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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Former SEC-registered adviser

S••••••••• F••••••••• L••

Former SEC-registered adviserSan Diego, CaliforniaCRD 170908SEC 801-79589IAPD
Latest filing Apr 5, 2016
First filing on the tape Apr 3, 2014 · 13 filings
RAUM
$38.9M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$38.9M as of Mar 9, 2016
Feb 19, 2015$20.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 9, 2016
Feb 19, 20152 then
Employees (5.A)3 as of Mar 9, 2016
Feb 19, 20153 then
Private funds: no history
RAUM +86% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Apr 5, 2016; every figure names its basis
RAUM per advisor
$19.5MderivedRAUM 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
$49,943derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+86%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • 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
779reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • G••••• A•••• K•••• · Managing Member, Chief Investment Officercontrol
    since 09/2014 · owns 75% or more
  • Y••••• J•••• R•••••• · Chief Compliance Officercontrol
    since 11/2014 · owns less than 5%
Related persons
Schedule D 7.A
Advisers that list S••••••••• F••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 780 to 779
    Apr 17, 2015 to Mar 9, 2016
  • Discretionary RAUM · $41.5M to $38.9M
    Apr 17, 2015 to Mar 9, 2016
  • RAUM · $41.5M to $38.9M
    Apr 17, 2015 to Mar 9, 2016
  • Accounts · 331 to 780
    Feb 19, 2015 to Apr 17, 2015
  • Discretionary RAUM · $20.9M to $41.5M
    Feb 19, 2015 to Apr 17, 2015
  • RAUM · $20.9M to $41.5M
    Feb 19, 2015 to Apr 17, 2015
  • Advisory employees · 3 to 2
    Jan 27, 2015 to Feb 19, 2015
  • State-registered IARs · 3 to 2
    Jan 27, 2015 to Feb 19, 2015
  • Accounts · 0 to 331
    Nov 21, 2014 to Jan 27, 2015
  • Discretionary RAUM · $0 to $20.9M
    Nov 21, 2014 to Jan 27, 2015
  • RAUM · $0 to $20.9M
    Nov 21, 2014 to Jan 27, 2015
  • Accounts · unset to 0.0
    Oct 11, 2014 to Oct 14, 2014
  • Advisory employees · 1 to 3
    Oct 11, 2014 to Oct 14, 2014
  • Employees · 1 to 3
    Oct 11, 2014 to Oct 14, 2014
  • State-registered IARs · 0 to 3
    Oct 11, 2014 to Oct 14, 2014
  • Discretionary RAUM · unset to 0.0
    Oct 11, 2014 to Oct 14, 2014
  • Non-discretionary RAUM · unset to 0.0
    Oct 11, 2014 to Oct 14, 2014
  • RAUM · unset to 0.0
    Oct 11, 2014 to Oct 14, 2014
  • Business name · S••••• A•••••••• L•• to S••••••••• F••••••••• L••
    Sep 18, 2014 to Oct 3, 2014
  • Legal name · S••••• A•••••••• L•• to S••••••••• F••••••••• L••
    Sep 18, 2014 to Oct 3, 2014
  • Advisory employees · 0 to 1
    Apr 3, 2014 to Sep 18, 2014
  • BD registered reps · 1 to 0
    Apr 3, 2014 to Sep 18, 2014
  • Insurance-licensed employees · 1 to 0
    Apr 3, 2014 to Sep 18, 2014
  • HQ city · ALBANY to SAN DIEGO
    Apr 3, 2014 to Sep 18, 2014
  • HQ state · NY to CA
    Apr 3, 2014 to Sep 18, 2014
  • Related broker-dealer · true to false
    Apr 3, 2014 to Sep 18, 2014
Signals
1 dated events
  • S••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Apr 3, 2014 · 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