000 · owns 50% to 75%
H••••••• P•••• C•••••• · Managing Membercontrol
since 04/2009 · owns 50% to 75%
S•••••••• M•••• C•••••• · Chief Compliance Officercontrol
since 04/2016 · owns less than 5%
M••••••• S•••••• C•••• · Passive Owner
since 03/2015 · owns 10% to 25%
T••••• A•••••• V••••• · Passive Member
since 09/2019 · owns 50% to 75%

Ownership changes

4 Schedule A changes between consecutive filings, latest first

Added M••• S••••••• C•••••• · Chief Compliance Officer (S•••• I••••••••• M••••••••• L•• and Sidus IV Capital Management, LLC) control
filing of Apr 7, 2016, against Mar 28, 2016 · owns under 5%
Removed P•••• O••••• A••••• · Chief Compliance Officer (S•••• I••••••••• M••••••••• L•• and Sidus IV Capital Management, LLC) control
filing of Apr 7, 2016, against Mar 28, 2016 · owns under 5%
Added P•••• O••••• A••••• · Chief Compliance Officer (S•••• I••••••••• M••••••••• L•• and Sidus IV Capital Management, LLC) control
filing of May 24, 2013, against Sep 7, 2012 · owns under 5%
Removed C••••••••• S•••• E•••• · Chief Compliance Officer, Chief Financial Officer (of S•••• I••••••••• M••••••••• L•• and Sidus IV Capital Management, LLC) control
filing of Sep 7, 2012, against Feb 14, 2012 · owns under 5%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds; 4 fund-person rows in all

Name	Where	Funds	Filings	Named
A••••• V• T••••director	New York, NY	1	1	n/a
M•••••• J• B•••••director	New York, NY	1	1	n/a
P••• C• H•••••• I••director	New York, NY	1	1	n/a
S••••• C• M••••••director	New York, NY	1	1	n/a

SEC Form D, item 3 (related persons: executive officers, directors and promoters of the issuer), every amendment on EDGAR. A name links to its IAPD record only when it matches exactly one Schedule A owner of the same adviser (3 of 4 here); every other name is as filed and is not joined to anyone.

Related persons

Schedule D 7.A

S•••• A•••••••• L••
pooled vehicle sponsorn
S•••• I• G•• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $52.2M to $55.1M
Mar 25, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $52.2M to $55.1M
Mar 25, 2025 to Mar 27, 2026
RAUM · $52.2M to $55.1M
Mar 25, 2025 to Mar 27, 2026
Accounts · 5 to 4
Jun 14, 2024 to Mar 25, 2025
Pooled vehicle clients · 5 to 4
Jun 14, 2024 to Mar 25, 2025

Full history · 64 changes

Financial planning clients · 0 to 0
Jun 14, 2024 to Mar 25, 2025
Private funds · 4 to 3
Jun 14, 2024 to Mar 25, 2025
Discretionary RAUM · $89.1M to $52.2M
Jun 14, 2024 to Mar 25, 2025
Pooled vehicle RAUM · $89.1M to $52.2M
Jun 14, 2024 to Mar 25, 2025
RAUM · $89.1M to $52.2M
Jun 14, 2024 to Mar 25, 2025
Discretionary RAUM · $95.2M to $89.1M
Mar 27, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $95.2M to $89.1M
Mar 27, 2023 to Mar 28, 2024
RAUM · $95.2M to $89.1M
Mar 27, 2023 to Mar 28, 2024
Financial planning clients · 1-10 to 0
Nov 4, 2022 to Mar 27, 2023
Discretionary RAUM · $107M to $95.2M
Nov 4, 2022 to Mar 27, 2023
Pooled vehicle RAUM · $107M to $95.2M
Nov 4, 2022 to Mar 27, 2023
RAUM · $107M to $95.2M
Nov 4, 2022 to Mar 27, 2023
Related adviser · true to false
Nov 4, 2022 to Mar 27, 2023
Advisory employees · 3 to 2
Aug 19, 2021 to Mar 28, 2022
Employees · 5 to 4
Aug 19, 2021 to Mar 28, 2022
Discretionary RAUM · $90.2M to $107M
Aug 19, 2021 to Mar 28, 2022
Pooled vehicle RAUM · $90.2M to $107M
Aug 19, 2021 to Mar 28, 2022
RAUM · $90.2M to $107M
Aug 19, 2021 to Mar 28, 2022
Advisory activities · 2 to 1
Mar 5, 2020 to Mar 26, 2021
Pooled vehicle clients · 4 to 5
Mar 5, 2020 to Mar 26, 2021
Financial planning clients · unset to 1-10
Mar 5, 2020 to Mar 26, 2021
Discretionary RAUM · $89.8M to $90.2M
Mar 5, 2020 to Mar 26, 2021
Pooled vehicle RAUM · $79.8M to $90.2M
Mar 5, 2020 to Mar 26, 2021
RAUM · $89.8M to $90.2M
Mar 5, 2020 to Mar 26, 2021
Advisory employees · 2 to 3
Sep 30, 2019 to Mar 5, 2020
Discretionary RAUM · $93.1M to $89.8M
Sep 30, 2019 to Mar 5, 2020
Pooled vehicle RAUM · $83.4M to $79.8M
Sep 30, 2019 to Mar 5, 2020
RAUM · $93.1M to $89.8M
Sep 30, 2019 to Mar 5, 2020
Advisory employees · 3 to 2
Mar 14, 2019 to Sep 30, 2019
Discretionary RAUM · $103M to $93.1M
Mar 23, 2018 to Mar 14, 2019
Pooled vehicle RAUM · $92.6M to $83.4M
Mar 23, 2018 to Mar 14, 2019
RAUM · $103M to $93.1M
Mar 23, 2018 to Mar 14, 2019
Pooled vehicle clients · unset to 4.0
Mar 29, 2017 to Mar 23, 2018
Other offices · unset to 0.0
Mar 29, 2017 to Mar 23, 2018
Discretionary RAUM · $105M to $103M
Mar 29, 2017 to Mar 23, 2018
Pooled vehicle RAUM · unset to 92574721.0
Mar 29, 2017 to Mar 23, 2018
RAUM · $105M to $103M
Mar 29, 2017 to Mar 23, 2018
Advisory employees · 4 to 3
Jul 20, 2016 to Mar 29, 2017
Assets in custody · 9200000.0 to unset
Jul 20, 2016 to Mar 29, 2017
Custody of client assets · true to false
Jul 20, 2016 to Mar 29, 2017
Employees · 6 to 5
Jul 20, 2016 to Mar 29, 2017
Discretionary RAUM · $85.4M to $105M
Jul 20, 2016 to Mar 29, 2017
RAUM · $85.4M to $105M
Jul 20, 2016 to Mar 29, 2017
Assets in custody · $10.4M to $9.2M
Mar 20, 2015 to Mar 28, 2016
Discretionary RAUM · $98.1M to $85.4M
Mar 20, 2015 to Mar 28, 2016
RAUM · $98.1M to $85.4M
Mar 20, 2015 to Mar 28, 2016
Assets in custody · $11.3M to $10.4M
Mar 28, 2014 to Mar 20, 2015
Discretionary RAUM · $96.8M to $98.1M
Mar 28, 2014 to Mar 20, 2015
RAUM · $96.8M to $98.1M
Mar 28, 2014 to Mar 20, 2015
Assets in custody · $13.0M to $11.3M
May 24, 2013 to Mar 28, 2014
Discretionary RAUM · $94.7M to $96.8M
May 24, 2013 to Mar 28, 2014
RAUM · $94.7M to $96.8M
May 24, 2013 to Mar 28, 2014
Advisory employees · unset to 4.0
Sep 7, 2012 to May 24, 2013
BD registered reps · unset to 0.0
Sep 7, 2012 to May 24, 2013
Assets in custody · $12.9M to $13.0M
Sep 7, 2012 to May 24, 2013
Employees · unset to 6.0
Sep 7, 2012 to May 24, 2013
State-registered IARs · unset to 0.0
Sep 7, 2012 to May 24, 2013
Discretionary RAUM · $91.2M to $94.7M
Sep 7, 2012 to May 24, 2013
RAUM · $91.2M to $94.7M
Sep 7, 2012 to May 24, 2013

Signals

6 dated events

••• Locked
Mar 27, 2026 · private fund no longer reported · inference
••• Locked
Mar 27, 2026 · ria principal change · derived
••• Locked
Mar 27, 2026 · ria majority owner change · derived
••• Locked
Mar 27, 2026 · ria ownership band change · fact
••• Locked
Mar 27, 2026 · ria ownership band change · fact

Full timeline · 6 events

••• Locked
Mar 27, 2026 · 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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (1), LinkedIn company page (1) · the addresses open with an account

1 earlier address on Form ADV filings, the earliest seen May 24, 2013

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

S•••• I••••••••• M••••••••• L•• is the same institution as 1 record in Private Credit.

Private Credit1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

Not yet on record: net advisor flow, 12 months.