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Former SEC-registered adviser

S•••• F••• M••••••••• L••••••

Former SEC-registered adviserLondon, CRD 162494SEC 801-113726IAPD
Latest filing Mar 29, 2019
First filing on the tape Jun 28, 2018 · 2 filings
RAUM
$100M
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
10
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$100M gross assets
History
2 filings and snapshots on the tape
RAUM$100M as of Mar 29, 2019
Jun 28, 2018$157M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Jun 28, 20180 then
Employees (5.A)10 as of Mar 29, 2019
Jun 28, 201814 then
Private funds1 as of Mar 29, 2019
Jun 28, 20182 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 2019; 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
$100MderivedRAUM 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
unknownderived2 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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$100M, 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
  • 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$100M100%
Individual clients
0reported
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
$100M 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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••••••• D•••••• E••••• F•••• L••Hedge Fund$100M1Mar 31, 2017
      S•••• D•••••• E••••• F••• L••••••no longer reportedHedge Fund$8.6M8Mar 21, 2012
      S•••• G••••• O••••••••• F•••no longer reportedHedge Fund$500,0001Mar 31, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • H•••• M•••••• · Chief Executive Officercontrol
        since 12/2005 · owns less than 5%
      • H•••• M•••••• · Shareholdercontrol
        since 01/2006 · owns 25% to 50% of S•••• F••• M••••••••• G•••• L••••••
      • J••••••• D•• · Shareholdercontrol
        since 01/2006 · owns 25% to 50% of S•••• F••• M••••••••• G•••• L••••••
      Entity owners
      • S•••• F••• M••••••••• G•••• L•••••• · Owner
        direct · 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 · $157M to $100M
        Jun 28, 2018 to Mar 29, 2019
      • Employees · 14 to 10
        Jun 28, 2018 to Mar 29, 2019
      • Private funds · 2 to 1
        Jun 28, 2018 to Mar 29, 2019
      • Discretionary RAUM · $157M to $100M
        Jun 28, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $157M to $100M
        Jun 28, 2018 to Mar 29, 2019
      • RAUM · $157M to $100M
        Jun 28, 2018 to Mar 29, 2019
      Signals
      2 dated events
      • Margaret Serena Wilson (Chief Financial Officer And Chief Compliance Officer) no longer on Schedule A of S•••• F••• M••••••••• L•••••• (listed 2018-06-28, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • S•••• F••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)
        Jun 28, 2018 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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