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••••••• M••••••••• C•••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 24, 2012 · 14 filings
SEC status approved since Sep 23, 2014
RAUM
$1.9B
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
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.9B as of Mar 30, 2026
Mar 30, 2015$618M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20150 then
Employees (5.A)7 as of Mar 30, 2026
Mar 30, 20154 then
Private funds1 as of Mar 30, 2026
Mar 30, 20151 then
RAUM -1.3% over the last fiscal year-0.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $949MderivedRAUM 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
- -1.3%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 vehicles, portfolio management for investment companiesreportedItem 5.G
- 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)
- 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$12.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• P•••••••• I• L• | Private Equity Fund | $12.4M | 14 | Feb 24, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• M••••••• J••••• · Co-Managing Partnercontrolsince 11/2022 · owns less than 5%
- O•••••••• C••••••••• L••• · Managing Member/Ceocontrolsince 02/1995 · owns 75% or more
- S••••••••• H••••• J••••• · Chief Compliance Officer; Chief Financial Officercontrolsince 03/2014 · owns less than 5%
Related persons
Schedule D 7.A
- S••••••• A••••••••• I• L••pooled vehicle sponsorn
- S••••••• I••••••••• A•••••••• L••investment advisernRAUM $1.9B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 2Mar 27, 2025 to Mar 30, 2026
- Advisory employees · 3 to 5Mar 27, 2025 to Mar 30, 2026
- Advisory activities · 3 to 2Mar 27, 2025 to Mar 30, 2026
- Employees · 5 to 7Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.9B to $1.9BMar 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $12.5M to $12.2MMar 27, 2025 to Mar 30, 2026
- RAUM · $1.9B to $1.9BMar 27, 2025 to Mar 30, 2026
- Accounts · 2 to 3Mar 28, 2024 to Mar 27, 2025
- Advisory activities · 2 to 3Mar 28, 2024 to Mar 27, 2025
- Financial planning clients · 0 to Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $2.2B to $1.9BMar 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $12.2M to $12.5MMar 28, 2024 to Mar 27, 2025
- RAUM · $2.2B to $1.9BMar 28, 2024 to Mar 27, 2025
- Financial planning clients · unset to 0Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.9B to $2.2BMar 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $12.0M to $12.2MMar 29, 2023 to Mar 28, 2024
- RAUM · $1.9B to $2.2BMar 29, 2023 to Mar 28, 2024
- Advisory employees · 0 to 3Mar 23, 2022 to Mar 29, 2023
- Employees · 1 to 5Mar 23, 2022 to Mar 29, 2023
- Discretionary RAUM · $1.6B to $1.9BMar 23, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $8.4M to $12.0MMar 23, 2022 to Mar 29, 2023
- RAUM · $1.6B to $1.9BMar 23, 2022 to Mar 29, 2023
- Discretionary RAUM · $1.2B to $1.6BMar 30, 2021 to Mar 23, 2022
- Pooled vehicle RAUM · $8.6M to $8.4MMar 30, 2021 to Mar 23, 2022
- RAUM · $1.2B to $1.6BMar 30, 2021 to Mar 23, 2022
- Discretionary RAUM · $1.0B to $1.2BMar 27, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $9.3M to $8.6MMar 27, 2020 to Mar 30, 2021
- RAUM · $1.0B to $1.2BMar 27, 2020 to Mar 30, 2021
- Discretionary RAUM · $968M to $1.0BMar 29, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $22.8M to $9.3MMar 29, 2019 to Mar 27, 2020
- RAUM · $968M to $1.0BMar 29, 2019 to Mar 27, 2020
- Advisory employees · 2 to 0Mar 28, 2018 to Mar 29, 2019
- Employees · 5 to 1Mar 28, 2018 to Mar 29, 2019
- Discretionary RAUM · $694M to $968MMar 28, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $28.3M to $22.8MMar 28, 2018 to Mar 29, 2019
- RAUM · $694M to $968MMar 28, 2018 to Mar 29, 2019
- Advisory employees · 4 to 2Mar 29, 2017 to Mar 28, 2018
- Advisory activities · 1 to 2Mar 29, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 1.0Mar 29, 2017 to Mar 28, 2018
- Employees · 4 to 5Mar 29, 2017 to Mar 28, 2018
Signals
5 dated events
- Joseph Michael Grisius (Co-Managing Partner) appeared on Schedule A of S••••••• M••••••••• C•••••• L••Mar 28, 2024 · Control person joined · fact
- S••••••• M••••••••• C•••••• L•• reported RAUM $1.6B, up 36% from $1.2B (2021-03-30 to 2022-03-23)Mar 23, 2022 · RAUM change · derived
- S••••••• M••••••••• C•••••• L•• reported RAUM $968.5M, up 40% from $694.1M (2018-03-28 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Joseph Michael Grisius (Chief Investment Officer) no longer on Schedule A of S••••••• M••••••••• C•••••• L•• (listed 2018-03-28, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- S••••••• M••••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Sep 11, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••• M••••••••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••••• M••••••••• C•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212) 906-7800reportedpublic record, Form ADV, Mar 30, 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