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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

S•••• T••• I••••••••• A•••••••

Former SEC-registered adviserCRD 164925SEC 801-77142IAPD
Legal name S•••• T••• I••••••••• A••••••• L•
Latest filing Apr 1, 2016
First filing on the tape Sep 7, 2012 · 11 filings
RAUM
$24.6M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$26.5M as of Mar 25, 2016
Apr 1, 2013$277M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 25, 2016
Apr 1, 20130 then
Employees (5.A)3 as of Mar 25, 2016
Apr 1, 201311 then
Private funds1 as of Mar 30, 2015
Apr 1, 20131 then
RAUM -83% over the last fiscal year-55% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Apr 1, 2016; every figure names its basis
RAUM per advisor
$12.3MderivedRAUM 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
$389,718derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-82%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
63reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
S• A•••• E•••• M••••• F••• L•Hedge Fund$88.1M11Sep 7, 2012
Owners and control persons
Schedule A and B, latest filing
  • J••••••• M••••••• J••••• · Managing Membercontrol
    since 11/2009 · owns 25% to 50% of S•••• T••• A•••• M••••••••• L••
  • J••••••• R••••••• H••••• · Managing Membercontrol
    since 11/2009 · owns 25% to 50% of S•••• T••• A•••• M••••••••• L••
  • J••••••• M••••••• J••••• · Limited Partner
    since 01/2010 · owns 25% to 50%
  • J••••••• J•••••• · Limited Partner
    since 12/2012 · owns less than 5%
  • J••••••• R••••••• H••••• · Limited Partner And Cco
    since 01/2010 · owns 25% to 50%
Entity owners
  • S•••• T••• A•••• M••••••••• L•• · General Partner
    direct · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list S•••• T••• I••••••••• A••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 71 to 63
    Mar 25, 2016 to Apr 1, 2016
  • Employees · 3 to 2
    Mar 25, 2016 to Apr 1, 2016
  • State-registered IARs · 3 to 2
    Mar 25, 2016 to Apr 1, 2016
  • Discretionary RAUM · $26.5M to $24.6M
    Mar 25, 2016 to Apr 1, 2016
  • RAUM · $26.5M to $24.6M
    Mar 25, 2016 to Apr 1, 2016
  • Accounts · 12 to 71
    Aug 7, 2015 to Mar 25, 2016
  • Advisory employees · 4 to 2
    Aug 7, 2015 to Mar 25, 2016
  • Advisory activities · 3 to 1
    Aug 7, 2015 to Mar 25, 2016
  • Employees · 7 to 3
    Aug 7, 2015 to Mar 25, 2016
  • Insurance-licensed employees · 2 to 0
    Aug 7, 2015 to Mar 25, 2016
  • Financial planning clients · 0 to 1-10
    Aug 7, 2015 to Mar 25, 2016
  • HQ city · PRINCETON to unset
    Aug 7, 2015 to Mar 25, 2016
  • HQ state · NJ to unset
    Aug 7, 2015 to Mar 25, 2016
  • State-registered IARs · 4 to 3
    Aug 7, 2015 to Mar 25, 2016
  • Private funds · 1 to unset
    Aug 7, 2015 to Mar 25, 2016
  • Discretionary RAUM · $146M to $26.5M
    Aug 7, 2015 to Mar 25, 2016
  • RAUM · $146M to $26.5M
    Aug 7, 2015 to Mar 25, 2016
  • Related adviser · true to false
    Aug 7, 2015 to Mar 25, 2016
  • Accounts · 43 to 12
    Mar 4, 2015 to Mar 30, 2015
  • Advisory employees · 8 to 4
    Mar 4, 2015 to Mar 30, 2015
  • Advisory activities · 6 to 3
    Mar 4, 2015 to Mar 30, 2015
  • Employees · 12 to 7
    Mar 4, 2015 to Mar 30, 2015
  • Insurance-licensed employees · 0 to 2
    Mar 4, 2015 to Mar 30, 2015
  • Financial planning clients · 11-25 to 0
    Mar 4, 2015 to Mar 30, 2015
  • State-registered IARs · 0 to 4
    Mar 4, 2015 to Mar 30, 2015
  • Discretionary RAUM · $341M to $146M
    Mar 4, 2015 to Mar 30, 2015
  • RAUM · $341M to $146M
    Mar 4, 2015 to Mar 30, 2015
  • Related adviser · false to true
    Mar 27, 2014 to Mar 4, 2015
  • Accounts · 61 to 43
    Apr 26, 2013 to Mar 27, 2014
  • Advisory employees · 6 to 8
    Apr 26, 2013 to Mar 27, 2014
  • Employees · 11 to 12
    Apr 26, 2013 to Mar 27, 2014
  • Discretionary RAUM · $260M to $341M
    Apr 26, 2013 to Mar 27, 2014
  • Non-discretionary RAUM · $589,313 to $0
    Apr 26, 2013 to Mar 27, 2014
  • RAUM · $261M to $341M
    Apr 26, 2013 to Mar 27, 2014
  • Discretionary RAUM · $277M to $260M
    Apr 1, 2013 to Apr 26, 2013
  • RAUM · $277M to $261M
    Apr 1, 2013 to Apr 26, 2013
  • Accounts · 68 to 61
    Sep 27, 2012 to Apr 1, 2013
  • Advisory employees · unset to 6.0
    Sep 27, 2012 to Apr 1, 2013
  • BD registered reps · unset to 0.0
    Sep 27, 2012 to Apr 1, 2013
  • Employees · unset to 11.0
    Sep 27, 2012 to Apr 1, 2013
Signals
2 dated events
  • S•••• T••• I••••••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Sep 7, 2012 · Succession (Item 4) · fact
  • S•••• T••• I••••••••• A••••••• filed its initial SEC registration (Form ADV)
    Sep 7, 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.
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