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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S•••••••• A•••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Jan 21, 2015 · 22 filings
SEC status approved since Feb 17, 2015
RAUM
$6.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$761M
derived; firm RAUM over IAPD count
Employees
18
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$6.9B as of Mar 18, 2026
Mar 29, 2016$100,200 then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 18, 2026
Mar 29, 20161 then
Employees (5.A)18 as of Mar 18, 2026
Mar 29, 20168 then
Private funds: no history
RAUM +86% over the last fiscal year+44% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
- RAUM per advisor
- $761MderivedRAUM 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
- $370,862derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 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 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$6.9B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 18,475reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• A•••••••• M•••••• | Boston, Ma | Feb 18, 2015 | 27 y | 0 |
| W•• Z••••Chartered Financial Analyst | Boston, Ma | Dec 11, 2015 | 13 y | 0 |
| B••••••• C•••• C•••••• | Boston, Ma | Jan 19, 2016 | 12 y | 0 |
| D•••• W• N•••• | Boston, Ma | Jan 30, 2017 | 19 y | 0 |
| S••••• L•••••••• M••••••••• | Boston, Ma | Mar 28, 2017 | 18 y | 0 |
| M••••••• H•••••• | Boston, Ma | Aug 20, 2019 | 14 y | 0 |
| R••••• R••••• L••••• | Boston, Ma | Feb 17, 2021 | 11 y | 0 |
| K•••• G••••• H••••••• | Boston, Ma | May 23, 2024 | 27 y | 0 |
| N•••••••• C••••••• D•••• | Boston, Ma | Apr 23, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• G•••••• A•••••••• · Managing Membercontrolsince 06/2014 · owns less than 5%
- N••••• D••••• W• · Member, Chief Compliance Officercontrolsince 01/2015 · owns less than 5%
- M••••••• G•••••• A•••••••• · Shareholdercontrolsince 04/1999 · owns 50% to 75% of S•••••••• I••
Entity owners
- S•••••••• I•• · Managing Member, Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 18, 2026RAUM (Item 5.F) moved from $3,675,301,359 to $6,851,674,504 (+86.0%) between the annual amendments of 2025-04-24 and 2026-03-18; the peer median change was +13.0% (631 comparable advisers, 94.0th percentile of changes)peers: asset managers, $5B to $20B (631) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 12,408 to 18,475Jun 26, 2025 to Mar 18, 2026
- Employees · 15 to 18Jun 26, 2025 to Mar 18, 2026
- Discretionary RAUM · $3.7B to $6.9BJun 26, 2025 to Mar 18, 2026
- RAUM · $3.7B to $6.9BJun 26, 2025 to Mar 18, 2026
- Financial planning clients · unset to Apr 24, 2025 to Jun 26, 2025
- Discretionary RAUM · $3.7B to $3.7BApr 24, 2025 to Jun 26, 2025
- RAUM · $3.7B to $3.7BApr 24, 2025 to Jun 26, 2025
- Accounts · 10,798 to 12,408Mar 29, 2024 to Apr 24, 2025
- Employees · 13 to 15Mar 29, 2024 to Apr 24, 2025
- State-registered IARs · 6 to 8Mar 29, 2024 to Apr 24, 2025
- Discretionary RAUM · $2.7B to $3.7BMar 29, 2024 to Apr 24, 2025
- RAUM · $2.7B to $3.7BMar 29, 2024 to Apr 24, 2025
- Accounts · 8,998 to 10,798Mar 30, 2023 to Mar 29, 2024
- State-registered IARs · 7 to 6Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.3B to $2.7BMar 30, 2023 to Mar 29, 2024
- RAUM · $2.3B to $2.7BMar 30, 2023 to Mar 29, 2024
- Accounts · 9,503 to 8,998Oct 13, 2022 to Mar 30, 2023
- Employees · 9 to 13Oct 13, 2022 to Mar 30, 2023
- Discretionary RAUM · $2.2B to $2.3BOct 13, 2022 to Mar 30, 2023
- RAUM · $2.2B to $2.3BOct 13, 2022 to Mar 30, 2023
- Accounts · 1,000 to 9,503Mar 31, 2022 to Oct 12, 2022
- Discretionary RAUM · $159M to $2.2BMar 31, 2022 to Oct 12, 2022
- RAUM · $159M to $2.2BMar 31, 2022 to Oct 12, 2022
- Accounts · 2 to 1,000Jul 7, 2021 to Mar 31, 2022
- Discretionary RAUM · $129M to $159MJul 7, 2021 to Mar 31, 2022
- RAUM · $129M to $159MJul 7, 2021 to Mar 31, 2022
- Discretionary RAUM · $108M to $129MMar 31, 2021 to Jul 7, 2021
- RAUM · $108M to $129MMar 31, 2021 to Jul 7, 2021
- Discretionary RAUM · $92.5M to $108MJan 5, 2021 to Mar 31, 2021
- RAUM · $92.5M to $108MJan 5, 2021 to Mar 31, 2021
- Advisory employees · 5 to 4Mar 19, 2020 to Jan 5, 2021
- Advisory activities · 2 to 1Mar 19, 2020 to Jan 5, 2021
- Individual clients · 2.0 to unsetMar 19, 2020 to Jan 5, 2021
- Employees · 7 to 9Mar 19, 2020 to Jan 5, 2021
- State-registered IARs · 6 to 7Mar 19, 2020 to Jan 5, 2021
- Discretionary RAUM · $323,651 to $92.5MMar 19, 2020 to Jan 5, 2021
- Individual RAUM · 323651.0 to unsetMar 19, 2020 to Jan 5, 2021
- RAUM · $323,651 to $92.5MMar 19, 2020 to Jan 5, 2021
- Accounts · 3 to 2Mar 28, 2019 to Mar 19, 2020
- Advisory employees · 4 to 5Mar 28, 2019 to Mar 19, 2020
Signals
4 dated events
- S•••••••• A•••• M••••••••• L•• reported RAUM $6.9B, up 86% from $3.7B (2025-06-26 to 2026-03-18)Mar 18, 2026 · RAUM change · derived
- S•••••••• A•••• M••••••••• L•• reported RAUM $3.7B, up 37% from $2.7B (2024-03-29 to 2025-04-24)Apr 24, 2025 · RAUM change · derived
- S•••••••• A•••• M••••••••• L•• reported RAUM $2.2B, up 1309% from $158.6M (2022-03-31 to 2022-10-12)Oct 12, 2022 · RAUM change · derived
- S•••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 21, 2015 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/smartleaf-asset-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••••••AM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 857-366-9340reportedpublic record, Form ADV, Mar 18, 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
- $761Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026