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•••• I••••••••• P•••••••

Former SEC-registered adviserHenley-On-Thames, CRD 168664SEC 801-78457IAPD
Legal name S•••• I••••••••• P••••••• L••
Latest filing Jun 6, 2024
First filing on the tape Aug 13, 2013 · 14 filings
RAUM
$51.8M
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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$51.8M as of Jun 6, 2024
Jun 30, 2014$250M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 6, 2024
Jun 30, 20140 then
Employees (5.A)7 as of Jun 6, 2024
Jun 30, 20144 then
Private funds: no history
RAUM +11% over the last fiscal year-50% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 6, 2024; 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
$51.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
+11%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 individuals, 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
  • Pension and profit-sharing plans$51.8M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • H•••••••• M••••••• R••• · Partnercontrol
        since 10/2012 · owns 10% to 25%
      • S••••• W•••••• G•••• · Partnercontrol
        since 10/2012 · owns 75% or more
      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
      • Discretionary RAUM · $46.6M to $51.8M
        Jun 2, 2023 to Jun 6, 2024
      • Pension RAUM · $46.6M to $51.8M
        Jun 2, 2023 to Jun 6, 2024
      • RAUM · $46.6M to $51.8M
        Jun 2, 2023 to Jun 6, 2024
      • Accounts · 2 to 1
        Jun 9, 2022 to Jun 2, 2023
      • Advisory employees · 5 to 4
        Jun 9, 2022 to Jun 2, 2023
      • Employees · 6 to 7
        Jun 9, 2022 to Jun 2, 2023
      • Discretionary RAUM · $268M to $46.6M
        Jun 9, 2022 to Jun 2, 2023
      • Pension RAUM · $46.4M to $46.6M
        Jun 9, 2022 to Jun 2, 2023
      • RAUM · $268M to $46.6M
        Jun 9, 2022 to Jun 2, 2023
      • Accounts · 3 to 2
        Jun 29, 2021 to Jun 9, 2022
      • Advisory employees · 4 to 5
        Jun 29, 2021 to Jun 9, 2022
      • Employees · 5 to 6
        Jun 29, 2021 to Jun 9, 2022
      • Discretionary RAUM · $419M to $268M
        Jun 29, 2021 to Jun 9, 2022
      • Pension RAUM · $42.1M to $46.4M
        Jun 29, 2021 to Jun 9, 2022
      • RAUM · $419M to $268M
        Jun 29, 2021 to Jun 9, 2022
      • Advisory employees · 5 to 4
        Jun 30, 2020 to Jun 29, 2021
      • Employees · 6 to 5
        Jun 30, 2020 to Jun 29, 2021
      • Discretionary RAUM · $297M to $419M
        Jun 30, 2020 to Jun 29, 2021
      • Pension RAUM · $20.7M to $42.1M
        Jun 30, 2020 to Jun 29, 2021
      • RAUM · $297M to $419M
        Jun 30, 2020 to Jun 29, 2021
      • Discretionary RAUM · $362M to $297M
        Jul 1, 2019 to Jun 30, 2020
      • Pension RAUM · $24.4M to $20.7M
        Jul 1, 2019 to Jun 30, 2020
      • RAUM · $362M to $297M
        Jul 1, 2019 to Jun 30, 2020
      • Accounts · 4 to 3
        Dec 19, 2018 to Jul 1, 2019
      • Discretionary RAUM · $342M to $362M
        Dec 19, 2018 to Jul 1, 2019
      • Pension RAUM · $20.0M to $24.4M
        Dec 19, 2018 to Jul 1, 2019
      • RAUM · $342M to $362M
        Dec 19, 2018 to Jul 1, 2019
      • Accounts · 2 to 4
        Jun 29, 2018 to Dec 19, 2018
      • Discretionary RAUM · $102M to $342M
        Jun 29, 2018 to Dec 19, 2018
      • RAUM · $102M to $342M
        Jun 29, 2018 to Dec 19, 2018
      • Accounts · 3 to 2
        Jun 29, 2017 to Jun 29, 2018
      • Advisory activities · 3 to 2
        Jun 29, 2017 to Jun 29, 2018
      • Other offices · unset to 0.0
        Jun 29, 2017 to Jun 29, 2018
      • Discretionary RAUM · $358M to $102M
        Jun 29, 2017 to Jun 29, 2018
      • Pension RAUM · unset to 20000000.0
        Jun 29, 2017 to Jun 29, 2018
      • RAUM · $358M to $102M
        Jun 29, 2017 to Jun 29, 2018
      • Advisory employees · 4 to 5
        Jun 30, 2016 to Jun 29, 2017
      • Employees · 5 to 6
        Jun 30, 2016 to Jun 29, 2017
      • Discretionary RAUM · $293M to $358M
        Jun 30, 2016 to Jun 29, 2017
      • RAUM · $293M to $358M
        Jun 30, 2016 to Jun 29, 2017
      Signals
      7 dated events
      • S•••• I••••••••• P••••••• reported RAUM $46.6M, down 83% from $268.2M (2022-06-09 to 2023-06-02)
        Jun 2, 2023 · RAUM change · derived
      • S•••• I••••••••• P••••••• reported RAUM $268.2M, down 36% from $418.9M (2021-06-29 to 2022-06-09)
        Jun 9, 2022 · RAUM change · derived
      • Thomas Matthew Scott (Partner) no longer on Schedule A of S•••• I••••••••• P••••••• (listed 2021-06-29, absent 2022-06-09)
        Jun 9, 2022 · Control person left · inference
      • S•••• I••••••••• P••••••• reported RAUM $418.9M, up 41% from $297.4M (2020-06-30 to 2021-06-29)
        Jun 29, 2021 · RAUM change · derived
      • S•••• I••••••••• P••••••• reported RAUM $342.0M, up 235% from $102.0M (2018-06-29 to 2018-12-19)
        Dec 19, 2018 · RAUM change · derived
      • S•••• I••••••••• P••••••• reported RAUM $102.0M, down 72% from $358.1M (2017-06-29 to 2018-06-29)
        Jun 29, 2018 · RAUM change · derived
      • S•••• I••••••••• P••••••• filed its initial SEC registration (Form ADV)
        Aug 13, 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