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••••• A• I••••••••• L••

Former SEC-registered adviserAlden, IowaCRD 171443SEC 801-80146IAPD
Latest filing Aug 19, 2014
First filing on the tape Jul 25, 2014 · 4 filings
RAUM
$163M
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
5
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$91.4M gross assets
History
4 filings and snapshots on the tape
RAUM$163M as of Aug 19, 2014
Jul 25, 2014$163M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 19, 2014
Jul 25, 20140 then
Employees (5.A)5 as of Aug 19, 2014
Jul 25, 20145 then
Private funds5 as of Aug 19, 2014
Jul 25, 20145 then
Practice profile
derived from the filing of Aug 19, 2014; 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
$32.6MderivedRAUM 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
unknownderivedbetween 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
$163M, 5 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)
  • 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
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$163M for 5 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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••• A• F••• I• L••Private Equity Fund$36.7M44Jul 25, 2014
      S••••• P••• I• L••Private Equity Fund$23.1M16Jul 25, 2014
      S••••• B•••••• L••Private Equity Fund$17.4M43Jul 25, 2014
      S••••• A• F••• I•• L••Private Equity Fund$14.2M46Jul 25, 2014
      S••••• B••••• R••••••••• I• L••Private Equity Fund$048Jul 25, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••••• J•••••• L••• · Chief Compliance Officercontrol
        since 08/2012 · owns less than 5%
      • R••••••••• B••••• L•• · Ceo/Managing Membercontrol
        since 09/2011 · owns less than 5%
      • R••••••••• B••••• L•• · Managing Membercontrol
        since 09/2011 · owns 75% or more of S••••• G••••• L••
      Entity owners
      • S••••• G••••• L•• · Member
        direct · owns 75% or more
      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
      One filing, no change to show.
      Signals
      1 dated events
      • S••••• A• I••••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 25, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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