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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SEC-registered adviser
S••••••••• I••••••••• L••••••
Latest filing Mar 31, 2026
First filing on the tape Nov 13, 2014 · 34 filings
SEC status approved since Nov 25, 2014
RAUM
$24B
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
15
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$24B as of Mar 31, 2026
Jan 2, 2015$12B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jan 2, 20150 then
Employees (5.A)0 as of Mar 31, 2026
Jan 2, 20150 then
Private funds15 as of Mar 31, 2026
Jan 2, 20154 then
RAUM +13% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $553MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 27%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
- +13%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, portfolio management for investment companiesreportedItem 5.G
- Custody
- $16B, 23 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$17B72%
- Sovereign wealth funds$4.7B20%
- Pension and profit-sharing plans$1.7B7.3%
- Investment companies$290M1.2%
- Banks and thrifts$13.8M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 43reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $16B for 23 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.73 institutional_share=0.27 related_bd=false related_bank=true bd_reps=0.0derived
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
28 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- B••••• L•••• M•••• P••••• F•••• · Board Member, Chief Executive Officer, Shareholdercontrolsince 01/2015 · owns 50% to 75%
- D••••• B•••••••• N••• · Board Member, Chief Legal Officer, Chief Compliance Officercontrolsince 10/2014 · owns less than 5%
- R••••• P••• · Board Member, Chief Financial Officer, Chief Operating Officercontrolsince 01/2015 · owns less than 5%
Entity owners
- A••••••••• M••••••• G••••• I••• · Shareholderindirect · owns 75% or more of A•• N•• Y••• H••••••• C•••• · public reporting company
- A•• A••••••• H••••••• L••• · Shareholderindirect · owns 75% or more of A••••• A••••••• H••••••• L•••
- A•• N•• Y••• H••••••• C•••• · Shareholderindirect · owns 75% or more of A•• A••••••• H••••••• L•••
- A••••• A••••••• H••••••• L••• · Shareholderdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- S••••••••• G• I• L••••••pooled vehicle sponsory
- S••••••••• G• I• L••••••pooled vehicle sponsory
- S••••••••• I••••••••• G• L••••••investment adviserbankyRAUM $24B
- S••••••••• I••••••••• S•••••••• P••• L••investment adviserbankyRAUM $24B
- S••••••••• I••••••••• U• L••investment adviserbankyRAUM $24B
Advisers that list S••••••••• I••••••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 45 to 43Mar 31, 2025 to Mar 31, 2026
- Advisory activities · 1 to 2Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 37 to 34Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $16B to $16BMar 31, 2025 to Mar 31, 2026
- Private funds · 17 to 15Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $21B to $24BMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $2.3B to $1.7BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $15B to $17BMar 31, 2025 to Mar 31, 2026
- RAUM · $21B to $24BMar 31, 2025 to Mar 31, 2026
- Accounts · 48 to 45Feb 20, 2025 to Mar 31, 2025
- Pension plan clients · 6.0 to unsetFeb 20, 2025 to Mar 31, 2025
- Pooled vehicle clients · 36 to 37Feb 20, 2025 to Mar 31, 2025
- Assets in custody · $15B to $16BFeb 20, 2025 to Mar 31, 2025
- Financial planning clients · 0 to 0Feb 20, 2025 to Mar 31, 2025
- Private funds · 21 to 17Feb 20, 2025 to Mar 31, 2025
- Discretionary RAUM · $22B to $21BFeb 20, 2025 to Mar 31, 2025
- Pension RAUM · $4.7B to $2.3BFeb 20, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $14B to $15BFeb 20, 2025 to Mar 31, 2025
- RAUM · $22B to $21BFeb 20, 2025 to Mar 31, 2025
- HQ state · unset to Nov 26, 2024 to Feb 20, 2025
- Private funds · 20 to 21Nov 26, 2024 to Feb 20, 2025
- Private funds · 18 to 20Mar 27, 2024 to Nov 26, 2024
- Accounts · 56 to 48Oct 6, 2023 to Mar 27, 2024
- Pension plan clients · 7 to 6Oct 6, 2023 to Mar 27, 2024
- Pooled vehicle clients · 43 to 36Oct 6, 2023 to Mar 27, 2024
- Assets in custody · $27B to $15BOct 6, 2023 to Mar 27, 2024
- Private funds · 21 to 18Oct 6, 2023 to Mar 27, 2024
- Discretionary RAUM · $36B to $22BOct 6, 2023 to Mar 27, 2024
- Pension RAUM · $6.5B to $4.7BOct 6, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $24B to $14BOct 6, 2023 to Mar 27, 2024
- RAUM · $36B to $22BOct 6, 2023 to Mar 27, 2024
- Private funds · 20 to 21Mar 31, 2023 to Oct 6, 2023
- Accounts · 42 to 56Mar 31, 2022 to Mar 31, 2023
- Pension plan clients · unset to 7.0Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 36 to 43Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $16B to $27BMar 31, 2022 to Mar 31, 2023
- Private funds · 19 to 20Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $19B to $36BMar 31, 2022 to Mar 31, 2023
- Pension RAUM · $1.2B to $6.5BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $15B to $24BMar 31, 2022 to Mar 31, 2023
Signals
6 dated events
- S••••••••• I••••••••• L•••••• reported RAUM $22.3B, down 39% from $36.3B (2023-10-06 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- S••••••••• I••••••••• L•••••• reported RAUM $36.3B, up 95% from $18.6B (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- S••••••••• I••••••••• L•••••• reported RAUM $18.6B, up 52% from $12.3B (2022-01-18 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Edward Michael Platt (Limited Partner) no longer on Schedule A of S••••••••• I••••••••• L•••••• (listed 2021-11-05, absent 2022-01-18)Jan 18, 2022 · Control person left · inference
- S••••••••• I••••••••• L•••••• reported RAUM $11.3B, up 32% from $8.6B (2019-04-25 to 2020-03-24)Mar 24, 2020 · RAUM change · derived
- S••••••••• I••••••••• L•••••• filed its initial SEC registration (Form ADV)Nov 13, 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
- Firm profile
- LINKEDIN.COM/COMPANY/S•••••••••-INVESTMENTSreportedpublic record, Form ADV, Sep 19, 2026
- Website
- S•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 44(0)1534 841 090reportedpublic record, Form ADV, Mar 31, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026