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•••• M••• P•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Sep 6, 2013 · 16 filings
SEC status approved since Sep 16, 2013
RAUM
$272M
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$272M as of Mar 27, 2026
Jan 9, 2014$200M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Jan 9, 20140 then
Employees (5.A)6 as of Mar 27, 2026
Jan 9, 20144 then
Private funds2 as of Mar 27, 2026
Jan 9, 20141 then
RAUM -14% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $90.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.3%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
- -14%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
- $252M, 12 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$252M93%
- State and municipal entities$19.9M7.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $252M for 12 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.93 institutional_share=0.07 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• M••• H••••••• F•••• L• | Real Estate Fund | $347M | 13 | Jan 9, 2014 |
| S•• D••• I••••••• H•••••• L• | Real Estate Fund | $25.3M | 6 | Jan 26, 2024 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• N••••• S••• · Board Membercontrolsince 12/2023 · owns less than 5%
- G••••••••• J••••• A•• · Managing Partner / Chief Compliance Officer / Board Membercontrolsince 08/2013 · owns less than 5%
- S•••••••• L•••••• · Board Membercontrolsince 12/2023 · owns less than 5%
- G••••••••• J••••• A•• · Membercontrolsince 08/2013 · owns 50% to 75% of S•••• M••• H•••••••• L••
- W••••• L•••••• K••••••• · Cfosince 01/2017 · owns less than 5%
Entity owners
- A•• S• L•• · Ownerdirect · owns 50% to 75%
- S•••• M••• H•••••••• L•• · Ownerdirect · owns 25% to 50%
- A•• U• C••••• H•••••• L•••••• · Sole Memberindirect · owns 75% or more of A•• S• L••
Related persons
Schedule D 7.A
- A•• E••••• P••••••• L••••••investment advisern
- S•• D••• I••••••• G•• L••pooled vehicle sponsory
- S•••• M••• H••••••• F••• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 7 to 6Mar 19, 2025 to Mar 27, 2026
- Assets in custody · $277M to $252MMar 19, 2025 to Mar 27, 2026
- Employees · 7 to 6Mar 19, 2025 to Mar 27, 2026
- Discretionary RAUM · $315M to $272MMar 19, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $277M to $252MMar 19, 2025 to Mar 27, 2026
- RAUM · $315M to $272MMar 19, 2025 to Mar 27, 2026
- Advisory employees · 8 to 7Mar 27, 2024 to Mar 19, 2025
- Assets in custody · $0 to $277MMar 27, 2024 to Mar 19, 2025
- Employees · 8 to 7Mar 27, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 19, 2025
- Discretionary RAUM · $369M to $315MMar 27, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $36.4M to $0Mar 27, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $369M to $277MMar 27, 2024 to Mar 19, 2025
- RAUM · $406M to $315MMar 27, 2024 to Mar 19, 2025
- Advisory employees · 7 to 8Jan 26, 2024 to Mar 27, 2024
- Assets in custody · unset to 0.0Jan 26, 2024 to Mar 27, 2024
- Custody of client assets · false to trueJan 26, 2024 to Mar 27, 2024
- Employees · 7 to 8Jan 26, 2024 to Mar 27, 2024
- Pooled vehicle clients · 1 to 2Apr 6, 2023 to Jan 26, 2024
- Private funds · 1 to 2Apr 6, 2023 to Jan 26, 2024
- Discretionary RAUM · $344M to $369MApr 6, 2023 to Jan 26, 2024
- Non-discretionary RAUM · $100M to $36.4MApr 6, 2023 to Jan 26, 2024
- Pooled vehicle RAUM · $344M to $369MApr 6, 2023 to Jan 26, 2024
- RAUM · $444M to $406MApr 6, 2023 to Jan 26, 2024
- Related adviser · false to trueApr 6, 2023 to Jan 26, 2024
- Advisory employees · 6 to 7Mar 30, 2022 to Mar 1, 2023
- Assets in custody · 311455342.0 to unsetMar 30, 2022 to Mar 1, 2023
- Custody of client assets · true to falseMar 30, 2022 to Mar 1, 2023
- Financial planning clients · unset to 0Mar 30, 2022 to Mar 1, 2023
- Discretionary RAUM · $311M to $344MMar 30, 2022 to Mar 1, 2023
- Non-discretionary RAUM · $87.4M to $100MMar 30, 2022 to Mar 1, 2023
- Pooled vehicle RAUM · $311M to $344MMar 30, 2022 to Mar 1, 2023
- RAUM · $399M to $444MMar 30, 2022 to Mar 1, 2023
- Advisory employees · 5 to 6Mar 26, 2021 to Mar 30, 2022
- Assets in custody · $228M to $311MMar 26, 2021 to Mar 30, 2022
- Discretionary RAUM · $228M to $311MMar 26, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $228M to $311MMar 26, 2021 to Mar 30, 2022
- RAUM · $316M to $399MMar 26, 2021 to Mar 30, 2022
- Assets in custody · $243M to $228MMar 24, 2020 to Mar 26, 2021
- Discretionary RAUM · $243M to $228MMar 24, 2020 to Mar 26, 2021
Signals
3 dated events
- Sami Najib Canaan (Board Member) appeared on Schedule A of S•••• M••• P•••••••• L••Jan 26, 2024 · Control person joined · fact
- L•••••• S••••••• (Board Member) appeared on Schedule A of S•••• M••• P•••••••• L••Jan 26, 2024 · Control person joined · fact
- S•••• M••• P•••••••• L• filed its initial SEC registration (Form ADV)Sep 6, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••• M••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/sound-mark-partners-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- S••••M•••PARTNERS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-413-4280reportedpublic record, Form ADV, Mar 27, 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
Across the graphs
S•••• M••• P•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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