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••••• 2• A•••••••• L•••
Latest filing Mar 31, 2026
First filing on the tape Jun 14, 2012 · 30 filings
SEC status approved since Jun 21, 2012
RAUM
$913M
reported, Item 5.F
Discretionary
5.7%
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
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$913M as of Mar 31, 2026
Apr 1, 2013$101M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20130 then
Employees (5.A)6 as of Mar 31, 2026
Apr 1, 20135 then
Private funds3 as of Mar 31, 2026
Mar 29, 20162 then
RAUM +23% over the last fiscal year+27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $83.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 5.7%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
- +23%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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$861M94%
- Investment companies$52.2M5.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- 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=true 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••• E••••••• A••• L••••• F••• | Hedge Fund | $565M | 153 | Mar 17, 2017 |
| S••••••••• E••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $5.5M | 8 | Mar 29, 2016 |
| T••• I•••• S••••••••• A•••• • I••••••••• V•• S•••••••• | Hedge Fund | $5.0M | 8 | Dec 6, 2023 |
| T••• C•••••• L••no longer reported | Hedge Fund | $1.7M | 1 | Mar 29, 2016 |
Owners and control persons
Schedule A and B, latest filing
- G••••• A••••• · Chief Executive Officercontrolsince 04/2012 · owns 75% or more
- M••••••••• P••••• F•••• · Chief Compliance Officercontrolsince 11/2018 · owns less than 5%
- J••••• R•••••• C••••••• · Limited Partnersince 04/2012 · owns 10% to 25%
Entity owners
- G•••• I••••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S••••• 2• A•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 31, 2026discretionary share of RAUM of 6% against a peer median of 100% (784 comparable advisers, 2.0th percentile, 31.8 robust deviations)peers: asset managers, $500M to $1B (784) · 1.8% percentile
What changed
consecutive filings, newest first
- BD registered reps · 1 to 0Mar 25, 2025 to Mar 31, 2026
- Employees · 7 to 6Mar 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $63.0M to $52.2MMar 25, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $679M to $861MMar 25, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $679M to $861MMar 25, 2025 to Mar 31, 2026
- RAUM · $742M to $913MMar 25, 2025 to Mar 31, 2026
- Accounts · 8 to 11Jul 10, 2024 to Mar 25, 2025
- BD registered reps · 0 to 1Jul 10, 2024 to Mar 25, 2025
- Pooled vehicle clients · 6 to 9Jul 10, 2024 to Mar 25, 2025
- Employees · 6 to 7Jul 10, 2024 to Mar 25, 2025
- Financial planning clients · unset to Jul 10, 2024 to Mar 25, 2025
- Private funds · 2 to 3Jul 10, 2024 to Mar 25, 2025
- Discretionary RAUM · $56.0M to $63.0MJul 10, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $559M to $679MJul 10, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $559M to $679MJul 10, 2024 to Mar 25, 2025
- RAUM · $615M to $742MJul 10, 2024 to Mar 25, 2025
- Discretionary RAUM · $48.0M to $56.0MApr 12, 2024 to Jul 10, 2024
- Non-discretionary RAUM · $474M to $559MApr 12, 2024 to Jul 10, 2024
- Pooled vehicle RAUM · $474M to $559MApr 12, 2024 to Jul 10, 2024
- RAUM · $522M to $615MApr 12, 2024 to Jul 10, 2024
- Accounts · 7 to 8Dec 6, 2023 to Mar 27, 2024
- Employees · 5 to 6Dec 6, 2023 to Mar 27, 2024
- Discretionary RAUM · $43.0M to $48.0MDec 6, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $467M to $474MDec 6, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $467M to $474MDec 6, 2023 to Mar 27, 2024
- RAUM · $510M to $522MDec 6, 2023 to Mar 27, 2024
- Accounts · 4 to 7Aug 24, 2023 to Dec 6, 2023
- Pooled vehicle clients · 3 to 6Aug 24, 2023 to Dec 6, 2023
- Private funds · 1 to 2Aug 24, 2023 to Dec 6, 2023
- Discretionary RAUM · $450M to $43.0MAug 24, 2023 to Dec 6, 2023
- Non-discretionary RAUM · $0 to $467MAug 24, 2023 to Dec 6, 2023
- Pooled vehicle RAUM · $406M to $467MAug 24, 2023 to Dec 6, 2023
- RAUM · $450M to $510MAug 24, 2023 to Dec 6, 2023
- Advisory employees · 1 to 2Nov 18, 2022 to Mar 30, 2023
- Advisory activities · 4 to 2Nov 18, 2022 to Mar 30, 2023
- Discretionary RAUM · $331M to $450MNov 18, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $276M to $406MNov 18, 2022 to Mar 30, 2023
- RAUM · $331M to $450MNov 18, 2022 to Mar 30, 2023
- Related adviser · true to falseNov 18, 2022 to Mar 30, 2023
- Employees · 4 to 5Mar 16, 2021 to Mar 31, 2022
Signals
3 dated events
- S••••• 2• A•••••••• L••• reported RAUM $450.0M, up 36% from $331.0M (2022-11-18 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- S••••• 2• A•••••••• L••• reported RAUM $331.0M, up 72% from $193.0M (2021-03-16 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S••••• 2• A•••••••• L••• filed its initial SEC registration (Form ADV)Jun 14, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- s••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 908-608-8800reportedpublic record, Form ADV, Mar 31, 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