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• P•••••••
Latest filing Mar 31, 2023
First filing on the tape Feb 14, 2012 · 14 filings
RAUM
$27.5M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
14%
$3.8M 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
1
beyond the principal office
Private funds
1
$23.6M gross assets
History
14 filings and snapshots on the tape
RAUM$27.5M as of Mar 31, 2023
Mar 28, 2013$50.8M then
HNW client RAUM$3.8M as of Mar 31, 2023
Mar 27, 2019$3.0M then
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 28, 20130 then
Employees (5.A)2 as of Mar 31, 2023
Mar 28, 20133 then
Private funds1 as of Mar 31, 2023
Mar 28, 20131 then
RAUM -21% over the last fiscal year-3.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2023; 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
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $9.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -21%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, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $23.6M, 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)
- 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$23.6M86%
- High-net-worth individuals$3.8M14%
- Individual clients
- n/areported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.6M for 1 clientsreported
- Compensation
- % of AUM, fixed, 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•••• P•••••••• L• P• | Hedge Fund | $23.6M | 13 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L•••••• M•••••• E• · General Partnercontrolsince 01/2011 · owns 25% to 50%
- Y••••• M••••••• D•••••• · General Partnercontrolsince 01/2011 · owns 25% to 50%
- M•••••• D••••••• A•• · Chief Compliance Officersince 03/2012 · owns less than 5%
Related persons
Schedule D 7.A
- M••••• E• L•••••pooled vehicle sponsory
- M•••••• D• Y••••pooled vehicle sponsory
- S•••• B•••••• C••••••• • Y•••• S••••••••• C•••investment advisernRAUM $172M
Advisers that list S• P••••••• as a related person
- 107400 n
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Assets in custody · $30.3M to $23.6MMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $30.3M to $23.6MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $4.6M to $3.8MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $4.6M to $3.8MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $30.3M to $23.6MMar 31, 2022 to Mar 31, 2023
- RAUM · $34.9M to $27.5MMar 31, 2022 to Mar 31, 2023
- Assets in custody · $27.7M to $30.3MMar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $27.7M to $30.3MMar 30, 2021 to Mar 31, 2022
- HNW RAUM · $3.7M to $4.6MMar 30, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $3.7M to $4.6MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $27.7M to $30.3MMar 30, 2021 to Mar 31, 2022
- RAUM · $31.4M to $34.9MMar 30, 2021 to Mar 31, 2022
- Assets in custody · $26.3M to $27.7MMar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $26.3M to $27.7MMar 30, 2020 to Mar 30, 2021
- HNW RAUM · $3.8M to $3.7MMar 30, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $3.8M to $3.7MMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $26.3M to $27.7MMar 30, 2020 to Mar 30, 2021
- RAUM · $30.1M to $31.4MMar 30, 2020 to Mar 30, 2021
- Assets in custody · $22.5M to $26.3MMar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $22.5M to $26.3MMar 29, 2019 to Mar 30, 2020
- HNW RAUM · $3.0M to $3.8MMar 29, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $3.0M to $3.8MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $22.5M to $26.3MMar 29, 2019 to Mar 30, 2020
- RAUM · $25.4M to $30.1MMar 29, 2019 to Mar 30, 2020
- Accounts · 1 to 3Mar 29, 2018 to Mar 27, 2019
- Advisory activities · 2 to 3Mar 29, 2018 to Mar 27, 2019
- HNW clients · unset to 2.0Mar 29, 2018 to Mar 27, 2019
- Assets in custody · $28.1M to $22.5MMar 29, 2018 to Mar 27, 2019
- Financial planning clients · unset to 0Mar 29, 2018 to Mar 27, 2019
- Discretionary RAUM · $28.1M to $22.5MMar 29, 2018 to Mar 27, 2019
- HNW RAUM · unset to 2965000.0Mar 29, 2018 to Mar 27, 2019
- Non-discretionary RAUM · $0 to $3.0MMar 29, 2018 to Mar 27, 2019
- Pooled vehicle RAUM · $28.1M to $22.5MMar 29, 2018 to Mar 27, 2019
- RAUM · $28.1M to $25.4MMar 29, 2018 to Mar 27, 2019
- Advisory employees · 3 to 2Mar 31, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 1.0Mar 31, 2017 to Mar 29, 2018
- Assets in custody · $31.2M to $28.1MMar 31, 2017 to Mar 29, 2018
- Employees · 3 to 2Mar 31, 2017 to Mar 29, 2018
- Other offices · unset to 1.0Mar 31, 2017 to Mar 29, 2018
- Discretionary RAUM · $31.2M to $28.1MMar 31, 2017 to Mar 29, 2018
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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