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••••••••• L••
Latest filing Mar 13, 2026
First filing on the tape Feb 13, 2012 · 33 filings
SEC status approved since Mar 27, 2012
RAUM
$5.2B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
2.9%
$149M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
37
26 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
12
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$5.2B as of Mar 13, 2026
Feb 19, 2013$1.5B then
HNW client RAUM$149M as of Mar 13, 2026
Mar 15, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 13, 2026
Feb 19, 20130 then
Employees (5.A)37 as of Mar 13, 2026
Feb 19, 201329 then
Private funds12 as of Mar 13, 2026
Feb 19, 20133 then
RAUM +0.6% over the last fiscal year+4.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 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
- $49.7MderivedHNW RAUM over HNW clients
- Average account
- $373MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 2.3%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
- +0.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $20.1M, 1 clientsreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.0B95%
- High-net-worth individuals$149M2.9%
- Charitable organizations$122M2.3%
- Individual clients
- 0reported
- HNW clients
- 3reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $20.1M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.03 fund_share=0.95 institutional_share=0.02 related_bd=false related_bank=true 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
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• L••••••• M••••• F••• L••• | Hedge Fund | $4.4B | 17 | Nov 16, 2015 |
| A•••••• L•• | Other Private Fund | $1.2B | 2 | Mar 21, 2016 |
| 4• N•••• I••••••••• P••••••• L•no longer reported | Hedge Fund | $949M | 7 | Mar 21, 2014 |
| R••••• M••••••••• L•• | Other Private Fund | $314M | 12 | Mar 21, 2016 |
| 4• N•••• A••••••• L•no longer reported | Hedge Fund | $304M | 4 | Feb 13, 2012 |
| S••••••• V••••••• F••• L• | Venture Capital Fund | $157M | 3 | Feb 14, 2020 |
| S••••••• Q•• F••• L• | Real Estate Fund | $136M | 4 | Mar 15, 2019 |
| T•• R••••• F• H••••• F••••••••• L••no longer reported | Other Private Fund | $85.0M | 1 | Mar 15, 2019 |
| S••••••• I••••••••• T••••••••• L•• | Private Equity Fund | $73.5M | 4 | Mar 15, 2022 |
| S••••••• C• H••••••• L•• | Private Equity Fund | $64.2M | 13 | Dec 10, 2021 |
| S••••••• L••••• F••• L• | Hedge Fund | $53.1M | 7 | Feb 13, 2012 |
| 2•• B•••• L•• | Hedge Fund | $17.7M | 6 | Jul 17, 2018 |
| 2••• S••••• B••••••• L••no longer reported | Hedge Fund | $7.1M | 16 | Feb 19, 2013 |
| D•••••••• I••••••••• L•• | Private Equity Fund | $478,805 | 4 | Mar 15, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• V••••••••• N•• · General Counselcontrolsince 01/2022 · owns less than 5%
- L••••••••• E••••• H••• · Chief Operating Officercontrolsince 05/2013 · owns less than 5%
- M••••••••• D••••• J•••• · M••••••controlsince 02/2009 · owns less than 5%
- R••••• T••••• J••• · Chief Financial Officercontrolsince 01/2016 · owns less than 5%
- W•••••• D••••• S•••• · Member And M••••••controlsince 02/2009 · owns 50% to 75%
- Z•••••••• H•••••• J•••• · Chief Compliance Officercontrolsince 02/2012 · owns less than 5%
- M••••••••• D••••• J•••• · Membercontrolsince 01/2022 · owns 75% or more of D•• M••••••••• H••••• L••
Entity owners
- D•• M••••••••• H••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- B•••• M••••••••• L••pooled vehicle sponsorn
- S• G• I• L••bankpooled vehicle sponsorn
- S• G• I•• L••bankpooled vehicle sponsorn
- S••••••• C• M•••••• L••pooled vehicle sponsorn
- S••••••• Q•• G• L••pooled vehicle sponsorn
- S••••••• V• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 11 to 14Sep 19, 2025 to Mar 13, 2026
- Advisory employees · 29 to 26Sep 19, 2025 to Mar 13, 2026
- Pooled vehicle clients · 7 to 10Sep 19, 2025 to Mar 13, 2026
- Assets in custody · $23.2M to $20.1MSep 19, 2025 to Mar 13, 2026
- Employees · 42 to 37Sep 19, 2025 to Mar 13, 2026
- Discretionary RAUM · $4.9B to $5.0BSep 19, 2025 to Mar 13, 2026
- HNW RAUM · $182M to $149MSep 19, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $298M to $271MSep 19, 2025 to Mar 13, 2026
- Pooled vehicle RAUM · $4.9B to $5.0BSep 19, 2025 to Mar 13, 2026
- RAUM · $5.2B to $5.2BSep 19, 2025 to Mar 13, 2026
- Private funds · 10 to 12Mar 14, 2025 to Sep 19, 2025
- Accounts · 10 to 11Mar 15, 2024 to Mar 14, 2025
- Advisory employees · 28 to 29Mar 15, 2024 to Mar 14, 2025
- HNW clients · 2 to 3Mar 15, 2024 to Mar 14, 2025
- Assets in custody · $29.6M to $23.2MMar 15, 2024 to Mar 14, 2025
- Employees · 41 to 42Mar 15, 2024 to Mar 14, 2025
- Financial planning clients · unset to Mar 15, 2024 to Mar 14, 2025
- Private funds · 8 to 10Mar 15, 2024 to Mar 14, 2025
- Discretionary RAUM · $4.9B to $4.9BMar 15, 2024 to Mar 14, 2025
- HNW RAUM · $157M to $182MMar 15, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $262M to $298MMar 15, 2024 to Mar 14, 2025
- Pooled vehicle RAUM · $4.9B to $4.9BMar 15, 2024 to Mar 14, 2025
- RAUM · $5.1B to $5.2BMar 15, 2024 to Mar 14, 2025
- Advisory employees · 31 to 28Mar 15, 2023 to Mar 15, 2024
- Assets in custody · $30.7M to $29.6MMar 15, 2023 to Mar 15, 2024
- Employees · 43 to 41Mar 15, 2023 to Mar 15, 2024
- Private funds · 10 to 8Mar 15, 2023 to Mar 15, 2024
- Discretionary RAUM · $4.4B to $4.9BMar 15, 2023 to Mar 15, 2024
- HNW RAUM · $151M to $157MMar 15, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $258M to $262MMar 15, 2023 to Mar 15, 2024
- Pooled vehicle RAUM · $4.4B to $4.9BMar 15, 2023 to Mar 15, 2024
- RAUM · $4.6B to $5.1BMar 15, 2023 to Mar 15, 2024
- Advisory employees · 33 to 31Mar 15, 2022 to Mar 15, 2023
- Assets in custody · $99.2M to $30.7MMar 15, 2022 to Mar 15, 2023
- Employees · 40 to 43Mar 15, 2022 to Mar 15, 2023
- Discretionary RAUM · $5.3B to $4.4BMar 15, 2022 to Mar 15, 2023
- HNW RAUM · $144M to $151MMar 15, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $265M to $258MMar 15, 2022 to Mar 15, 2023
- Pooled vehicle RAUM · $5.3B to $4.4BMar 15, 2022 to Mar 15, 2023
- RAUM · $5.6B to $4.6BMar 15, 2022 to Mar 15, 2023
Signals
5 dated events
- V•••••••• C•••••• (General Counsel) appeared on Schedule A of S••••••• I••••••••• L••Mar 15, 2023 · Control person joined · fact
- S••••••• I••••••••• L•• reported RAUM $4.8B, up 40% from $3.4B (2020-06-16 to 2021-03-15)Mar 15, 2021 · RAUM change · derived
- S••••••• I••••••••• L•• reported RAUM $3.4B, up 31% from $2.6B (2020-02-14 to 2020-03-16)Mar 16, 2020 · RAUM change · derived
- S••••••• I••••••••• L•• reported RAUM $2.6B, down 45% from $4.8B (2018-07-17 to 2019-03-15)Mar 15, 2019 · RAUM change · derived
- S••••••• I••••••••• L•• reported RAUM $4.8B, up 142% from $2.0B (2017-03-30 to 2018-03-15)Mar 15, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S••••••• I••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••••• I••••••••• L•• · Private Equityshared crd · organization
- S••••••• I••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-821-1600reportedpublic record, Form ADV, Mar 13, 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
Across the graphs
S••••••• I••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
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.
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