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.
SEC-registered adviser
S•••• H••• F•••••••• M••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Jul 24, 2012 · 21 filings
SEC status approved since Aug 2, 2012
RAUM
$2.8B
reported, Item 5.F
Discretionary
71%
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$2.8B as of Mar 25, 2026
Mar 11, 2013$224M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 11, 20130 then
Employees (5.A)3 as of Mar 25, 2026
Mar 11, 20133 then
Private funds: no history
RAUM +17% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- 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
- $29.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 71%derivedof RAUM
- Institutional
- 100%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
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consulting, otherreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$2.8B100%
- Other investment advisers$3.7M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 94reported
- Charitable clients
- n/areported
- Accounts
- 95reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• S••••••• M••••• · President And Managing Membercontrolsince 07/2012 · owns 75% or more
- N•••••• C••••• S• · Chief Compliance Officercontrolsince 11/2012 · owns less than 5%
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
- Accounts · 94 to 95Mar 19, 2025 to Mar 25, 2026
- Pension plan clients · 93 to 94Mar 19, 2025 to Mar 25, 2026
- Discretionary RAUM · $1.7B to $2.0BMar 19, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $732M to $820MMar 19, 2025 to Mar 25, 2026
- Pension RAUM · $2.4B to $2.8BMar 19, 2025 to Mar 25, 2026
- RAUM · $2.4B to $2.8BMar 19, 2025 to Mar 25, 2026
- Accounts · 93 to 94Mar 22, 2024 to Mar 19, 2025
- Pension plan clients · 92 to 93Mar 22, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Mar 22, 2024 to Mar 19, 2025
- Discretionary RAUM · $1.5B to $1.7BMar 22, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $671M to $732MMar 22, 2024 to Mar 19, 2025
- Pension RAUM · $2.2B to $2.4BMar 22, 2024 to Mar 19, 2025
- RAUM · $2.2B to $2.4BMar 22, 2024 to Mar 19, 2025
- Accounts · 91 to 93Mar 27, 2023 to Mar 22, 2024
- Pension plan clients · 88 to 92Mar 27, 2023 to Mar 22, 2024
- Discretionary RAUM · $1.2B to $1.5BMar 27, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $603M to $671MMar 27, 2023 to Mar 22, 2024
- Pension RAUM · $1.8B to $2.2BMar 27, 2023 to Mar 22, 2024
- RAUM · $1.8B to $2.2BMar 27, 2023 to Mar 22, 2024
- Accounts · 79 to 91Mar 21, 2022 to Mar 27, 2023
- Pension plan clients · 79 to 88Mar 21, 2022 to Mar 27, 2023
- Discretionary RAUM · $1.2B to $1.2BMar 21, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $262M to $603MMar 21, 2022 to Mar 27, 2023
- Pension RAUM · $1.5B to $1.8BMar 21, 2022 to Mar 27, 2023
- RAUM · $1.5B to $1.8BMar 21, 2022 to Mar 27, 2023
- Accounts · 67 to 79Mar 19, 2021 to Mar 21, 2022
- Advisory activities · 2 to 3Mar 19, 2021 to Mar 21, 2022
- Pension plan clients · 67 to 79Mar 19, 2021 to Mar 21, 2022
- Discretionary RAUM · $1.0B to $1.2BMar 19, 2021 to Mar 21, 2022
- Non-discretionary RAUM · $240M to $262MMar 19, 2021 to Mar 21, 2022
- Pension RAUM · $1.3B to $1.5BMar 19, 2021 to Mar 21, 2022
- RAUM · $1.3B to $1.5BMar 19, 2021 to Mar 21, 2022
- Accounts · 68 to 67Sep 8, 2020 to Mar 19, 2021
- Pension plan clients · 68 to 67Sep 8, 2020 to Mar 19, 2021
- Discretionary RAUM · $838M to $1.0BSep 8, 2020 to Mar 19, 2021
- Non-discretionary RAUM · $200M to $240MSep 8, 2020 to Mar 19, 2021
- Pension RAUM · $1.0B to $1.3BSep 8, 2020 to Mar 19, 2021
- RAUM · $1.0B to $1.3BSep 8, 2020 to Mar 19, 2021
- Advisory activities · 1 to 2Mar 16, 2020 to Sep 4, 2020
- Accounts · 62 to 68Mar 27, 2019 to Mar 16, 2020
Signals
1 dated events
- S•••• H••• F•••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 24, 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••••H•••F••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-439-5581reportedpublic record, Form ADV, Mar 25, 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
- Institutional managerderiveda 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