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.

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Former SEC-registered adviser

S•••• A•••• M••••••••• ••••••••• L••••••

Former SEC-registered adviserSt. Peter Port, CRD 167291SEC 801-77914IAPD
Latest filing Apr 21, 2020
First filing on the tape Apr 1, 2013 · 12 filings
RAUM
$322M
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
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$19.5M gross assets
History
12 filings and snapshots on the tape
RAUM$316M as of Apr 15, 2020
Mar 31, 2014$498M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 15, 2020
Mar 31, 20140 then
Employees (5.A)4 as of Apr 15, 2020
Mar 31, 20144 then
Private funds3 as of Apr 15, 2020
Mar 31, 20142 then
RAUM -32% over the last fiscal year-7.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 21, 2020; 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
$12.9MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-33%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
Custody
$322M, 25 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
  • Pooled investment vehicles$322M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
25reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$322M for 25 clientsreported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••• G•••• A••••••••• S••••••••• L•• • S••••••• E••••• S•••••Hedge Fund$8.5M1Mar 28, 2019
      S••••• G••••• S•••••••• F••• L•••Hedge Fund$8.1M98Mar 31, 2017
      S••••• G•••• A••••••••• S••••••••• L•• • L••••••• A•••• S•••••Hedge Fund$2.9M1Mar 28, 2019
      S••••• I• S•• L•••no longer reportedHedge Fund$1.5M126Apr 1, 2013
      S••••• C• S•• L•••no longer reportedHedge Fund$1.4M111Apr 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • D• H••••• M••••••• N••••• · Directorcontrol
        since 12/1997 · owns less than 5%
      • M•••••••• C••••••••• P••• · Director, Chief Compliance Officercontrol
        since 09/2008 · owns less than 5%
      • R••••• I••••••• •••• P•• · Directorcontrol
        since 01/2008 · owns less than 5%
      • S•••••• J•••••••• R•••••• · Directorcontrol
        since 05/2009 · owns less than 5%
      • E•••••••• G••••• · Shareholdercontrol
        since 08/2017 · owns 75% or more of P•••• C•• I••••••••• I•••
      • R••••• I••••••• ••••• · Shareholdercontrol
        since 09/2008 · owns F of S•• M••••••••• L•••
      Entity owners
      • S••••• F••• O• F•••• M••••••••• L••• · Owner
        direct · owns 75% or more
      • P•••• C•• I••••••••• I••• · Shareholder
        indirect · owns 75% or more of S•• H••••••• 4• L•••
      • S••••• F••• O• F•••• M••••••••• H••••••• L••• · Shareholder
        indirect · owns 75% or more of S••••• F••• O• F•••• M••••••••• L•••
      • S•• H••••••• 4• L••• · Shareholder
        indirect · owns 75% or more of S••••• F•• O••••••• H••••••• L•••
      • S•• M••••••••• L••• · Shareholder
        indirect · owns F of S•• H••••••• 4• L•••
      • S••••• F•• O••••••• H••••••• L••• · Shareholder
        indirect · owns 25% to 50% of S••••• F••• O• F•••• M••••••••• H••••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list S•••• A•••• M••••••••• ••••••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Corporate clients · 1.0 to unset
        Apr 15, 2020 to Apr 21, 2020
      • Assets in custody · $316M to $322M
        Apr 15, 2020 to Apr 21, 2020
      • Discretionary RAUM · $316M to $322M
        Apr 15, 2020 to Apr 21, 2020
      • Pooled vehicle RAUM · $316M to $322M
        Apr 15, 2020 to Apr 21, 2020
      • RAUM · $316M to $322M
        Apr 15, 2020 to Apr 21, 2020
      • Assets in custody · $472M to $316M
        Mar 28, 2019 to Apr 15, 2020
      • Employees · 5 to 4
        Mar 28, 2019 to Apr 15, 2020
      • Discretionary RAUM · $472M to $316M
        Mar 28, 2019 to Apr 15, 2020
      • Pooled vehicle RAUM · $472M to $316M
        Mar 28, 2019 to Apr 15, 2020
      • RAUM · $472M to $316M
        Mar 28, 2019 to Apr 15, 2020
      • Assets in custody · $307M to $472M
        Mar 29, 2018 to Mar 28, 2019
      • Private funds · 1 to 3
        Mar 29, 2018 to Mar 28, 2019
      • Discretionary RAUM · $307M to $472M
        Mar 29, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $307M to $472M
        Mar 29, 2018 to Mar 28, 2019
      • RAUM · $307M to $472M
        Mar 29, 2018 to Mar 28, 2019
      • Accounts · 27 to 25
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 3 to 1
        Mar 31, 2017 to Mar 29, 2018
      • Corporate clients · unset to 1.0
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 25.0
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $311M to $307M
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $311M to $307M
        Mar 31, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $96.7M to $0
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 306574396.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $408M to $307M
        Mar 31, 2017 to Mar 29, 2018
      • Accounts · 28 to 27
        Sep 29, 2016 to Mar 31, 2017
      • Assets in custody · unset to 311279841.0
        Sep 29, 2016 to Mar 31, 2017
      • Custody of client assets · false to true
        Sep 29, 2016 to Mar 31, 2017
      • Employees · 4 to 5
        Sep 29, 2016 to Mar 31, 2017
      • Private funds · 2 to 1
        Sep 29, 2016 to Mar 31, 2017
      • Discretionary RAUM · $475M to $311M
        Sep 29, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $169M to $96.7M
        Sep 29, 2016 to Mar 31, 2017
      • RAUM · $644M to $408M
        Sep 29, 2016 to Mar 31, 2017
      • Advisory employees · 4 to 3
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $551M to $475M
        Mar 31, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $147M to $169M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $698M to $644M
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $382M to $551M
        Apr 3, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $137M to $147M
        Apr 3, 2014 to Mar 31, 2015
      • RAUM · $519M to $698M
        Apr 3, 2014 to Mar 31, 2015
      Signals
      3 dated events
      • S•••• A•••• M••••••••• ••••••••• L•••••• reported RAUM $316.2M, down 33% from $471.5M (2019-03-28 to 2020-04-15)
        Apr 15, 2020 · RAUM change · derived
      • S•••• A•••• M••••••••• ••••••••• L•••••• reported RAUM $471.5M, up 54% from $306.6M (2018-03-29 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      • S•••• A•••• M••••••••• ••••••••• L•••••• filed its initial SEC registration (Form ADV)
        Apr 1, 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.
      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