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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

S••••• C•••••• M•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 169337SEC 801-78713IAPD
Latest filing Jul 21, 2014
First filing on the tape Oct 15, 2013 · 9 filings
RAUM
$25.7M
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$25.7M gross assets
History
9 filings and snapshots on the tape
RAUM$25.7M as of Jul 21, 2014
Dec 20, 2013$25.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 21, 2014
Oct 15, 20130 then
Employees (5.A)4 as of Jul 21, 2014
Oct 15, 20133 then
Private funds1 as of Jul 21, 2014
Dec 20, 20131 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 21, 2014; 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
unknownderived2 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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•• M••••• F•••• L••• • S••••••••• A•••••• H••••Hedge Fund$25.7M1Dec 20, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• M••••• · President- Relying Advisercontrol
        since 05/2013 · owns less than 5%
      • D•••••• A••••••••• L•• · V.P., Chief Compliance Officer & Assoc. General Counsel, Filing Adviser, Chief Compliance Officer - Relying Advisercontrol
        since 10/2013 · owns less than 5%
      • H•••••••• M••••••• R•••••• · President- Filing Adviser, Director- Relying Adviser, Manager - Filing Advisercontrol
        since 05/2013 · owns less than 5%
      • R•••••• C••••••••• H•••• · V.P, General Counsel- Filing Adviser, Director- Relying Adviser, Manager - Filing Advisercontrol
        since 05/2013 · owns less than 5%
      Entity owners
      • S••••• I••••••••• F•••••••• S•••••••• L••• · Shareholder- Relying Adviser
        direct · owns 75% or more
      • S••••• R• H•••••••• I••• · Member- Filing Adviser
        direct · owns 75% or more
      • F••• A••••••• H••••••• A• · Shareholder
        indirect · owns 75% or more of S••••• I••••••••• I•••••••• C•••••••••
      • L••• T••• H••••••• L••• · Shareholder
        indirect · owns 75% or more of S••••• I••••••••• I•••••••• G••••• L•••
      • S••••• I••••••••• F•••••••• S••••••• L••• · Shareholder
        indirect · owns 75% or more of W• C••••• • G••••••••• L••••••
      • S••••• I••••••••• G••••• L••• · Shareholder
        indirect · owns 75% or more of S••••• International Financial Services Ltd
      • S••••• I••••••••• H•••••• S••••• A• · Shareholder
        indirect · owns 75% or more of F••• A••••••• H••••••• A•
      • S••••• I••••••••• H•••••••• L••• · Shareholder
        indirect · owns 75% or more of S••••• I••••••••• G••••• L•••
      • S••••• I••••••••• I•••••••• C••••••••• · Shareholder
        indirect · owns 75% or more of W• P•••••• • L••••••••• S••••••
      • S••••• I••••••••• I•••••••• G••••• L••• · Shareholder
        indirect · owns 75% or more of S••••• International Holdings Ltd.
      • W•••• M•••••••• I•••••••• G••••• L••• · Shareholder
        indirect · owns 75% or more of L••• T••• H••••••• L••• · public reporting company
      • W•••• R••• H••••••• • L••••••••• S•••••• · Shareholder
        indirect · owns 75% or more of S••••• International Holdings S••••• Ab
      • W• C••••• • G••••••••• L•••••• · Shareholder
        indirect · owns 75% or more of W•••• R••• H••••••• • L••••••••• S••••••
      • W• P•••••• • L••••••••• S•••••• · Shareholder
        indirect · owns 75% or more of S••••• R• H•••••••• I•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Hamilton, Bermuda
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 3
        Jan 16, 2014 to Mar 26, 2014
      • Employees · 3 to 4
        Jan 16, 2014 to Mar 26, 2014
      • Discretionary RAUM · $25.0M to $25.7M
        Jan 16, 2014 to Mar 26, 2014
      • RAUM · $25.0M to $25.7M
        Jan 16, 2014 to Mar 26, 2014
      • Accounts · unset to 2.0
        Nov 15, 2013 to Dec 20, 2013
      • Private funds · unset to 1
        Nov 15, 2013 to Dec 20, 2013
      • Discretionary RAUM · unset to 25000000.0
        Nov 15, 2013 to Dec 20, 2013
      • Non-discretionary RAUM · unset to 0.0
        Nov 15, 2013 to Dec 20, 2013
      • RAUM · unset to 25000000.0
        Nov 15, 2013 to Dec 20, 2013
      Signals
      1 dated events
      • S••••• C•••••• M•••••• L•• filed its initial SEC registration (Form ADV)
        Oct 15, 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