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

L••••• R••••• P•••••••

Former SEC-registered adviserDanville, CaliforniaCRD 161555SEC 801-74308IAPD
Legal name S••• I•••
Latest filing Mar 25, 2014
First filing on the tape Feb 16, 2012 · 5 filings
RAUM
$204M
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
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
9
$204M gross assets
History
5 filings and snapshots on the tape
RAUM$204M as of Mar 25, 2014
Mar 28, 2013$286M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2014
Mar 28, 20130 then
Employees (5.A)2 as of Mar 25, 2014
Mar 28, 20132 then
Private funds9 as of Mar 25, 2014
Mar 28, 20136 then
RAUM -29% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2014; 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
$22.7MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-29%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 pooled vehiclesreportedItem 5.G
Custody
$204M, 9 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$204M for 9 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••••• S••••• M••••••• · Chief Executive Officercontrol
        since 11/2001 · owns 75% or more
      • L•••••••• S••••• M••••••• · Trusteecontrol
        since 09/1999 · owns 75% or more of S•••• A•• L•••• L••••••• R•••••••• T•••• D•••• J••• 9• 1•••
      • M••••• S•••• D• · Director Of Accounting And Finance, Chief Compliance Officer
        since 03/2009 · owns less than 5%
      Entity owners
      • S•••• A•• L•••• L••••••• R•••••••• T•••• D•••• J••• 9• 1••• · Managing Member
        direct · owns 75% or more
      • S•••• A•• L•••• L••••••• R•••••••• T•••• D•••• J••• 9• 1••• · Trust
        indirect · owns 75% or more of L••••• R••••• Advisors, LLC
      Related persons
      Schedule D 7.A
      • L••••• R••••• A••••••• I••• L••
        pooled vehicle sponsorn
      • L••••• R••••• A••••••• I•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 9
        Jan 28, 2014 to Mar 25, 2014
      • Assets in custody · $286M to $204M
        Jan 28, 2014 to Mar 25, 2014
      • Legal name · L••••• R••••• ADVISORS, LLC to S••• I•••
        Jan 28, 2014 to Mar 25, 2014
      • Organization form · Corporation to Limited Liability Company
        Jan 28, 2014 to Mar 25, 2014
      • Private funds · 6 to 9
        Jan 28, 2014 to Mar 25, 2014
      • Discretionary RAUM · $286M to $204M
        Jan 28, 2014 to Mar 25, 2014
      • RAUM · $286M to $204M
        Jan 28, 2014 to Mar 25, 2014
      • Related adviser · true to false
        Jan 28, 2014 to Mar 25, 2014
      • Succession · true to false
        Jan 28, 2014 to Mar 25, 2014
      • Organization form · Limited Liability Company to Corporation
        Mar 28, 2013 to Jan 28, 2014
      • Succession · false to true
        Mar 28, 2013 to Jan 28, 2014
      • Advisory employees · unset to 1.0
        Apr 5, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Apr 5, 2012 to Mar 28, 2013
      • Assets in custody · $320M to $286M
        Apr 5, 2012 to Mar 28, 2013
      • Employees · unset to 2.0
        Apr 5, 2012 to Mar 28, 2013
      • HQ city · SAN FRANCISCO to DANVILLE
        Apr 5, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Apr 5, 2012 to Mar 28, 2013
      • Discretionary RAUM · $320M to $286M
        Apr 5, 2012 to Mar 28, 2013
      • RAUM · $320M to $286M
        Apr 5, 2012 to Mar 28, 2013
      Signals
      1 dated events
      • L••••• R••••• P••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jan 28, 2014 · Succession (Item 4) · fact
      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
      Across the graphs

      L••••• R••••• P••••••• 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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