DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

S••• F••• M••••••••• L••

Former SEC-registered adviserLondon, CRD 166880SEC 801-79085IAPD
Latest filing Jul 7, 2017
First filing on the tape Jan 9, 2014 · 12 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$573M as of Jun 30, 2016
Jun 27, 2014$504M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 7, 2017
Jun 27, 20140 then
Employees (5.A)2 as of Jul 7, 2017
Jun 27, 20148 then
Private funds1 as of Jun 30, 2016
Jun 27, 20143 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 7, 2017; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween 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 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
  • 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)
  • 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
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••• E••••••• E••••••• F•••no longer reportedHedge Fund$456M115Mar 19, 2013
      S••• E••••••• E••••••• M••••• F•••Hedge Fund$418M330Mar 19, 2013
      S••• E••••••• E••••••• F••• L•no longer reportedHedge Fund$279M255Mar 19, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• A••••••••• N••••••• · Chief Executive Officer: L•••••• Partnercontrol
        since 12/2008 · owns 75% or more
      • W••••• G•••••• D•••• · Chief Operating Officercontrol
        since 05/2013 · owns less than 5%
      • A••••• A••••••••• N••••••• · Ownercontrol
        since 12/2008 · owns 75% or more of S••• M••••••••• ••••••• L••
      • C••••••••• T•••• B•••• · Chief Compliance Officer
        since 05/2015 · owns less than 5%
      Entity owners
      • S••• S••••••• L•••••• · Owner: L•••••• Partner
        direct · owns 10% to 25%
      • S••• M••••••••• ••••••• L•• · Owner
        indirect · owns 75% or more of S••• S••••••• L••••••
      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 · 5.0 to unset
        Jul 19, 2016 to Jul 7, 2017
      • Advisory employees · 7 to 0
        Jul 19, 2016 to Jul 7, 2017
      • Advisory activities · 2 to 1
        Jul 19, 2016 to Jul 7, 2017
      • Employees · 9 to 2
        Jul 19, 2016 to Jul 7, 2017
      • Private funds · 1 to unset
        Jul 19, 2016 to Jul 7, 2017
      • Discretionary RAUM · 572563532.0 to unset
        Jul 19, 2016 to Jul 7, 2017
      • Non-discretionary RAUM · 0.0 to unset
        Jul 19, 2016 to Jul 7, 2017
      • RAUM · 572563532.0 to unset
        Jul 19, 2016 to Jul 7, 2017
      • Related adviser · true to false
        Jul 19, 2016 to Jul 7, 2017
      • Related bank · true to false
        Jul 19, 2016 to Jul 7, 2017
      • Accounts · 4 to 5
        Apr 5, 2016 to Jun 30, 2016
      • Private funds · 3 to 1
        Apr 5, 2016 to Jun 30, 2016
      • Discretionary RAUM · $816M to $573M
        Apr 5, 2016 to Jun 30, 2016
      • RAUM · $816M to $573M
        Apr 5, 2016 to Jun 30, 2016
      • Advisory employees · 6 to 7
        Feb 5, 2015 to Jun 26, 2015
      • Employees · 8 to 9
        Feb 5, 2015 to Jun 26, 2015
      • Discretionary RAUM · $504M to $816M
        Feb 5, 2015 to Jun 26, 2015
      • RAUM · $504M to $816M
        Feb 5, 2015 to Jun 26, 2015
      • Accounts · 3 to 4
        Feb 26, 2014 to Jun 27, 2014
      • Advisory activities · 1 to 2
        Feb 26, 2014 to Jun 27, 2014
      • Custody of client assets · true to false
        Feb 26, 2014 to Jun 27, 2014
      • Employees · 7 to 8
        Feb 26, 2014 to Jun 27, 2014
      • Discretionary RAUM · $249M to $504M
        Feb 26, 2014 to Jun 27, 2014
      • RAUM · $249M to $504M
        Feb 26, 2014 to Jun 27, 2014
      • Private funds · 6 to 3
        Jan 9, 2014 to Feb 7, 2014
      Signals
      1 dated events
      • S••• F••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 9, 2014 · 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