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••••• G••••• M••••••••• L••
Latest filing May 19, 2023
First filing on the tape Feb 17, 2012 · 15 filings
RAUM
$145M
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$75.4M gross assets
History
15 filings and snapshots on the tape
RAUM$145M as of Mar 30, 2023
Mar 28, 2013$381M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Mar 28, 20130 then
Employees (5.A)5 as of Mar 30, 2023
Mar 28, 201311 then
Private funds2 as of Mar 30, 2023
Mar 28, 20134 then
RAUM +10% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 19, 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $20.8MderivedRAUM 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
- +10%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 vehiclesreportedItem 5.G
- Custody
- $75.4M, 6 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$145M100%
- 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
- $75.4M for 6 clientsreported
- Compensation
- % of AUM, 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• E••••• M•••••• L••• | Hedge Fund | $64.1M | 51 | Mar 2, 2017 |
| S••••• E••••• Q•• L•no longer reported | Hedge Fund | $39.4M | 5 | Mar 28, 2013 |
| S••••• E•••••• L•••no longer reported | Hedge Fund | $36.6M | 20 | Feb 17, 2012 |
| S••••• E••••• O••••••• L•• • E•••no longer reported | Hedge Fund | $21.4M | 10 | Mar 28, 2013 |
| S••••• C•••• M••••• F•••• L•••no longer reported | Hedge Fund | $16.4M | 3 | Aug 5, 2014 |
| S••••• C•••••• M•••••• L••• | Hedge Fund | $11.2M | 17 | Mar 28, 2022 |
| S••••• E••••• O••••••• L•• • U••no longer reported | Hedge Fund | $10.8M | 9 | Feb 17, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••• C•••• S••••• · Presidentcontrolsince 03/2023 · owns less than 5%
- D••••••• S••••• N•• · Chief Compliance Officer & Manager Of Operationscontrolsince 03/2020 · owns less than 5%
- M•••••••• C••••••• F••••••• · Chief Executive Officer & Chief Investment Officercontrolsince 05/1996 · owns 75% or more
Related persons
Schedule D 7.A
- S••••• G••••• A••••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 4Dec 22, 2022 to Mar 30, 2023
- Assets in custody · $62.1M to $75.4MDec 22, 2022 to Mar 30, 2023
- Employees · 6 to 5Dec 22, 2022 to Mar 30, 2023
- Discretionary RAUM · $132M to $145MDec 22, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $132M to $145MDec 22, 2022 to Mar 30, 2023
- RAUM · $132M to $145MDec 22, 2022 to Mar 30, 2023
- Accounts · 4 to 7Apr 8, 2021 to Mar 28, 2022
- Advisory employees · 2 to 5Apr 8, 2021 to Mar 28, 2022
- Pooled vehicle clients · 4 to 7Apr 8, 2021 to Mar 28, 2022
- Assets in custody · $69.8M to $62.1MApr 8, 2021 to Mar 28, 2022
- Employees · 5 to 6Apr 8, 2021 to Mar 28, 2022
- Private funds · 1 to 2Apr 8, 2021 to Mar 28, 2022
- Discretionary RAUM · $140M to $132MApr 8, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $140M to $132MApr 8, 2021 to Mar 28, 2022
- RAUM · $140M to $132MApr 8, 2021 to Mar 28, 2022
- Discretionary RAUM · $69.8M to $140MMar 26, 2021 to Apr 8, 2021
- Pooled vehicle RAUM · $69.8M to $140MMar 26, 2021 to Apr 8, 2021
- RAUM · $69.8M to $140MMar 26, 2021 to Apr 8, 2021
- Assets in custody · $46.3M to $69.8MMar 30, 2020 to Mar 26, 2021
- Employees · 4 to 5Mar 30, 2020 to Mar 26, 2021
- Discretionary RAUM · $96.3M to $69.8MMar 30, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $96.3M to $69.8MMar 30, 2020 to Mar 26, 2021
- RAUM · $96.3M to $69.8MMar 30, 2020 to Mar 26, 2021
- Accounts · 6 to 4Mar 29, 2016 to Mar 30, 2020
- Advisory employees · 7 to 2Mar 29, 2016 to Mar 30, 2020
- Advisory activities · 2 to 1Mar 29, 2016 to Mar 30, 2020
- Pooled vehicle clients · unset to 4.0Mar 29, 2016 to Mar 30, 2020
- Assets in custody · $0 to $46.3MMar 29, 2016 to Mar 30, 2020
- Custody of client assets · false to trueMar 29, 2016 to Mar 30, 2020
- Employees · 10 to 4Mar 29, 2016 to Mar 30, 2020
- Other offices · unset to 0.0Mar 29, 2016 to Mar 30, 2020
- Private funds · 3 to 2Mar 29, 2016 to Mar 30, 2020
- Discretionary RAUM · $307M to $96.3MMar 29, 2016 to Mar 30, 2020
- Pooled vehicle RAUM · unset to 96263775.0Mar 29, 2016 to Mar 30, 2020
- RAUM · $307M to $96.3MMar 29, 2016 to Mar 30, 2020
- Private funds · 2 to 1Mar 30, 2020 to Mar 30, 2020
- Accounts · 9 to 6Mar 30, 2015 to Mar 29, 2016
- Advisory employees · 9 to 7Mar 30, 2015 to Mar 29, 2016
- Employees · 12 to 10Mar 30, 2015 to Mar 29, 2016
- Private funds · 5 to 3Mar 30, 2015 to Mar 29, 2016
Signals
7 dated events
- P••• D••••• G•••• (President) no longer on Schedule A of S••••• G••••• M••••••••• L•• (listed 2022-12-22, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Stefan Crin Alb (President) appeared on Schedule A of S••••• G••••• M••••••••• L••Mar 30, 2023 · Control person joined · fact
- P••• D••••• G•••• (President) appeared on Schedule A of S••••• G••••• M••••••••• L••Mar 26, 2021 · Control person joined · fact
- S••••• G••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 2020 · First SEC registration · fact
- S••••• G••••• M••••••••• L•• reported RAUM $96.3M, down 69% from $307.2M (2016-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Nmi Susan Decanio (Chief Compliance Officer And Manager Of Operations) appeared on Schedule A of S••••• G••••• M••••••••• L••Mar 30, 2020 · Control person joined · fact
- John Craig Peretz (Coo/Cfo/Chief Compliance Officer) no longer on Schedule A of S••••• G••••• M••••••••• L•• (listed 2016-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
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