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•• I•••••••••

Former SEC-registered adviserNew York, New YorkCRD 171542SEC 801-79851IAPD
Legal name S•• I••••••••• L••
Latest filing Mar 30, 2017
First filing on the tape May 27, 2014 · 6 filings
RAUM
$152M
reported, Item 5.F
Discretionary
0.0%
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$152M as of Mar 30, 2017
Mar 17, 2015$57.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 17, 20150 then
Employees (5.A)2 as of Mar 30, 2017
Mar 17, 20152 then
Private funds: no history
RAUM +82% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2017; 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
$30.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
+82%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 businesses and institutionsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.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
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••• M••••••• W•••• · Portfolio Managercontrol
        since 04/2014 · owns less than 5%
      • V••••••••• R••••••• R••••• · Portfolio Managercontrol
        since 04/2014 · owns less than 5%
      • M••••••• M••••••• W•••• · Membercontrol
        since 07/2010 · owns 75% or more of R••••••••• C•••••• L••
      • V••••••••• R••••••• R••••• · Membercontrol
        since 07/2013 · owns 75% or more of A••••• S••••••••• A••••••• L••
      • K•••• K•••••• · Chief Compliance Officer
        since 03/2017 · owns less than 5%
      Entity owners
      • A••••• S••••••••• A••••••• L•• · Member
        direct · owns 25% to 50%
      • R••••••••• C•••••• L•• · Elected Manager, Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 5
        Mar 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · $83.8M to $0
        Mar 29, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $0 to $152M
        Mar 29, 2016 to Mar 30, 2017
      • RAUM · $83.8M to $152M
        Mar 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · $57.0M to $83.8M
        Mar 17, 2015 to Mar 29, 2016
      • RAUM · $57.0M to $83.8M
        Mar 17, 2015 to Mar 29, 2016
      • Accounts · 2 to 1
        Sep 8, 2014 to Mar 17, 2015
      • Advisory employees · 3 to 2
        Sep 8, 2014 to Mar 17, 2015
      • Employees · 3 to 2
        Sep 8, 2014 to Mar 17, 2015
      • Discretionary RAUM · $39.7M to $57.0M
        Sep 8, 2014 to Mar 17, 2015
      • RAUM · $39.7M to $57.0M
        Sep 8, 2014 to Mar 17, 2015
      • Accounts · 0 to 2
        Jun 24, 2014 to Sep 8, 2014
      • Discretionary RAUM · $0 to $39.7M
        Jun 24, 2014 to Sep 8, 2014
      • RAUM · $0 to $39.7M
        Jun 24, 2014 to Sep 8, 2014
      Signals
      1 dated events
      • S•• I••••••••• filed its initial SEC registration (Form ADV)
        May 27, 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