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•••••••• C•••••• M•••••••••

Former SEC-registered adviserNew York, New YorkCRD 167325SEC 801-114338IAPD
Legal name S•••••••• C•••••• M••••••••• L••••••
Latest filing Mar 29, 2019
First filing on the tape Oct 26, 2018 · 3 filings
RAUM
$201M
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
7
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
$201M gross assets
History
3 filings and snapshots on the tape
RAUM$201M as of Mar 29, 2019
Oct 26, 2018$176M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Oct 26, 20180 then
Employees (5.A)7 as of Mar 29, 2019
Oct 26, 20187 then
Private funds2 as of Mar 29, 2019
Oct 26, 20182 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 2019; 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
$67.0MderivedRAUM 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
unknownderived3 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 pooled vehiclesreportedItem 5.G
Custody
$54.9M, 1 clientsreportedItem 9.A
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)
  • 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)
  • 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$201M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$54.9M for 1 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• M••••• M••••••• · Senior Partnercontrol
        since 02/2013 · owns 10% to 25%
      • L•••••••• G•••• · Managing Partnercontrol
        since 02/2013 · owns 75% or more
      • R•••••• K••••• B• · Chief Compliance Officercontrol
        since 01/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      • S•••••••• O••••••••• G•••••• P•••••• L••
        pooled vehicle sponsorn
      • S•••••••• P••••• G•••••• P•••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Moscow, Russia4 employees
      • London, United Kingdom1 employees
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · 1 to 2
        Oct 30, 2018 to Mar 29, 2019
      • Assets in custody · $176M to $54.9M
        Oct 30, 2018 to Mar 29, 2019
      • Private funds · 1 to 2
        Oct 30, 2018 to Mar 29, 2019
      • Discretionary RAUM · $176M to $201M
        Oct 30, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $176M to $201M
        Oct 30, 2018 to Mar 29, 2019
      • RAUM · $176M to $201M
        Oct 30, 2018 to Mar 29, 2019
      • Private funds · 2 to 1
        Oct 26, 2018 to Oct 30, 2018
      Signals
      1 dated events
      • S•••••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)
        Oct 26, 2018 · 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