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••••••• T••••••••• G••••• L••
Latest filing Sep 9, 2026
First filing on the tape Feb 9, 2012 · 20 filings
SEC status approved since Mar 28, 2012
RAUM
$307M
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
88
88 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$307M as of Mar 31, 2026
Mar 28, 2013$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)88 as of Mar 31, 2026
Mar 28, 201329 then
Private funds7 as of Mar 31, 2026
Mar 28, 20135 then
RAUM -9.9% over the last fiscal year-11% a year over threeIARs 0 to 0offices 2 to 3
Practice profile
derived from the filing of Sep 9, 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
- $43.9MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.9%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 vehicles, otherreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$307M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• T••••••••• I•••• L•••no longer reported | Private Equity Fund | $507M | 2 | Feb 9, 2012 |
| S•• I•• L••• | Private Equity Fund | $171M | 25 | Feb 9, 2012 |
| S•• I•••• L••• | Private Equity Fund | $113M | 12 | Feb 9, 2012 |
| S•• I••• L••• | Private Equity Fund | $70.5M | 25 | Feb 9, 2012 |
| S•• S•• L••• | Private Equity Fund | $33.4M | 14 | Mar 31, 2021 |
| S•• I• •••••••• L••• | Private Equity Fund | $18.2M | 25 | Mar 29, 2019 |
| S•• I••• •••••••• L••• | Private Equity Fund | $13.2M | 12 | Mar 29, 2019 |
| S•• I••••• L••• | Private Equity Fund | $9.4M | 3 | Feb 9, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••• M•••• A•••• · Managing Directorcontrolsince 07/2013 · owns less than 5%
- C•••••••• W••••••• F•••••• · Trustee Of C••••••• L••••• T•••• U•••• A••••• 1•• 2•••controlsince 08/2000 · owns 5% to 10%
- H•••••• D••••••• M••••••• · Managing Director, Coocontrolsince 01/2011 · owns less than 5%
- H••••••••• S••••••• E••••• · Managing Director, Cfo, Ccocontrolsince 01/2013 · owns less than 5%
- T••••••••• J•••••• T•••••• · Managing Directorcontrolsince 07/2010 · owns less than 5%
- W•••••••• R•••••• T••••••• · Trustee Of R••••• A•• K••••••• W••••••• T•••• U•••• J••• 1•• 1•••controlsince 07/1997 · owns 75% or more
Entity owners
- C••••••• L••••• T•••• U•••• A••••• 1•• 2••• · Memberdirect · owns 5% to 10%
- R••••• A•• K••••••• W••••••• T•••• U•••• J••• 1•• 1••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•• I•• G•• L•••pooled vehicle sponsorn
- S•• I• G• •••••••• L•••pooled vehicle sponsorn
- S•• I• G•• L•••pooled vehicle sponsorn
- S•• P•••••••• L••investment advisernRAUM $13B
- S•• S• G•• L•••pooled vehicle sponsorn
Advisers that list S••••••• T••••••••• G••••• L•• as a related person
- 291048 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 31, 2026 to Sep 9, 2026
- Other offices · 2 to 3Mar 31, 2026 to Sep 9, 2026
- Private funds · 7 to unsetMar 31, 2026 to Sep 9, 2026
- Succession · false to unsetMar 31, 2026 to Sep 9, 2026
- Advisory employees · 89 to 88Mar 28, 2025 to Mar 31, 2026
- Employees · 89 to 88Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $341M to $307MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $341M to $307MMar 28, 2025 to Mar 31, 2026
- RAUM · $341M to $307MMar 28, 2025 to Mar 31, 2026
- Advisory employees · 71 to 89Mar 29, 2024 to Mar 28, 2025
- Employees · 71 to 89Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Other offices · 0 to 2Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $429M to $341MMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $429M to $341MMar 29, 2024 to Mar 28, 2025
- RAUM · $429M to $341MMar 29, 2024 to Mar 28, 2025
- Advisory employees · 57 to 71Mar 31, 2023 to Mar 29, 2024
- Employees · 57 to 71Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $431M to $429MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $431M to $429MMar 31, 2023 to Mar 29, 2024
- RAUM · $431M to $429MMar 31, 2023 to Mar 29, 2024
- Related adviser · false to trueMar 31, 2023 to Mar 29, 2024
- Advisory employees · 30 to 57Mar 31, 2022 to Mar 31, 2023
- Advisory activities · 1 to 2Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $463M to $0Mar 31, 2022 to Mar 31, 2023
- Employees · 46 to 57Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $463M to $431MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $463M to $431MMar 31, 2022 to Mar 31, 2023
- RAUM · $463M to $431MMar 31, 2022 to Mar 31, 2023
- Advisory employees · 24 to 30Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $1.3B to $463MMar 31, 2021 to Mar 31, 2022
- Employees · 33 to 46Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.3B to $463MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.3B to $463MMar 31, 2021 to Mar 31, 2022
- RAUM · $1.3B to $463MMar 31, 2021 to Mar 31, 2022
- Accounts · 6 to 7Mar 30, 2020 to Mar 31, 2021
- Advisory employees · 21 to 24Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 6 to 7Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $1.8B to $1.3BMar 30, 2020 to Mar 31, 2021
- Employees · 30 to 33Mar 30, 2020 to Mar 31, 2021
Signals
4 dated events
- S••••••• T••••••••• G••••• L•• reported RAUM $463.5M, down 63% from $1.3B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S••••••• T••••••••• G••••• L•• reported RAUM $1.3B, down 28% from $1.8B (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- S••••••• T••••••••• G••••• L•• reported RAUM $1.8B, up 28% from $1.4B (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- S••••••• T••••••••• G••••• L•• reported RAUM $1.3B, down 44% from $2.2B (2018-02-27 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S••••••• T••••••••• G••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••••• T••••••••• G••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- symphonytg.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 650-935-9500reportedpublic record, Form ADV, Sep 9, 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