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••••••• R••••• I•••••••• L••
Latest filing Mar 17, 2017
First filing on the tape Sep 9, 2014 · 5 filings
RAUM
$200M
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
4
$95.0M gross assets
History
5 filings and snapshots on the tape
RAUM$200M as of Mar 17, 2017
Mar 27, 2015$150M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2017
Mar 27, 20150 then
Employees (5.A)2 as of Mar 17, 2017
Mar 27, 20152 then
Private funds4 as of Mar 17, 2017
Mar 27, 20154 then
RAUM +0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 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
- $5.0MderivedRAUM 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
- +0.0%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- 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
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
- 40reported
- Financial planning clients
- 26-50reported
- 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
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• R••• I•• I••• | Other Private Fund | $28.7M | 58 | Sep 9, 2014 |
| S••••••• D••••• I•• L•• | Real Estate Fund | $26.6M | 31 | Nov 3, 2017 |
| S••••••• 7• M••••• F•••• L•• | Real Estate Fund | $22.2M | 15 | Mar 31, 2022 |
| S••••••• V• L•• A•• S••••••• V• L••••• L•• | Real Estate Fund | $15.2M | 14 | Mar 15, 2018 |
| S••••••• S•••••• I••••• F••• I• L••• | Real Estate Fund | $5.3M | 5 | Sep 9, 2014 |
| S••••••• F••• I•• L•• A•• S••••••• R••• I•• I•• | Other Private Fund | $5.0M | 54 | Sep 9, 2014 |
| S••••••• S•••••• I••••• R•••• I••• | Real Estate Fund | $3.1M | 17 | Sep 9, 2014 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• M•••• T••••• · Co-Founder And Managing Membercontrolsince 08/2014 · owns 50% to 75%
- H••••••• M••••••• Y••••• · Co-Founder, Chief Compliance Officer And Managing Membercontrolsince 08/2014 · owns 50% to 75%
Related persons
Schedule D 7.A
- S••••••• P••••••• A••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · 95000000.0 to unsetFeb 1, 2016 to Mar 17, 2017
- Custody of client assets · true to falseFeb 1, 2016 to Mar 17, 2017
- HQ city · LAKE FOREST to CHICAGOJan 27, 2016 to Feb 1, 2016
- Discretionary RAUM · $150M to $0Mar 27, 2015 to Jan 27, 2016
- Non-discretionary RAUM · $0 to $200MMar 27, 2015 to Jan 27, 2016
- RAUM · $150M to $200MMar 27, 2015 to Jan 27, 2016
- Accounts · 4 to 40Sep 9, 2014 to Mar 27, 2015
- Financial planning clients · unset to 26-50Sep 9, 2014 to Mar 27, 2015
- Discretionary RAUM · $95.0M to $150MSep 9, 2014 to Mar 27, 2015
- RAUM · $95.0M to $150MSep 9, 2014 to Mar 27, 2015
Signals
1 dated events
- S••••••• R••••• I•••••••• L•• filed its initial SEC registration (Form ADV)Sep 9, 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.
How to reach
public business contact points only, each with its source
- Website
- S•••••••INVESTORS.COMreportedpublic record, Form ADV, Sep 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
- 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
Across the graphs
S••••••• R••••• I•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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