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••••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Jun 23, 2014 · 20 filings
SEC status approved since Jul 8, 2014
RAUM
$443M
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
4
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$443M as of Mar 16, 2026
Mar 27, 2015$181M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2026
Mar 27, 20150 then
Employees (5.A)4 as of Mar 16, 2026
Mar 27, 20154 then
Private funds1 as of Mar 16, 2026
Mar 27, 20151 then
RAUM +43% over the last fiscal year+39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 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
- $443MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +43%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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$443M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- 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•••••••• L• | Hedge Fund | $199M | 30 | Mar 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• C••••••••• T••• · Managing Membercontrolsince 03/2008 · owns 25% to 50%
- B••••• J••• A•••••• · Chief Financial Officer/Chief Compliance Officercontrolsince 05/2013 · owns less than 5%
- O•••••• T•••••• G••••• · Managing Membercontrolsince 03/2008 · owns 50% to 75%
- S••••••••• R•••••• · Managing Membercontrolsince 03/2008 · owns 25% to 50%
Related persons
Schedule D 7.A
- S•••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Greenwich, CT1 employees
- Portland, ME1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $309M to $443MMar 21, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $309M to $443MMar 21, 2025 to Mar 16, 2026
- RAUM · $309M to $443MMar 21, 2025 to Mar 16, 2026
- Financial planning clients · unset to Mar 26, 2024 to Mar 21, 2025
- Discretionary RAUM · $199M to $309MMar 26, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $199M to $309MMar 26, 2024 to Mar 21, 2025
- RAUM · $199M to $309MMar 26, 2024 to Mar 21, 2025
- Discretionary RAUM · $164M to $199MMar 30, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $164M to $199MMar 30, 2023 to Mar 26, 2024
- RAUM · $164M to $199MMar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $266M to $164MAug 24, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $266M to $164MAug 24, 2022 to Mar 30, 2023
- RAUM · $266M to $164MAug 24, 2022 to Mar 30, 2023
- Discretionary RAUM · $365M to $266MAug 26, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $365M to $266MAug 26, 2021 to Mar 29, 2022
- RAUM · $365M to $266MAug 26, 2021 to Mar 29, 2022
- Discretionary RAUM · $216M to $365MFeb 17, 2021 to Mar 30, 2021
- Pooled vehicle RAUM · $216M to $365MFeb 17, 2021 to Mar 30, 2021
- RAUM · $216M to $365MFeb 17, 2021 to Mar 30, 2021
- Discretionary RAUM · $152M to $216MDec 23, 2019 to Mar 24, 2020
- Pooled vehicle RAUM · $152M to $216MDec 23, 2019 to Mar 24, 2020
- RAUM · $152M to $216MDec 23, 2019 to Mar 24, 2020
- Discretionary RAUM · $194M to $152MMar 28, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $194M to $152MMar 28, 2018 to Mar 29, 2019
- RAUM · $194M to $152MMar 28, 2018 to Mar 29, 2019
- Pooled vehicle clients · unset to 1.0Mar 30, 2017 to Mar 28, 2018
- Other offices · unset to 2.0Mar 30, 2017 to Mar 28, 2018
- Discretionary RAUM · $184M to $194MMar 30, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 194436000.0Mar 30, 2017 to Mar 28, 2018
- RAUM · $184M to $194MMar 30, 2017 to Mar 28, 2018
- Discretionary RAUM · $179M to $184MMar 29, 2016 to Mar 30, 2017
- RAUM · $179M to $184MMar 29, 2016 to Mar 30, 2017
- Discretionary RAUM · $181M to $179MMar 27, 2015 to Mar 29, 2016
- RAUM · $181M to $179MMar 27, 2015 to Mar 29, 2016
- Business name · S•••••• P•••••••• L• to S•••••• M••••••••• L••Jul 7, 2014 to Mar 27, 2015
- Discretionary RAUM · $169M to $181MJul 7, 2014 to Mar 27, 2015
- RAUM · $169M to $181MJul 7, 2014 to Mar 27, 2015
- Private funds · 2 to 1Jun 23, 2014 to Jul 7, 2014
Signals
6 dated events
- S•••••• M••••••••• L•• reported RAUM $443.0M, up 43% from $309.2M (2025-03-21 to 2026-03-16)Mar 16, 2026 · RAUM change · derived
- S•••••• M••••••••• L•• reported RAUM $309.2M, up 55% from $199.0M (2024-03-26 to 2025-03-21)Mar 21, 2025 · RAUM change · derived
- S•••••• M••••••••• L•• reported RAUM $163.8M, down 38% from $265.8M (2022-08-24 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- S•••••• M••••••••• L•• reported RAUM $364.7M, up 69% from $216.2M (2021-02-17 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Wilson Jay Haas (Chief Compliance Officer) appeared on Schedule A of S•••••• M••••••••• L••Aug 12, 2019 · Control person joined · fact
- S•••••• P•••••••• L• filed its initial SEC registration (Form ADV)Jun 23, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••• M••••••••• L•• · Venture Capitalshared 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
- 973-701-6172reportedpublic record, Form ADV, Mar 16, 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