DFX Intelligence
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Latest filing Mar 26, 2024
First filing on the tape Jun 27, 2022 · 3 filings
SEC status approved since Jul 27, 2022
RAUM
$199M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$199M gross assets
History
3 filings and snapshots on the tape
RAUM$199M as of Mar 26, 2024
Mar 27, 2023$143M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2024
Mar 27, 20230 then
Employees (5.A)1 as of Mar 26, 2024
Mar 27, 20231 then
Private funds1 as of Mar 26, 2024
Mar 27, 20231 then
RAUM +40% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2024; 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
- $199MderivedRAUM 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
- +40%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
- $199M, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$199M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $199M for 1 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• P••••••• L• | Hedge Fund | $199M | 33 | Mar 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- P•••••••• K••••••• P••• · Sole Member, President, And Chief Compliance Officercontrolsince 12/2007 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $143M to $199MMar 27, 2023 to Mar 26, 2024
- Discretionary RAUM · $143M to $199MMar 27, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $143M to $199MMar 27, 2023 to Mar 26, 2024
- RAUM · $143M to $199MMar 27, 2023 to Mar 26, 2024
- Assets in custody · $162M to $143MJun 27, 2022 to Mar 27, 2023
- Private funds · 2 to 1Jun 27, 2022 to Mar 27, 2023
- Discretionary RAUM · $163M to $143MJun 27, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $163M to $143MJun 27, 2022 to Mar 27, 2023
- RAUM · $163M to $143MJun 27, 2022 to Mar 27, 2023
Signals
2 dated events
- S•• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $199.4M)May 2, 2025 · Left the SEC roster · derived
- S•• L•• filed its initial SEC registration (Form ADV)Jun 27, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•• L•• · Venture Capitalshared crd · organization
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