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.

Former SEC-registered adviser

S••••• P•••• A•••••••• I•••

Former SEC-registered adviserCRD 171342SEC 801-79733IAPD
Latest filing Jun 19, 2020
First filing on the tape May 6, 2014 · 11 filings
RAUM
$21.1M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$21.1M gross assets
History
11 filings and snapshots on the tape
RAUM$20.1M as of Mar 19, 2020
Mar 24, 2015$24.1M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 19, 2020
Mar 24, 20150 then
Employees (5.A)1 as of Mar 19, 2020
Mar 24, 20151 then
Private funds: no history
RAUM +8.8% over the last fiscal year-3.3% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Jun 19, 2020; every figure names its basis
RAUM per advisor
$21.1MderivedRAUM 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
$21.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.6%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
$21.1M, 1 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$21.1M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$21.1M for 1 clientsreported
Compensation
% of AUM, performancereported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••• S•• S•••••••• A••••••••• F•••• L•••Private Equity Fund$21.1M2Apr 16, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • R•••••••• C••••••••• D•••••• · Presidentcontrol
        since 04/2014 · owns 50% to 75%
      • B•••••••• C••••••••• Y• · Shareholder
        since 10/2014 · owns 5% to 10%
      • B•••••••• M••••• A• · Shareholder
        since 10/2014 · owns 5% to 10%
      • M••••••••• B•••• B• · Shareholder
        since 10/2014 · owns 5% to 10%
      • M••••••••• S••••••••• L• · Shareholder
        since 10/2014 · owns 5% to 10%
      • M••••••••• Y••••• A• · Shareholder
        since 10/2014 · owns 5% to 10%
      • R•••••••• H••••• C• · Shareholder
        since 10/2014 · owns 5% to 10%
      • R•••••••• T•••••• G• · Shareholder
        since 10/2014 · owns 5% to 10%
      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
      • Assets in custody · unset to 21066942.0
        May 8, 2020 to Jun 19, 2020
      • Custody of client assets · false to true
        May 8, 2020 to Jun 19, 2020
      • State-registered IARs · 0 to 1
        May 8, 2020 to Jun 19, 2020
      • Discretionary RAUM · $19.2M to $21.1M
        Apr 16, 2020 to May 8, 2020
      • Pooled vehicle RAUM · $19.2M to $21.1M
        Apr 16, 2020 to May 8, 2020
      • RAUM · $19.2M to $21.1M
        Apr 16, 2020 to May 8, 2020
      • Pooled vehicle clients · 0 to 1
        Mar 19, 2020 to Apr 16, 2020
      • Private funds · unset to 1
        Mar 19, 2020 to Apr 16, 2020
      • Discretionary RAUM · $20.1M to $19.2M
        Mar 19, 2020 to Apr 16, 2020
      • Pooled vehicle RAUM · $0 to $19.2M
        Mar 19, 2020 to Apr 16, 2020
      • RAUM · $20.1M to $19.2M
        Mar 19, 2020 to Apr 16, 2020
      • Charity clients · unset to 0.0
        Feb 25, 2019 to Mar 19, 2020
      • Corporate clients · unset to 0.0
        Feb 25, 2019 to Mar 19, 2020
      • HNW clients · unset to 0.0
        Feb 25, 2019 to Mar 19, 2020
      • Individual clients · unset to 0.0
        Feb 25, 2019 to Mar 19, 2020
      • Pension plan clients · unset to 0.0
        Feb 25, 2019 to Mar 19, 2020
      • Pooled vehicle clients · unset to 0.0
        Feb 25, 2019 to Mar 19, 2020
      • Discretionary RAUM · $19.4M to $20.1M
        Feb 25, 2019 to Mar 19, 2020
      • HNW RAUM · unset to 0.0
        Feb 25, 2019 to Mar 19, 2020
      • Individual RAUM · unset to 0.0
        Feb 25, 2019 to Mar 19, 2020
      • Pension RAUM · unset to 0.0
        Feb 25, 2019 to Mar 19, 2020
      • Pooled vehicle RAUM · unset to 0.0
        Feb 25, 2019 to Mar 19, 2020
      • RAUM · $19.4M to $20.1M
        Feb 25, 2019 to Mar 19, 2020
      • Discretionary RAUM · $22.1M to $19.4M
        Feb 27, 2018 to Feb 25, 2019
      • RAUM · $22.1M to $19.4M
        Feb 27, 2018 to Feb 25, 2019
      • Business name · S••••• F•••• A••••••• to S••••• P•••• A•••••••• I•••
        Mar 9, 2017 to Feb 27, 2018
      • Other offices · unset to 0.0
        Mar 9, 2017 to Feb 27, 2018
      • Discretionary RAUM · $23.3M to $22.1M
        Mar 9, 2017 to Feb 27, 2018
      • RAUM · $23.3M to $22.1M
        Mar 9, 2017 to Feb 27, 2018
      • HQ city · LOVETTSVILLE to unset
        Jun 1, 2016 to Mar 9, 2017
      • HQ state · VA to unset
        Jun 1, 2016 to Mar 9, 2017
      • Legal name · S••••• F•••• A•••••••, INC to S••••• P•••• A•••••••• I•••
        Jun 1, 2016 to Mar 9, 2017
      • Discretionary RAUM · $22.4M to $23.3M
        Jun 1, 2016 to Mar 9, 2017
      • RAUM · $22.4M to $23.3M
        Jun 1, 2016 to Mar 9, 2017
      • Discretionary RAUM · $24.1M to $22.4M
        Mar 24, 2015 to Mar 2, 2016
      • RAUM · $24.1M to $22.4M
        Mar 24, 2015 to Mar 2, 2016
      • Accounts · unset to 1.0
        May 6, 2014 to Mar 24, 2015
      • Employees · 2 to 1
        May 6, 2014 to Mar 24, 2015
      • Discretionary RAUM · unset to 24104126.0
        May 6, 2014 to Mar 24, 2015
      • Non-discretionary RAUM · unset to 0.0
        May 6, 2014 to Mar 24, 2015
      Signals
      1 dated events
      • S••••• F•••• A••••••• filed its initial SEC registration (Form ADV)
        May 6, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      S•••••.FUNDreportedpublic record, Form ADV, Sep 21, 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
      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