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•••••••• C•••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 21, 2012 · 21 filings
SEC status approved since Mar 30, 2012
RAUM
$22.0M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$22.0M as of Mar 31, 2026
Feb 26, 2013$149M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Feb 26, 20130 then
Employees (5.A)2 as of Mar 31, 2026
Feb 26, 20135 then
Private funds1 as of Mar 31, 2026
Feb 26, 20131 then
RAUM -39% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $11.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.7%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
- -39%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
- 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)
- 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$21.6M98%
- State and municipal entities$378,0001.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• C•••••• F••• I•• L• | Private Equity Fund | $37.2M | 2 | Feb 21, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••• P••••••• J• · Managing Member And Chief Compliance Officercontrolsince 02/2011 · owns less than 5%
- C••••• P••••••• J• · Sole Ownercontrolsince 02/2011 · owns 75% or more of S•••••••• C•••••• M••••••••• L••
Entity owners
- S•••••••• C•••••• M••••••••• L•• · Sole Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $36.1M to $22.0MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $35.1M to $21.6MMar 31, 2025 to Mar 31, 2026
- RAUM · $36.1M to $22.0MMar 31, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- HQ city · unset to Mar 29, 2024 to Mar 31, 2025
- HQ state · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $38.3M to $36.1MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $37.2M to $35.1MMar 29, 2024 to Mar 31, 2025
- RAUM · $38.3M to $36.1MMar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $43.1M to $38.3MJul 18, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $42.0M to $37.2MJul 18, 2023 to Mar 29, 2024
- RAUM · $43.1M to $38.3MJul 18, 2023 to Mar 29, 2024
- Discretionary RAUM · $48.9M to $43.1MMar 24, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $45.4M to $42.0MMar 24, 2022 to Mar 31, 2023
- RAUM · $48.9M to $43.1MMar 24, 2022 to Mar 31, 2023
- Discretionary RAUM · $51.8M to $48.9MMar 25, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $48.4M to $45.4MMar 25, 2021 to Mar 24, 2022
- RAUM · $51.8M to $48.9MMar 25, 2021 to Mar 24, 2022
- Accounts · 3 to 2Jun 2, 2020 to Mar 25, 2021
- HQ city · BOCA RATON to unsetJun 2, 2020 to Mar 25, 2021
- HQ state · FL to unsetJun 2, 2020 to Mar 25, 2021
- Other offices · 1 to 0Jun 2, 2020 to Mar 25, 2021
- Discretionary RAUM · $147M to $51.8MJun 2, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · $46.3M to $48.4MJun 2, 2020 to Mar 25, 2021
- RAUM · $147M to $51.8MJun 2, 2020 to Mar 25, 2021
- Discretionary RAUM · $159M to $147MJun 6, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $50.9M to $46.3MJun 6, 2019 to Mar 26, 2020
- RAUM · $159M to $147MJun 6, 2019 to Mar 26, 2020
- Discretionary RAUM · $227M to $159MJun 1, 2018 to Mar 21, 2019
- Pooled vehicle RAUM · $53.2M to $50.9MJun 1, 2018 to Mar 21, 2019
- RAUM · $227M to $159MJun 1, 2018 to Mar 21, 2019
- Pooled vehicle clients · unset to 1.0Feb 12, 2018 to Mar 26, 2018
- Discretionary RAUM · $216M to $227MFeb 12, 2018 to Mar 26, 2018
- Pooled vehicle RAUM · unset to 53200000.0Feb 12, 2018 to Mar 26, 2018
- RAUM · $216M to $227MFeb 12, 2018 to Mar 26, 2018
- Other offices · unset to 1.0Mar 29, 2017 to Feb 12, 2018
- Advisory employees · 3 to 2Mar 11, 2016 to Mar 29, 2017
- Employees · 5 to 2Mar 11, 2016 to Mar 29, 2017
- Discretionary RAUM · $203M to $216MMar 11, 2016 to Mar 29, 2017
- RAUM · $203M to $216MMar 11, 2016 to Mar 29, 2017
Signals
1 dated events
- S•••••••• C•••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $22.0M)Jul 1, 2026 · Left the SEC roster · derived
Across DFX
shared identifiers only, never a name match
- S•••••••• C•••••• A•••••••• L•• · Private Equityshared crd · organization
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