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••••• H•••••••• L•••
Latest filing Mar 27, 2026
First filing on the tape Jun 26, 2019 · 10 filings
SEC status approved since Jul 26, 2019
RAUM
$563M
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
12
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$563M as of Mar 27, 2026
May 14, 2020$222M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
May 14, 20200 then
Employees (5.A)12 as of Mar 27, 2026
May 14, 20207 then
Private funds10 as of Mar 27, 2026
May 14, 20205 then
RAUM +16% over the last fiscal year+17% 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
- $56.3MderivedRAUM 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
- +16%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
- 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)
- 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$563M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• M•• P•••••••• L•• | Other Private Fund | $77.6M | 5 | Mar 31, 2021 |
| S••••• C•••••• C• I••••••••• L•• | Other Private Fund | $70.2M | 5 | Mar 29, 2019 |
| S••••• C•••••• F••• I• Q•• L••• | Private Equity Fund | $57.4M | 23 | Mar 31, 2023 |
| S••••• C•••••• F••• I••• L••• | Private Equity Fund | $50.7M | 94 | Sep 6, 2016 |
| S•• I••••• S••••••••• F•••• L••• | Private Equity Fund | $40.7M | 2 | Jun 26, 2019 |
| S••••• P••••••• P•••••••• L•• | Other Private Fund | $22.1M | 5 | Mar 28, 2024 |
| S•• I•••• S••••••••• F•••• L••• | Private Equity Fund | $21.9M | 2 | Mar 31, 2023 |
| S••••• C•••••• F••• I•• L••• | Private Equity Fund | $3.9M | 7 | Mar 31, 2023 |
| S••••• W• I••••••••• L•••no longer reported | Private Equity Fund | $1.0M | 16 | Jan 8, 2014 |
| S••••• W• I••••••••• I•• L•••no longer reported | Private Equity Fund | $388,050 | 8 | Jan 8, 2014 |
| S••••• C•••••• F••• I•• L••• | Private Equity Fund | $299,477 | 18 | Jan 8, 2014 |
| S••••• W• I••••••••• I•• L•••no longer reported | Private Equity Fund | $237,900 | 13 | Jan 8, 2014 |
| S••••• C•••••• L••••••• I••••••••• L••no longer reported | Other Private Fund | $108,648 | 3 | Mar 2, 2015 |
| S••••• W• I••••••••• I••• L•••no longer reported | Private Equity Fund | $103,050 | 8 | Jan 8, 2014 |
Owners and control persons
Schedule A and B, latest filing
- C•••• M••••••• L•••••• · Senior Vice President And Chief Financial Officercontrolsince 03/2006 · owns less than 5%
- M•••••• J•••• W•••••• · Managing Partner And Sole Limited Partnercontrolsince 08/2002 · owns 75% or more
- T•••• T••••••• L•••• N•••••• · Counsel And Chief Compliance Officercontrolsince 06/2018 · owns less than 5%
- M•••••• J•••• W•••••• · Ownercontrolsince 08/2002 · owns 75% or more of S••••• I••••••••• I•••
Entity owners
- S••••• I••••••••• I••• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 9 to 10Mar 28, 2025 to Mar 27, 2026
- Advisory employees · 11 to 10Mar 28, 2025 to Mar 27, 2026
- Pooled vehicle clients · 9 to 10Mar 28, 2025 to Mar 27, 2026
- Employees · 13 to 12Mar 28, 2025 to Mar 27, 2026
- Private funds · 9 to 10Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $487M to $563MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $487M to $563MMar 28, 2025 to Mar 27, 2026
- RAUM · $487M to $563MMar 28, 2025 to Mar 27, 2026
- Advisory employees · 10 to 11Aug 21, 2024 to Mar 28, 2025
- Employees · 11 to 13Aug 21, 2024 to Mar 28, 2025
- Financial planning clients · unset to Aug 21, 2024 to Mar 28, 2025
- Discretionary RAUM · $345M to $487MAug 21, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $345M to $487MAug 21, 2024 to Mar 28, 2025
- RAUM · $345M to $487MAug 21, 2024 to Mar 28, 2025
- Accounts · 8 to 9Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 9 to 10Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 8 to 9Mar 31, 2023 to Mar 28, 2024
- Employees · 10 to 11Mar 31, 2023 to Mar 28, 2024
- Private funds · 8 to 9Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $355M to $345MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $355M to $345MMar 31, 2023 to Mar 28, 2024
- RAUM · $355M to $345MMar 31, 2023 to Mar 28, 2024
- Accounts · 6 to 8Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 10 to 9Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 6 to 8Mar 31, 2022 to Mar 31, 2023
- Private funds · 6 to 8Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $253M to $355MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $253M to $355MMar 31, 2022 to Mar 31, 2023
- RAUM · $253M to $355MMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $357M to $253MApr 7, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $357M to $253MApr 7, 2021 to Mar 31, 2022
- RAUM · $357M to $253MApr 7, 2021 to Mar 31, 2022
- Accounts · 5 to 6May 14, 2020 to Mar 31, 2021
- Advisory employees · 6 to 10May 14, 2020 to Mar 31, 2021
- Pooled vehicle clients · 5 to 6May 14, 2020 to Mar 31, 2021
- Employees · 7 to 10May 14, 2020 to Mar 31, 2021
- Private funds · 5 to 6May 14, 2020 to Mar 31, 2021
- Discretionary RAUM · $222M to $357MMay 14, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $222M to $357MMay 14, 2020 to Mar 31, 2021
- RAUM · $222M to $357MMay 14, 2020 to Mar 31, 2021
Signals
6 dated events
- S••••• H•••••••• L••• reported RAUM $486.9M, up 41% from $345.0M (2024-08-21 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- H. Ron Klein (Managing Director) no longer on Schedule A of S••••• H•••••••• L••• (listed 2024-03-28, absent 2024-08-21)Aug 21, 2024 · Control person left · inference
- S••••• H•••••••• L••• reported RAUM $355.0M, up 41% from $252.5M (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- S••••• H•••••••• L••• reported RAUM $252.5M, down 29% from $356.7M (2021-04-07 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S••••• H•••••••• L••• reported RAUM $356.7M, up 61% from $221.5M (2020-05-14 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- S••••• H•••••••• L••• filed its initial SEC registration (Form ADV)Jun 26, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• H•••••••• L••• · Independent Sponsorsshared crd · capital_provider
- S••••• H•••••••• L••• · Private Equityshared crd · organization
- S••••• H•••••••• L••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S•••••HOLDINGS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-292-4150reportedpublic 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