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••••• D••••• C•••••• P•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jun 29, 2021 · 11 filings
SEC status approved since Jul 29, 2021
RAUM
$519M
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
10
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$519M as of Mar 26, 2026
Mar 30, 2022$275M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 30, 20220 then
Employees (5.A)10 as of Mar 26, 2026
Mar 30, 20228 then
Private funds10 as of Mar 26, 2026
Mar 30, 20223 then
RAUM +25% over the last fiscal year+27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $57.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- +25%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 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$519M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• C•••••• P••••••• I••• L••• | Private Equity Fund | $261M | 103 | Mar 31, 2021 |
| S••••• C•••••• P••••••• I•• L••• | Private Equity Fund | $63.4M | 58 | Mar 27, 2015 |
| S••••• O••••••••• S•••••• L••• •••••• 2• | Private Equity Fund | $8.4M | 25 | Mar 29, 2023 |
| S••••• O••••••••• S•••••• L••• •••••• 3• | Private Equity Fund | $6.7M | 21 | Mar 28, 2024 |
| S••••••••• L••no longer reported | Private Equity Fund | $3.5M | 7 | Mar 27, 2017 |
| S••••• O••••••••• S•••••• L••• •••••• 1•••• | Private Equity Fund | $1.6M | 1 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- G•••• M••••••• D•••••• · Chief Operating Officercontrolsince 01/2019 · owns less than 5%
- K••••• G•••••• H••••• · Member, Co-Presidentcontrolsince 03/2010 · owns 25% to 50%
- S••••• T•••••• A••• · Member And Co-Presidentcontrolsince 03/2010 · owns 50% to 75%
- T••••• J•••• F•••• · Partnercontrolsince 07/2020 · owns less than 5%
- D••••••••• M•••• J••••• · Chief Compliance Officersince 11/2023 · owns less than 5%
Related persons
Schedule D 7.A
- B•••• S••••• J•• L••investment advisery
- B••••••••• D••••• G•• L••pooled vehicle sponsory
- S••••• D••••• G• I•• L••pooled vehicle sponsory
- S••••• D••••• G• I••• L••pooled vehicle sponsorn
- S••••• O••••••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 9Mar 27, 2025 to Mar 26, 2026
- Advisory employees · 9 to 8Mar 27, 2025 to Mar 26, 2026
- Pooled vehicle clients · 7 to 9Mar 27, 2025 to Mar 26, 2026
- Employees · 12 to 10Mar 27, 2025 to Mar 26, 2026
- Private funds · 7 to 10Mar 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $414M to $519MMar 27, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $414M to $519MMar 27, 2025 to Mar 26, 2026
- RAUM · $414M to $519MMar 27, 2025 to Mar 26, 2026
- Accounts · 5 to 7Mar 28, 2024 to Mar 27, 2025
- Advisory employees · 7 to 9Mar 28, 2024 to Mar 27, 2025
- Pooled vehicle clients · 5 to 7Mar 28, 2024 to Mar 27, 2025
- Employees · 9 to 12Mar 28, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 27, 2025
- Private funds · 5 to 7Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $341M to $414MMar 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $341M to $414MMar 28, 2024 to Mar 27, 2025
- RAUM · $341M to $414MMar 28, 2024 to Mar 27, 2025
- Related adviser · true to falseMar 28, 2024 to Mar 27, 2025
- Accounts · 4 to 5Nov 14, 2023 to Mar 28, 2024
- Pooled vehicle clients · 4 to 5Nov 14, 2023 to Mar 28, 2024
- Private funds · 4 to 5Nov 14, 2023 to Mar 28, 2024
- Discretionary RAUM · $254M to $341MNov 14, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $254M to $341MNov 14, 2023 to Mar 28, 2024
- RAUM · $254M to $341MNov 14, 2023 to Mar 28, 2024
- Accounts · 3 to 4Apr 14, 2022 to Mar 29, 2023
- Advisory employees · 6 to 7Apr 14, 2022 to Mar 29, 2023
- Pooled vehicle clients · 3 to 4Apr 14, 2022 to Mar 29, 2023
- Employees · 8 to 9Apr 14, 2022 to Mar 29, 2023
- Private funds · 3 to 4Apr 14, 2022 to Mar 29, 2023
- Discretionary RAUM · $275M to $254MApr 14, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $275M to $254MApr 14, 2022 to Mar 29, 2023
- RAUM · $275M to $254MApr 14, 2022 to Mar 29, 2023
- Accounts · 2 to 3Oct 6, 2021 to Mar 30, 2022
- Advisory employees · 4 to 6Oct 6, 2021 to Mar 30, 2022
- Pooled vehicle clients · 2 to 3Oct 6, 2021 to Mar 30, 2022
- Employees · 5 to 8Oct 6, 2021 to Mar 30, 2022
- Private funds · 2 to 3Oct 6, 2021 to Mar 30, 2022
- Discretionary RAUM · $203M to $275MOct 6, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $203M to $275MOct 6, 2021 to Mar 30, 2022
- RAUM · $203M to $275MOct 6, 2021 to Mar 30, 2022
Signals
4 dated events
- S••••• D••••• C•••••• P•••••••• L•• reported RAUM $519.1M, up 25% from $414.0M (2025-03-27 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- Frank John Tower (Partner) appeared on Schedule A of S••••• D••••• C•••••• P•••••••• L••Mar 30, 2022 · Control person joined · fact
- Douglas Matthew Good (Chief Operating Officer) appeared on Schedule A of S••••• D••••• C•••••• P•••••••• L••Mar 30, 2022 · Control person joined · fact
- S••••• D••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• D••••• C•••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••• D••••• C•••••• P•••••••• L•• · Private Equityshared crd · organization
- S••••• D••••• C•••••• P•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/3335566reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••://WWW.B•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 443-873-3561reportedpublic record, Form ADV, Mar 26, 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