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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SEC-registered adviser
S•••• G••••• H••••••••• L••
Latest filing Feb 17, 2026
First filing on the tape Jun 6, 2014 · 17 filings
SEC status approved since Jun 19, 2014
RAUM
$234M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$234M as of Feb 17, 2026
Mar 17, 2015$282M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 17, 2026
Mar 17, 20150 then
Employees (5.A)3 as of Feb 17, 2026
Mar 17, 20153 then
Private funds1 as of Feb 17, 2026
Mar 17, 20152 then
RAUM -25% over the last fiscal year-2.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 17, 2026; 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
- $78.0MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -25%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 pooled vehiclesreportedItem 5.G
- Custody
- $234M, 3 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$234M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $234M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• H••••••••• M••••• F•••• L••• | Hedge Fund | $277M | 19 | Mar 28, 2017 |
| S•••• H••••••••• P•••••••• L•••no longer reported | Hedge Fund | $124M | 13 | Mar 31, 2014 |
| S•••• H••••••••• O••••••• F•••• L•••no longer reported | Hedge Fund | $36.2M | 6 | Mar 31, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B••••• W••••••• J••• · Chief Financial Officer, Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- S••• K••••••• K•••• · Managing Membercontrolsince 07/2013 · owns less than 5%
- S••• K••••••• K•••• · Managing Membercontrolsince 08/2015 · owns 75% or more of S•••• P••••••• G• L••
Entity owners
- S•••• G••••• H••••••••• H•••••••• L• · Sole Memberdirect · owns 75% or more
- S•••• P••••••• G• L•• · General Partner Of S•••• G••••• H••••••••• H•••••••• L•indirect · owns 75% or more of S•••• G••••• H••••••••• H•••••••• L•
Related persons
Schedule D 7.A
- S•••• G••••• P•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $314M to $234MFeb 20, 2025 to Feb 17, 2026
- Discretionary RAUM · $314M to $234MFeb 20, 2025 to Feb 17, 2026
- Pooled vehicle RAUM · $314M to $234MFeb 20, 2025 to Feb 17, 2026
- RAUM · $314M to $234MFeb 20, 2025 to Feb 17, 2026
- Assets in custody · $277M to $314MFeb 29, 2024 to Feb 20, 2025
- Financial planning clients · unset to Feb 29, 2024 to Feb 20, 2025
- HQ city · unset to Feb 29, 2024 to Feb 20, 2025
- HQ state · unset to Feb 29, 2024 to Feb 20, 2025
- Discretionary RAUM · $277M to $314MFeb 29, 2024 to Feb 20, 2025
- Pooled vehicle RAUM · $277M to $314MFeb 29, 2024 to Feb 20, 2025
- RAUM · $277M to $314MFeb 29, 2024 to Feb 20, 2025
- Assets in custody · $254M to $277MFeb 27, 2023 to Feb 29, 2024
- Discretionary RAUM · $254M to $277MFeb 27, 2023 to Feb 29, 2024
- Pooled vehicle RAUM · $254M to $277MFeb 27, 2023 to Feb 29, 2024
- RAUM · $254M to $277MFeb 27, 2023 to Feb 29, 2024
- Assets in custody · $424M to $254MMar 22, 2022 to Feb 27, 2023
- Discretionary RAUM · $302M to $254MMar 22, 2022 to Feb 27, 2023
- Pooled vehicle RAUM · $302M to $254MMar 22, 2022 to Feb 27, 2023
- RAUM · $302M to $254MMar 22, 2022 to Feb 27, 2023
- Discretionary RAUM · $424M to $302MSep 8, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $424M to $302MSep 8, 2021 to Mar 22, 2022
- RAUM · $424M to $302MSep 8, 2021 to Mar 22, 2022
- HQ city · GREENWICH to unsetMar 30, 2021 to Sep 8, 2021
- HQ state · CT to unsetMar 30, 2021 to Sep 8, 2021
- Advisory employees · 3 to 2Mar 31, 2020 to Mar 30, 2021
- Assets in custody · $302M to $424MMar 31, 2020 to Mar 30, 2021
- Discretionary RAUM · $302M to $424MMar 31, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $302M to $424MMar 31, 2020 to Mar 30, 2021
- RAUM · $302M to $424MMar 31, 2020 to Mar 30, 2021
- Advisory employees · 2 to 3Jan 31, 2020 to Mar 31, 2020
- Assets in custody · $288M to $302MJan 31, 2020 to Mar 31, 2020
- Discretionary RAUM · $288M to $302MJan 31, 2020 to Mar 31, 2020
- Pooled vehicle RAUM · $288M to $302MJan 31, 2020 to Mar 31, 2020
- RAUM · $288M to $302MJan 31, 2020 to Mar 31, 2020
- Assets in custody · $286M to $288MMar 22, 2018 to Mar 22, 2019
- Private funds · 3 to 1Mar 22, 2018 to Mar 22, 2019
- Discretionary RAUM · $286M to $288MMar 22, 2018 to Mar 22, 2019
- Pooled vehicle RAUM · $286M to $288MMar 22, 2018 to Mar 22, 2019
- RAUM · $286M to $288MMar 22, 2018 to Mar 22, 2019
- Pooled vehicle clients · unset to 3.0May 5, 2017 to Mar 22, 2018
Signals
7 dated events
- S•••• G••••• H••••••••• L•• reported RAUM $302.0M, down 29% from $423.7M (2021-09-08 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- S•••• G••••• H••••••••• L•• reported RAUM $423.7M, up 40% from $301.9M (2020-03-31 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- John William Bruce (Chief Financial Officer, Chief Compliance Officer) appeared on Schedule A of S•••• G••••• H••••••••• L••Mar 30, 2021 · Control person joined · fact
- Garrett Kyle Altshuler (Chief Financial Officer, Chief Compliance Officer) no longer on Schedule A of S•••• G••••• H••••••••• L•• (listed 2020-03-31, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Garrett Kyle Altshuler (Chief Financial Officer, Chief Compliance Officer) appeared on Schedule A of S•••• G••••• H••••••••• L••Jan 31, 2020 · Control person joined · fact
- Samuel Adam Jaffe (Chief Compliance Officer, Chief Operating Officer) no longer on Schedule A of S•••• G••••• H••••••••• L•• (listed 2019-03-22, absent 2020-01-31)Jan 31, 2020 · Control person left · inference
- S•••• G••••• H••••••••• L•• filed its initial SEC registration (Form ADV)Jun 6, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••• G••••• H••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-769-8600reportedpublic record, Form ADV, Feb 17, 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
- Asset manager (funds and pooled vehicles)deriveda 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