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•••• M••••••••• L••

Former SEC-registered adviserSpicewood, TexasCRD 162659SEC 801-78289IAPD
Latest filing Oct 27, 2023
First filing on the tape Jun 27, 2013 · 27 filings
RAUM
$223M
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
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$197M gross assets
History
27 filings and snapshots on the tape
RAUM$223M as of Mar 14, 2023
Mar 11, 2014$836M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 14, 2023
Mar 11, 20140 then
Employees (5.A)5 as of Mar 14, 2023
Mar 11, 20146 then
Private funds2 as of Mar 14, 2023
Mar 11, 20142 then
RAUM -56% over the last fiscal year+2.8% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Oct 27, 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
$112MderivedRAUM 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
-56%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
yesreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$223M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      S•••• V••••••••• W•••••• M••••• F•••• L•••Private Equity Fund$117M73Apr 11, 2012
      B•• O••••••••• F••• S••• L••no longer reportedHedge Fund$14.3M90Apr 11, 2012
      S•••• H••••••••• M••••• F•••• L•••Hedge Fund$10.1M28Apr 11, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• R•••••• A••• · Principal, Member, Chief Operating Officer And General Counsel Of S•••• M••••••••• L•• And S•••• C••••••• L••control
        since 06/2011 · owns 25% to 50%
      • M••••• H••• D•••• · Principal And Managing Member Of S•••• M••••••••• L•• And S•••• C••••••• L••control
        since 06/2011 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • S•••• C••••••• L••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Employees · 6 to 5
        Nov 14, 2022 to Mar 14, 2023
      • HQ city · SPOICEWOOD to SPICEWOOD
        Nov 14, 2022 to Mar 14, 2023
      • Discretionary RAUM · $506M to $223M
        Nov 14, 2022 to Mar 14, 2023
      • Pooled vehicle RAUM · $506M to $223M
        Nov 14, 2022 to Mar 14, 2023
      • RAUM · $506M to $223M
        Nov 14, 2022 to Mar 14, 2023
      • HQ city · UPPER SADDLE RIVER to SPOICEWOOD
        Apr 29, 2022 to Jun 30, 2022
      • HQ state · NJ to TX
        Apr 29, 2022 to Jun 30, 2022
      • Other offices · 2 to 1
        Apr 29, 2022 to Jun 30, 2022
      • Employees · 4 to 6
        Apr 28, 2021 to Mar 7, 2022
      • Discretionary RAUM · $340M to $506M
        Apr 28, 2021 to Mar 7, 2022
      • Pooled vehicle RAUM · $340M to $506M
        Apr 28, 2021 to Mar 7, 2022
      • RAUM · $340M to $506M
        Apr 28, 2021 to Mar 7, 2022
      • Discretionary RAUM · $206M to $340M
        Oct 7, 2020 to Mar 18, 2021
      • Pooled vehicle RAUM · $206M to $340M
        Oct 7, 2020 to Mar 18, 2021
      • RAUM · $206M to $340M
        Oct 7, 2020 to Mar 18, 2021
      • Other offices · 1 to 2
        Apr 28, 2020 to Oct 7, 2020
      • Advisory employees · 3 to 2
        Sep 4, 2019 to Mar 17, 2020
      • Employees · 5 to 4
        Sep 4, 2019 to Mar 17, 2020
      • Discretionary RAUM · $222M to $206M
        Sep 4, 2019 to Mar 17, 2020
      • Pooled vehicle RAUM · $222M to $206M
        Sep 4, 2019 to Mar 17, 2020
      • RAUM · $222M to $206M
        Sep 4, 2019 to Mar 17, 2020
      • Assets in custody · unset to 0.0
        Apr 30, 2019 to Sep 4, 2019
      • Custody of client assets · false to true
        Apr 30, 2019 to Sep 4, 2019
      • Advisory employees · 4 to 3
        Apr 27, 2018 to Mar 20, 2019
      • Employees · 6 to 5
        Apr 27, 2018 to Mar 20, 2019
      • Other offices · 0 to 1
        Apr 27, 2018 to Mar 20, 2019
      • Discretionary RAUM · $615M to $222M
        Apr 27, 2018 to Mar 20, 2019
      • Pooled vehicle RAUM · $615M to $222M
        Apr 27, 2018 to Mar 20, 2019
      • RAUM · $615M to $222M
        Apr 27, 2018 to Mar 20, 2019
      • Advisory employees · 6 to 4
        Aug 14, 2017 to Mar 19, 2018
      • Pooled vehicle clients · unset to 2.0
        Aug 14, 2017 to Mar 19, 2018
      • Employees · 8 to 6
        Aug 14, 2017 to Mar 19, 2018
      • Other offices · unset to 0.0
        Aug 14, 2017 to Mar 19, 2018
      • Discretionary RAUM · $717M to $615M
        Aug 14, 2017 to Mar 19, 2018
      • Pooled vehicle RAUM · unset to 614892109.0
        Aug 14, 2017 to Mar 19, 2018
      • RAUM · $717M to $615M
        Aug 14, 2017 to Mar 19, 2018
      • Advisory employees · 5 to 6
        May 2, 2016 to Mar 13, 2017
      • Employees · 7 to 8
        May 2, 2016 to Mar 13, 2017
      • Discretionary RAUM · $700M to $717M
        May 2, 2016 to Mar 13, 2017
      • RAUM · $700M to $717M
        May 2, 2016 to Mar 13, 2017
      Signals
      5 dated events
      • S•••• M••••••••• L•• reported RAUM $223.5M, down 56% from $506.1M (2022-11-14 to 2023-03-14)
        Mar 14, 2023 · RAUM change · derived
      • S•••• M••••••••• L•• reported RAUM $506.1M, up 49% from $340.2M (2021-04-28 to 2022-03-07)
        Mar 7, 2022 · RAUM change · derived
      • S•••• M••••••••• L•• reported RAUM $340.2M, up 65% from $205.9M (2020-10-07 to 2021-03-18)
        Mar 18, 2021 · RAUM change · derived
      • S•••• M••••••••• L•• reported RAUM $222.0M, down 64% from $614.9M (2018-04-27 to 2019-03-20)
        Mar 20, 2019 · RAUM change · derived
      • S•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 27, 2013 · 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