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••••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 172958SEC 801-80382IAPD
Latest filing Sep 26, 2014
First filing on the tape Sep 18, 2014 · 2 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$0 as of Sep 26, 2014
Sep 18, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Sep 26, 2014
Sep 18, 20142 then
Employees (5.A)3 as of Sep 26, 2014
Sep 18, 20143 then
Private funds2 as of Sep 26, 2014
Sep 18, 20142 then
Practice profile
derived from the filing of Sep 26, 2014; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
0reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••••• A•••••• F••• L••Private Equity Fund$03Sep 18, 2014
      S••••••••• B•• H•••••• L••Private Equity Fund$03Sep 18, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • P•••• G••••••• N• · Managing Partner, Chief Compliance Officercontrol
        since 03/2014 · owns less than 5%
      • P•••• G••••••• N• · Managing Director, 46% Ownercontrol
        since 03/2014 · owns 25% to 50% of S••••••••• C•••••• P•••••••• L••
      • S•••••••• T••••••• E••• · 46% Owner, Business Manager Only
        since 03/2014 · owns 25% to 50% of S••••••••• C•••••• P•••••••• L••
      Entity owners
      • S••••••••• C•••••• P•••••••• L•• · 91% Owner Of S••••••••• L••, The Investment Advisory Firm
        direct · owns 75% or more
      • S••••••••• L••• · 8% Owner Of S••••••••• L•• The Investment Advisory Firm
        direct · 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
      One filing, no change to show.
      Signals
      1 dated events
      • S••••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 18, 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