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•••••• R•••• F••• M••••••••• L••
Latest filing Jul 2, 2026
First filing on the tape Feb 13, 2012 · 24 filings
SEC status approved since Mar 7, 2012
RAUM
$905M
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
9
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$905M as of Jul 2, 2026
Mar 26, 2013$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 2, 2026
Mar 26, 20130 then
Employees (5.A)9 as of Jul 2, 2026
Mar 26, 20138 then
Private funds2 as of Jul 2, 2026
Mar 26, 20139 then
RAUM +7.1% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 2, 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
- $113MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.1%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $750M, 4 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$905M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $750M for 4 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•••••• M••••• F••• L• | Hedge Fund | $561M | 201 | Feb 13, 2012 |
| S•••••• R•••• P••••••• I•• L•no longer reported | Hedge Fund | $294M | 40 | Feb 13, 2012 |
| S•••••• R•••• I••••••••• L•no longer reported | Hedge Fund | $274M | 1 | Feb 13, 2012 |
| S•••••• R•••• P••••••• L••no longer reported | Hedge Fund | $274M | 53 | Feb 13, 2012 |
| D•••••• I••••••••• L•no longer reported | Hedge Fund | $193M | 1 | Feb 13, 2012 |
| D•••••• F••• L••no longer reported | Hedge Fund | $193M | 18 | Feb 13, 2012 |
| D•••••• F••• L•no longer reported | Hedge Fund | $93.8M | 20 | Feb 13, 2012 |
| S•••••• R•••• P••••••• L• | Hedge Fund | $48.7M | 34 | Feb 13, 2012 |
| S•••••• R•••• M••••• F••• L•no longer reported | Hedge Fund | $500,082 | 11 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- W•••••• S••••••• M•••••• · Managing Membercontrolsince 11/2002 · owns 75% or more
- Z•••• R•••••• L• · Chief Compliance Officer And Chief Financial Officercontrolsince 10/2006 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Kirkland, WA1 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 8Mar 28, 2025 to Mar 26, 2026
- Advisory employees · 6 to 5Mar 28, 2025 to Mar 26, 2026
- Pooled vehicle clients · 6 to 8Mar 28, 2025 to Mar 26, 2026
- Assets in custody · $707M to $750MMar 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $845M to $905MMar 28, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $845M to $905MMar 28, 2025 to Mar 26, 2026
- RAUM · $845M to $905MMar 28, 2025 to Mar 26, 2026
- Advisory employees · 7 to 6Apr 25, 2024 to Mar 28, 2025
- Assets in custody · $609M to $707MApr 25, 2024 to Mar 28, 2025
- Employees · 11 to 9Apr 25, 2024 to Mar 28, 2025
- Financial planning clients · unset to Apr 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $723M to $845MApr 25, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $723M to $845MApr 25, 2024 to Mar 28, 2025
- RAUM · $723M to $845MApr 25, 2024 to Mar 28, 2025
- Assets in custody · $501M to $609MMay 3, 2023 to Mar 25, 2024
- Discretionary RAUM · $643M to $723MMay 3, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $643M to $723MMay 3, 2023 to Mar 25, 2024
- RAUM · $643M to $723MMay 3, 2023 to Mar 25, 2024
- Advisory employees · 8 to 7Jul 25, 2022 to Mar 28, 2023
- Assets in custody · $933M to $501MJul 25, 2022 to Mar 28, 2023
- Employees · 12 to 11Jul 25, 2022 to Mar 28, 2023
- Discretionary RAUM · $1.2B to $643MJul 25, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $1.2B to $643MJul 25, 2022 to Mar 28, 2023
- RAUM · $1.2B to $643MJul 25, 2022 to Mar 28, 2023
- Accounts · 9 to 6Apr 27, 2021 to Mar 30, 2022
- Pooled vehicle clients · 9 to 6Apr 27, 2021 to Mar 30, 2022
- Assets in custody · $846M to $933MApr 27, 2021 to Mar 30, 2022
- Private funds · 3 to 2Apr 27, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.2B to $1.2BApr 27, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.2B to $1.2BApr 27, 2021 to Mar 30, 2022
- RAUM · $1.2B to $1.2BApr 27, 2021 to Mar 30, 2022
- Assets in custody · $852M to $846MMar 25, 2021 to Apr 27, 2021
- Discretionary RAUM · $1.2B to $1.2BMar 25, 2021 to Apr 27, 2021
- Pooled vehicle RAUM · $1.2B to $1.2BMar 25, 2021 to Apr 27, 2021
- RAUM · $1.2B to $1.2BMar 25, 2021 to Apr 27, 2021
- Advisory employees · 6 to 8Apr 14, 2020 to Mar 25, 2021
- Assets in custody · $650M to $852MApr 14, 2020 to Mar 25, 2021
- Employees · 10 to 12Apr 14, 2020 to Mar 25, 2021
- Other offices · 0 to 1Apr 14, 2020 to Mar 25, 2021
- Discretionary RAUM · $861M to $1.2BApr 14, 2020 to Mar 25, 2021
Signals
5 dated events
- S•••••• R•••• F••• M••••••••• L•• reported RAUM $643.0M, down 48% from $1.2B (2022-07-25 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- S•••••• R•••• F••• M••••••••• L•• reported RAUM $1.2B, up 38% from $861.1M (2020-04-14 to 2021-03-25)Mar 25, 2021 · RAUM change · derived
- S•••••• R•••• F••• M••••••••• L•• reported RAUM $861.1M, up 37% from $630.3M (2019-04-15 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- S•••••• R•••• F••• M••••••••• L•• reported RAUM $630.3M, up 61% from $391.4M (2018-06-28 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- S•••••• R•••• F••• M••••••••• L•• reported RAUM $405.3M, down 27% from $556.9M (2017-03-30 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-331-6555reportedpublic record, Form ADV, Jul 2, 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