DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•• C•••••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Apr 26, 2013 · 20 filings
SEC status approved since May 16, 2013
RAUM
$1.3B
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
13
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.3B as of Mar 18, 2026
Mar 22, 2014$66.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Mar 22, 20141 then
Employees (5.A)13 as of Mar 18, 2026
Mar 22, 20148 then
Private funds2 as of Mar 18, 2026
Mar 22, 20143 then
RAUM +14% over the last fiscal year+6.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 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
- $216MderivedRAUM 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
- +14%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 businesses and institutions, 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$685M53%
- Other investment advisers$608M47%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• P•••••••• L• | Hedge Fund | $432M | 73 | Apr 26, 2013 |
| S•• P••••••• O•••••••• L••• | Hedge Fund | $278M | 35 | Apr 26, 2013 |
| S•• P••••••• M••••• F•••• L•no longer reported | Hedge Fund | $167M | 30 | Mar 23, 2016 |
| S•• P••••••• Q•• L•no longer reported | Hedge Fund | $21.9M | 10 | Apr 26, 2013 |
| S•• C•••••••• I• L••no longer reported | Hedge Fund | $4.1M | 10 | Mar 23, 2016 |
| S•• S•••••• L••no longer reported | Hedge Fund | $3.5M | 14 | Mar 7, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• M••••••• B•••••• · Managing Membercontrolsince 03/2006 · owns 75% or more
- D•••••••• J••••• Z•• · Chief Executive Officercontrolsince 07/2015 · owns less than 5%
- L••• J••• W•• · Chief Compliance Officercontrolsince 02/2021 · owns less than 5%
Related persons
Schedule D 7.A
- S•• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Employees · 14 to 13Mar 12, 2025 to Mar 18, 2026
- Discretionary RAUM · $1.1B to $1.3BMar 12, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $632M to $685MMar 12, 2025 to Mar 18, 2026
- RAUM · $1.1B to $1.3BMar 12, 2025 to Mar 18, 2026
- Accounts · 7 to 6Mar 26, 2024 to Mar 12, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 12, 2025
- Discretionary RAUM · $1.4B to $1.1BMar 26, 2024 to Mar 12, 2025
- Pooled vehicle RAUM · $710M to $632MMar 26, 2024 to Mar 12, 2025
- RAUM · $1.4B to $1.1BMar 26, 2024 to Mar 12, 2025
- Accounts · 6 to 7Mar 15, 2023 to Mar 26, 2024
- Assets in custody · unset to 0.0Mar 15, 2023 to Mar 26, 2024
- Employees · 13 to 14Mar 15, 2023 to Mar 26, 2024
- Discretionary RAUM · $1.1B to $1.4BMar 15, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $581M to $710MMar 15, 2023 to Mar 26, 2024
- RAUM · $1.1B to $1.4BMar 15, 2023 to Mar 26, 2024
- Accounts · 8 to 6Mar 7, 2022 to Mar 15, 2023
- Pension plan clients · 2.0 to unsetMar 7, 2022 to Mar 15, 2023
- Pooled vehicle clients · 4 to 2Mar 7, 2022 to Mar 15, 2023
- Assets in custody · 415847715.0 to unsetMar 7, 2022 to Mar 15, 2023
- Custody of client assets · true to falseMar 7, 2022 to Mar 15, 2023
- Private funds · 3 to 2Mar 7, 2022 to Mar 15, 2023
- Discretionary RAUM · $817M to $1.1BMar 7, 2022 to Mar 15, 2023
- Pension RAUM · 294164170.0 to unsetMar 7, 2022 to Mar 15, 2023
- Pooled vehicle RAUM · $416M to $581MMar 7, 2022 to Mar 15, 2023
- RAUM · $817M to $1.1BMar 7, 2022 to Mar 15, 2023
- Accounts · 7 to 8Mar 22, 2021 to Mar 7, 2022
- Advisory employees · 8 to 7Mar 22, 2021 to Mar 7, 2022
- Pooled vehicle clients · 3 to 4Mar 22, 2021 to Mar 7, 2022
- Assets in custody · $412M to $416MMar 22, 2021 to Mar 7, 2022
- Employees · 14 to 13Mar 22, 2021 to Mar 7, 2022
- Private funds · 2 to 3Mar 22, 2021 to Mar 7, 2022
- Discretionary RAUM · $859M to $817MMar 22, 2021 to Mar 7, 2022
- Pension RAUM · $342M to $294MMar 22, 2021 to Mar 7, 2022
- Pooled vehicle RAUM · $412M to $416MMar 22, 2021 to Mar 7, 2022
- RAUM · $859M to $817MMar 22, 2021 to Mar 7, 2022
- Assets in custody · $428M to $412MFeb 16, 2021 to Mar 22, 2021
- Employees · 12 to 14Feb 16, 2021 to Mar 22, 2021
- Discretionary RAUM · $886M to $859MFeb 16, 2021 to Mar 22, 2021
- Pension RAUM · $309M to $342MFeb 16, 2021 to Mar 22, 2021
- Pooled vehicle RAUM · $428M to $412MFeb 16, 2021 to Mar 22, 2021
Signals
7 dated events
- S•• C•••••• M••••••••• L•• reported RAUM $1.4B, up 32% from $1.1B (2023-03-15 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- S•• C•••••• M••••••••• L•• reported RAUM $1.1B, up 30% from $816.9M (2022-03-07 to 2023-03-15)Mar 15, 2023 · RAUM change · derived
- Charles Albert Vigneau (Partner) no longer on Schedule A of S•• C•••••• M••••••••• L•• (listed 2021-03-22, absent 2022-03-07)Mar 7, 2022 · Control person left · inference
- W. Jin Lee (Chief Compliance Officer) appeared on Schedule A of S•• C•••••• M••••••••• L••Feb 16, 2021 · Control person joined · fact
- S•• C•••••• M••••••••• L•• reported RAUM $886.4M, up 44% from $614.8M (2019-04-15 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
- S•• C•••••• M••••••••• L•• reported RAUM $614.8M, up 93% from $317.7M (2019-03-15 to 2019-04-15)Apr 15, 2019 · RAUM change · derived
- S•• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 26, 2013 · 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
- w••.s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-601-9792reportedpublic record, Form ADV, Mar 18, 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