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•••••• F••••• O•••••
Legal name S•••••• F••••• O••••• L••
Latest filing Feb 17, 2012
First filing on the tape Feb 17, 2012 · 1 filings
RAUM
$129M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
7
$61.8M gross assets
History
1 filings and snapshots on the tape
RAUM: $129M
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: 7
Practice profile
derived from the filing of Feb 17, 2012; 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
- $10.7MderivedRAUM 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $129M, 12 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
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
- 12reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $129M for 12 clientsreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| F••••• G••••••••• P••••••• | Real Estate Fund | $22.2M | 12 | Feb 14, 2012 |
| S•••••• C•••••• L•• | Real Estate Fund | $12.7M | 6 | Feb 17, 2012 |
| F••••• G••••••••• P•••••• E••••• P••••••• | Private Equity Fund | $11.7M | 12 | Feb 14, 2012 |
| 4•• S••••••••• | Other Private Fund | $8.8M | 12 | Feb 17, 2012 |
| S•••• V•••••••• L•• | Real Estate Fund | $4.6M | 6 | Feb 17, 2012 |
| L•• J•• P••••••• | Other Private Fund | $885,000 | 12 | Feb 17, 2012 |
| V••• P••••• | Real Estate Fund | $876,150 | 5 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- S••••• N•••••••• A••••• · Membercontrolsince 12/2008 · owns less than 5%
- S••••• R••••••• D•••• · Chief Executive Officer, Membercontrolsince 12/2008 · owns 75% or more
- S•••• L••• · Chief Financial Officersince 01/2012 · owns less than 5%
- W•••••• M••••••• E••••• · President, Ccosince 01/2012 · owns less than 5%
Related persons
Schedule D 7.A
- S•••••• C•••••• P•••••••• L••investment advisern
- S•••••• H••••••••• P••••••••• L••pooled vehicle sponsorn
- S•••••• I••pooled vehicle sponsorn
Advisers that list S•••••• F••••• O••••• as a related person
- 160951 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- S•••••• F••••• O••••• · Private Equityshared 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
Across the graphs
S•••••• F••••• O••••• 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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