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•••••• I••••••••• M•••••••••

Former SEC-registered adviserNew York, New YorkCRD 169744SEC 801-78901IAPD
Legal name S•••••• W••••• M••••••••• L••
Latest filing Mar 28, 2018
First filing on the tape Dec 2, 2013 · 22 filings
RAUM
$28.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$28.4M 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$28.4M as of Mar 28, 2018
Mar 12, 2014$0 then
HNW client RAUM: $28.4M
State-registered IARs (5.B.3)1 as of Mar 28, 2018
Mar 12, 20144 then
Employees (5.A)3 as of Mar 28, 2018
Mar 12, 20144 then
Private funds2 as of Mar 29, 2017
Feb 23, 20152 then
RAUM +1.7% over the last fiscal year+0.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 28, 2018; every figure names its basis
RAUM per advisor
$28.4MderivedRAUM 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
$14.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+1.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$28.4M, 2 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$28.4M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$28.4M for 2 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••• T•••• A•••• P•••••••Other Private Fund$24.8M6Nov 15, 2012
      T••••••• C•••••• M•••••••••Hedge Fund$4.2M4Feb 28, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • W••••••••• S•••••• M••• · Managing Member, Chief Compliance Officercontrol
        since 11/2013 · owns 25% to 50%
      • W••••• C••••••• C••••• · Owner
        since 10/2014 · owns 10% to 25%
      • Z•••••• D•••••• S•• · Principal
        since 03/2014 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • T••••••• C•••••• M••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 2
        Mar 29, 2017 to Mar 28, 2018
      • Assets in custody · $27.9M to $28.4M
        Mar 29, 2017 to Mar 28, 2018
      • Employees · 4 to 3
        Mar 29, 2017 to Mar 28, 2018
      • Financial planning clients · unset to 0
        Mar 29, 2017 to Mar 28, 2018
      • Other offices · unset to 1.0
        Mar 29, 2017 to Mar 28, 2018
      • Private funds · 2 to unset
        Mar 29, 2017 to Mar 28, 2018
      • Discretionary RAUM · $27.9M to $28.4M
        Mar 29, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 28398447.0
        Mar 29, 2017 to Mar 28, 2018
      • RAUM · $27.9M to $28.4M
        Mar 29, 2017 to Mar 28, 2018
      • Accounts · 2 to 3
        Apr 27, 2016 to Mar 29, 2017
      • Assets in custody · $27.6M to $27.9M
        Apr 27, 2016 to Mar 29, 2017
      • Discretionary RAUM · $26.7M to $27.9M
        Apr 27, 2016 to Mar 29, 2017
      • RAUM · $26.7M to $27.9M
        Apr 27, 2016 to Mar 29, 2017
      • BD registered reps · 3 to 2
        Mar 28, 2016 to Apr 27, 2016
      • Employees · 5 to 4
        Mar 28, 2016 to Apr 27, 2016
      • State-registered IARs · 2 to 1
        Mar 28, 2016 to Apr 27, 2016
      • Discretionary RAUM · $27.6M to $26.7M
        Aug 14, 2015 to Mar 28, 2016
      • RAUM · $27.6M to $26.7M
        Aug 14, 2015 to Mar 28, 2016
      • Assets in custody · $28.1M to $27.6M
        Jan 2, 2015 to Feb 23, 2015
      • Discretionary RAUM · $29.0M to $27.6M
        Jan 2, 2015 to Feb 23, 2015
      • RAUM · $29.0M to $27.6M
        Jan 2, 2015 to Feb 23, 2015
      • Related adviser · false to true
        Jan 2, 2015 to Feb 23, 2015
      • Accounts · 4 to 2
        Dec 16, 2014 to Jan 2, 2015
      • Advisory employees · 1 to 2
        Oct 29, 2014 to Dec 16, 2014
      • Employees · 4 to 5
        Oct 29, 2014 to Dec 16, 2014
      • State-registered IARs · 1 to 2
        Oct 29, 2014 to Dec 16, 2014
      • Discretionary RAUM · $28.1M to $29.0M
        Oct 17, 2014 to Oct 29, 2014
      • RAUM · $28.1M to $29.0M
        Oct 17, 2014 to Oct 29, 2014
      • Accounts · 3 to 4
        Apr 10, 2014 to Oct 17, 2014
      • Assets in custody · unset to 28107354.0
        Apr 10, 2014 to Oct 17, 2014
      • Custody of client assets · false to true
        Apr 10, 2014 to Oct 17, 2014
      • HQ city · 60 BROAD STREET to NEW YORK
        Apr 10, 2014 to Oct 17, 2014
      • Private funds · 3 to 2
        Apr 10, 2014 to Oct 17, 2014
      • Related adviser · true to false
        Apr 10, 2014 to Oct 17, 2014
      • Related broker-dealer · true to false
        Apr 10, 2014 to Oct 17, 2014
      • Business name · S•••••• W••••• M••••••••• L•• to S•••••• I••••••••• M•••••••••
        Apr 7, 2014 to Apr 10, 2014
      • Accounts · 0 to 3
        Mar 26, 2014 to Apr 7, 2014
      • Advisory employees · 4 to 1
        Mar 26, 2014 to Apr 7, 2014
      • BD registered reps · 1 to 3
        Mar 26, 2014 to Apr 7, 2014
      • State-registered IARs · 4 to 1
        Mar 26, 2014 to Apr 7, 2014
      Signals
      1 dated events
      • S•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 2, 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