DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S••••••••• A•••• M••••••••• L••

Institutional managerNew York, New YorkCRD 166252SEC 801-77433website IAPD

Latest filing Mar 31, 2026

First filing on the tape Nov 29, 2012 · 22 filings

SEC status approved since Jan 3, 2013

RAUM

$7.5M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM$7.5M as of Mar 31, 2026

Apr 1, 2013$0 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, 20139 then

Private funds: no history

RAUM +0.0% over the last fiscal year+0.0% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 31, 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

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: $7.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%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: +0.0%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 assetsreportedItem 5.E
Advisory activities: portfolio management for businesses and institutionsreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Insurance companies$7.5M100%

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 AUMreported
Class basis: private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=true bd_reps=1.0derived

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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F••••••• P••••••• J••••• · Chief Financial Officercontrol
since 04/2014 · owns less than 5%
S•••••••• R•••••• N••••• · Chief Compliance Officercontrol
since 03/2014 · owns less than 5%
S••••••••• G••••• · Officercontrol
since 11/2012 · owns less than 5%
S•••••• J•••••• S••••• · Officercontrol
since 11/2012 · owns less than 5%
S•••••• J•••••• S••••• · Managing Membercontrol
since 06/2003 · owns 25% to 50% of S••••••••• P•••••••• L••

Entity owners

S••••••••• A••••••• S•••••••• L•• · Sole Member
direct · owns 75% or more
C••••••••• E••••• P••••••• V•• L• · Member
indirect · owns 25% to 50% of S••••••••• P•••••••• L••
S••••••••• P•••••••• L•• · Sole Member
indirect · owns 75% or more of S••••••••• A••••••• S•••••••• L••

Related persons

Schedule D 7.A

S••••••••• A•••••••• L••
investment adviserbanknRAUM $763M
S••••••••• A••••••• S•••••••• L••
investment advisery
S••••••••• I••••••••• M••••••••• L••
investment advisern
S••••••••• L••• M••••••••• L••
investment advisern
S••••••••• P•••••••• L••
investment advisery
S••••••••• S••••••••• L••
broker-dealern
S••••••••• T•••• C••
n

Advisers that list S••••••••• A•••• M••••••••• L•• as a related person

132495 n
150592 n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 2 to 1
Mar 31, 2025 to Mar 31, 2026
BD registered reps · 4 to 1
Mar 31, 2025 to Mar 31, 2026
Employees · 9 to 6
Mar 31, 2025 to Mar 31, 2026
Financial planning clients · unset to
May 31, 2024 to Mar 31, 2025
Advisory employees · 1 to 2
Mar 31, 2023 to Mar 30, 2024
BD registered reps · 2 to 4
Mar 31, 2023 to Mar 30, 2024
Employees · 5 to 9
Mar 31, 2023 to Mar 30, 2024
Accounts · unset to 1.0
Mar 31, 2022 to Mar 31, 2023
Advisory employees · 0 to 1
Mar 31, 2022 to Mar 31, 2023
BD registered reps · 0 to 2
Mar 31, 2022 to Mar 31, 2023
Employees · 0 to 5
Mar 31, 2022 to Mar 31, 2023
Discretionary RAUM · unset to 0.0
Mar 31, 2022 to Mar 31, 2023
Non-discretionary RAUM · unset to 7500000.0
Mar 31, 2022 to Mar 31, 2023
RAUM · unset to 7500000.0
Mar 31, 2022 to Mar 31, 2023
Accounts · 1.0 to unset
Mar 30, 2020 to Mar 31, 2021
Advisory employees · 7 to 0
Mar 30, 2020 to Mar 31, 2021
BD registered reps · 5 to 0
Mar 30, 2020 to Mar 31, 2021
Employees · 9 to 0
Mar 30, 2020 to Mar 31, 2021
Discretionary RAUM · 164677267.0 to unset
Mar 30, 2020 to Mar 31, 2021
Non-discretionary RAUM · 0.0 to unset
Mar 30, 2020 to Mar 31, 2021
RAUM · 164677267.0 to unset
Mar 30, 2020 to Mar 31, 2021
Other offices · 1 to 0
Mar 29, 2019 to Mar 30, 2020
Discretionary RAUM · $196M to $165M
Mar 29, 2019 to Mar 30, 2020
RAUM · $196M to $165M
Mar 29, 2019 to Mar 30, 2020
Discretionary RAUM · $170M to $196M
Jun 12, 2018 to Mar 29, 2019
RAUM · $170M to $196M
Jun 12, 2018 to Mar 29, 2019
Other offices · unset to 1.0
Mar 30, 2017 to Mar 29, 2018
Discretionary RAUM · $206M to $170M
Mar 30, 2017 to Mar 29, 2018
RAUM · $206M to $170M
Mar 30, 2017 to Mar 29, 2018
Discretionary RAUM · $193M to $206M
Jan 3, 2017 to Mar 30, 2017
RAUM · $193M to $206M
Jan 3, 2017 to Mar 30, 2017
Discretionary RAUM · $183M to $193M
Mar 31, 2015 to Mar 30, 2016
RAUM · $183M to $193M
Mar 31, 2015 to Mar 30, 2016
Discretionary RAUM · $110M to $183M
Mar 31, 2014 to Mar 31, 2015
RAUM · $110M to $183M
Mar 31, 2014 to Mar 31, 2015
Accounts · 0 to 1
Apr 1, 2013 to Mar 31, 2014
Assets in custody · 26374029.0 to unset
Apr 1, 2013 to Mar 31, 2014
Custody of client assets · true to false
Apr 1, 2013 to Mar 31, 2014
Discretionary RAUM · $0 to $110M
Apr 1, 2013 to Mar 31, 2014
RAUM · $0 to $110M
Apr 1, 2013 to Mar 31, 2014

Signals

1 dated events

S••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Nov 29, 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 21, 2026
Principal office phone: 212-354-6500reportedpublic 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: 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