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•••••••• C••••••• L•
Latest filing Mar 12, 2026
First filing on the tape Nov 15, 2013 · 18 filings
SEC status approved since Dec 2, 2013
RAUM
$1.6B
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
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.6B as of Mar 12, 2026
Jan 31, 2014$423M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 12, 2026
Jan 31, 20140 then
Employees (5.A)10 as of Mar 12, 2026
Jan 31, 201410 then
Private funds1 as of Mar 12, 2026
Jan 31, 20141 then
RAUM -13% over the last fiscal year+7.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 12, 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
- $543MderivedRAUM 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
- -13%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
- $1.6B, 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.6B100%
- 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
- $1.6B 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• M••••• F•••• L• | Hedge Fund | $1.7B | 106 | Nov 15, 2013 |
Owners and control persons
Schedule A and B, latest filing
- A••• B•••••••• E••••• · Chief Operating Officer, General Counsel & Chief Compliance Officercontrolsince 06/2013 · owns less than 5%
- G•••••• D••••••• A••• · Managing Member, Hgj Partnerscontrolsince 06/2013 · owns 25% to 50%
- H••••••••• J•••••••• C••••••••• · Portfolio Manager, Managing Member, Sector Specialist, Limited Partnercontrolsince 06/2013 · owns 25% to 50%
- J••••• D•••••• D••• · Managing Member, Sector Specialist, Limited Partnercontrolsince 06/2013 · owns 25% to 50%
- S••••••• J••• · Chief Financial Officercontrolsince 12/2015 · owns less than 5%
- G•••••• D••••••• A••• · Managing Membercontrolsince 06/2013 · owns 25% to 50% of S•••••••• C•••••• G•• L••
- H••••••••• J•••••••• C••••••••• · Managing Membercontrolsince 06/2013 · owns 25% to 50% of S•••••••• C•••••• G•• L••
- J••••• D•••••• D••• · Managing Membercontrolsince 06/2013 · owns 25% to 50% of S•••••••• C•••••• G•• L••
Entity owners
- S•••••••• C•••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- H•• P•••••••• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $1.9B to $1.6BMar 25, 2025 to Mar 12, 2026
- Discretionary RAUM · $1.9B to $1.6BMar 25, 2025 to Mar 12, 2026
- Pooled vehicle RAUM · $1.9B to $1.6BMar 25, 2025 to Mar 12, 2026
- RAUM · $1.9B to $1.6BMar 25, 2025 to Mar 12, 2026
- Assets in custody · $1.7B to $1.9BMar 20, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.7B to $1.9BMar 20, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $1.7B to $1.9BMar 20, 2024 to Mar 25, 2025
- RAUM · $1.7B to $1.9BMar 20, 2024 to Mar 25, 2025
- Assets in custody · $1.3B to $1.7BMar 22, 2023 to Mar 20, 2024
- Discretionary RAUM · $1.3B to $1.7BMar 22, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $1.3B to $1.7BMar 22, 2023 to Mar 20, 2024
- RAUM · $1.3B to $1.7BMar 22, 2023 to Mar 20, 2024
- Advisory employees · 5 to 4Mar 28, 2022 to Mar 22, 2023
- Assets in custody · $1.5B to $1.3BMar 28, 2022 to Mar 22, 2023
- Employees · 11 to 10Mar 28, 2022 to Mar 22, 2023
- Discretionary RAUM · $1.5B to $1.3BMar 28, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $1.5B to $1.3BMar 28, 2022 to Mar 22, 2023
- RAUM · $1.5B to $1.3BMar 28, 2022 to Mar 22, 2023
- Advisory employees · 4 to 5Mar 19, 2021 to Mar 28, 2022
- Assets in custody · $1.6B to $1.5BMar 19, 2021 to Mar 28, 2022
- Employees · 10 to 11Mar 19, 2021 to Mar 28, 2022
- Discretionary RAUM · $1.6B to $1.5BMar 19, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $1.6B to $1.5BMar 19, 2021 to Mar 28, 2022
- RAUM · $1.6B to $1.5BMar 19, 2021 to Mar 28, 2022
- Assets in custody · $1.1B to $1.6BMar 27, 2020 to Mar 19, 2021
- Discretionary RAUM · $1.1B to $1.6BMar 27, 2020 to Mar 19, 2021
- Pooled vehicle RAUM · $1.1B to $1.6BMar 27, 2020 to Mar 19, 2021
- RAUM · $1.1B to $1.6BMar 27, 2020 to Mar 19, 2021
- Assets in custody · $1.5B to $1.1BMar 26, 2019 to Mar 27, 2020
- Discretionary RAUM · $1.5B to $1.1BMar 26, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $1.5B to $1.1BMar 26, 2019 to Mar 27, 2020
- RAUM · $1.5B to $1.1BMar 26, 2019 to Mar 27, 2020
- Advisory employees · 5 to 4Mar 29, 2018 to Mar 26, 2019
- Assets in custody · $1.7B to $1.5BMar 29, 2018 to Mar 26, 2019
- Employees · 11 to 10Mar 29, 2018 to Mar 26, 2019
- Discretionary RAUM · $1.7B to $1.5BMar 29, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $1.7B to $1.5BMar 29, 2018 to Mar 26, 2019
- RAUM · $1.7B to $1.5BMar 29, 2018 to Mar 26, 2019
- Pooled vehicle clients · unset to 3.0Mar 29, 2017 to Mar 29, 2018
Signals
3 dated events
- S•••••••• C••••••• L• reported RAUM $1.6B, up 50% from $1.1B (2020-03-27 to 2021-03-19)Mar 19, 2021 · RAUM change · derived
- S•••••••• C••••••• L• reported RAUM $1.1B, down 30% from $1.5B (2019-03-26 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- S•••••••• C••••••• L• filed its initial SEC registration (Form ADV)Nov 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.
How to reach
public business contact points only, each with its source
- Website
- S••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-204-5500reportedpublic record, Form ADV, Mar 12, 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