DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
S•••••• I••••••••• M••••••••• S•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jan 2, 2014 · 30 filings
SEC status approved since Jan 9, 2014
RAUM
$916M
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
18
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$916M as of Mar 26, 2026
Mar 26, 2015$570M then
HNW client RAUM$0 as of Mar 26, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 26, 20150 then
Employees (5.A)18 as of Mar 26, 2026
Mar 26, 201510 then
Private funds1 as of Mar 26, 2026
Mar 26, 20151 then
RAUM +12% over the last fiscal year+6.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $916MderivedRAUM 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
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $916M, 1 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$916M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $916M for 1 clientsreported
- Compensation
- n/areported
- 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•••••• F••• I• L•• | Other Private Fund | $796M | 1 | Jan 2, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• G••••••• N•• · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- K••••••• R••••• A••••••••• · Chief Investment Officercontrolsince 12/2013 · owns less than 5%
- L••••• J•••• C•••••• · Chief Operating Officercontrolsince 05/2023 · owns less than 5%
- L••• W••••••• I••••••• · Managing Directorcontrolsince 02/2022 · owns less than 5%
- W••••• E••••••• •••• · Managercontrolsince 03/2017 · owns F of K••••••••• L••
- F••••••••• C•••••• A••••• · Membersince 03/2017 · owns 75% or more of K••••••••• L••
- N••••••• E••••••• •••• · Membersince 03/2017 · owns 25% to 50% of K••••••••• L••
Entity owners
- S••••••• I••• · Shareholderdirect · owns 75% or more
- K••••••••• L•• · Shareholderindirect · owns 75% or more of S••••••• I•••
Related persons
Schedule D 7.A
- O•• S••••••• L••••••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 26, 2026bank affiliate (Item 7.A.6): yes on the filing of 2025-03-25, no on the filing of 2026-03-26peers: asset managers, $500M to $1B (784)
What changed
consecutive filings, newest first
- Accounts · 2 to 1Mar 25, 2025 to Mar 26, 2026
- Advisory employees · 5 to 6Mar 25, 2025 to Mar 26, 2026
- Pooled vehicle clients · 2 to 1Mar 25, 2025 to Mar 26, 2026
- Assets in custody · $821M to $916MMar 25, 2025 to Mar 26, 2026
- Employees · 16 to 18Mar 25, 2025 to Mar 26, 2026
- Discretionary RAUM · $821M to $916MMar 25, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $821M to $916MMar 25, 2025 to Mar 26, 2026
- RAUM · $821M to $916MMar 25, 2025 to Mar 26, 2026
- Related adviser · true to falseMar 25, 2025 to Mar 26, 2026
- Related bank · true to falseMar 25, 2025 to Mar 26, 2026
- Business name · S•••••• I••••••••• M••••••••• I••• to S•••••• I••••••••• M••••••••• S•••••••• L••Mar 18, 2024 to Mar 25, 2025
- Assets in custody · $0 to $821MMar 18, 2024 to Mar 25, 2025
- Employees · 18 to 16Mar 18, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 18, 2024 to Mar 25, 2025
- Legal name · S•••••• I••••••••• M••••••••• I••• to S•••••• I••••••••• M••••••••• S•••••••• L••Mar 18, 2024 to Mar 25, 2025
- Discretionary RAUM · $796M to $821MMar 18, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $796M to $821MMar 18, 2024 to Mar 25, 2025
- RAUM · $796M to $821MMar 18, 2024 to Mar 25, 2025
- Organization form · Corporation to Limited Liability CompanyOct 17, 2023 to Mar 18, 2024
- Discretionary RAUM · $752M to $796MOct 17, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $752M to $796MOct 17, 2023 to Mar 18, 2024
- RAUM · $752M to $796MOct 17, 2023 to Mar 18, 2024
- Advisory employees · 4 to 5May 24, 2023 to Aug 25, 2023
- Employees · 15 to 18May 24, 2023 to Aug 25, 2023
- HQ city · WESTON to MIAMIMay 24, 2023 to Aug 25, 2023
- Assets in custody · $827M to $0Mar 2, 2022 to Mar 28, 2023
- Employees · 16 to 15Mar 2, 2022 to Mar 28, 2023
- Discretionary RAUM · $827M to $752MMar 2, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $827M to $752MMar 2, 2022 to Mar 28, 2023
- RAUM · $827M to $752MMar 2, 2022 to Mar 28, 2023
- Assets in custody · $825M to $827MMar 1, 2022 to Mar 2, 2022
- Discretionary RAUM · $825M to $827MMar 1, 2022 to Mar 2, 2022
- Pooled vehicle RAUM · $825M to $827MMar 1, 2022 to Mar 2, 2022
- RAUM · $825M to $827MMar 1, 2022 to Mar 2, 2022
- Assets in custody · $760M to $825MMar 26, 2021 to Mar 1, 2022
- Employees · 18 to 16Mar 26, 2021 to Mar 1, 2022
- Discretionary RAUM · $760M to $825MMar 26, 2021 to Mar 1, 2022
- Pooled vehicle RAUM · $760M to $825MMar 26, 2021 to Mar 1, 2022
- RAUM · $760M to $825MMar 26, 2021 to Mar 1, 2022
- Advisory employees · 5 to 4Mar 27, 2020 to Mar 26, 2021
Signals
10 dated events
- Nmn Gennady Bekasov (Chief Compliance Officer) appeared on Schedule A of S•••••• I••••••••• M••••••••• S•••••••• L••Oct 17, 2023 · Control person joined · fact
- Anwar Karishma Ilyas (Chief Compliance Officer) no longer on Schedule A of S•••••• I••••••••• M••••••••• S•••••••• L•• (listed 2023-08-25, absent 2023-10-17)Oct 17, 2023 · Control person left · inference
- Charles John Larre (Coo) appeared on Schedule A of S•••••• I••••••••• M••••••••• S•••••••• L••Aug 25, 2023 · Control person joined · fact
- Il-Hyung William Lee (Managing Director) appeared on Schedule A of S•••••• I••••••••• M••••••••• S•••••••• L••Mar 1, 2022 · Control person joined · fact
- Galano Melissa Alvarez (Managing Director) no longer on Schedule A of S•••••• I••••••••• M••••••••• S•••••••• L•• (listed 2021-03-26, absent 2022-03-01)Mar 1, 2022 · Control person left · inference
- Cano Esther Corcino (Cfo, And Director) no longer on Schedule A of S•••••• I••••••••• M••••••••• S•••••••• L•• (listed 2020-03-27, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Edith Negda Hernandez (Director) no longer on Schedule A of S•••••• I••••••••• M••••••••• S•••••••• L•• (listed 2018-07-16, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- (Nmn) Mads Jensen (Director) no longer on Schedule A of S•••••• I••••••••• M••••••••• S•••••••• L•• (listed 2018-07-16, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- Anwar Karishma Ilyas (Chief Compliance Officer) appeared on Schedule A of S•••••• I••••••••• M••••••••• S•••••••• L••Mar 27, 2019 · Control person joined · fact
- S•••••• I••••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Jan 2, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••••• I••••••••• M••••••••• S•••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- (954) 217-4896reportedpublic record, Form ADV, Mar 26, 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