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••••••• S••••••••
Legal name S••••••• M••••• A•••• M••••••••• ••••••••• P••• L••••••
Latest filing Mar 30, 2016
First filing on the tape Apr 22, 2015 · 4 filings
RAUM
$80.0M
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
8
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$80.0M as of Mar 30, 2016
Apr 22, 2015$32.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Apr 22, 20150 then
Employees (5.A)8 as of Mar 30, 2016
Apr 22, 20158 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2016; 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
- $40.0MderivedRAUM 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
- 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-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
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
- 2reported
- Financial planning clients
- 0reported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• J•••• · Chief Compliance Officercontrolsince 10/2014 · owns less than 5%
- C•••• N••• K•• E•••• · Directorcontrolsince 03/2016 · owns less than 5%
- C•••••• M•••••• J•••• · Chief Executive Officer And Directorcontrolsince 12/2015 · owns less than 5%
- L••• P••••••• S• A•••• · Directorcontrolsince 03/2016 · owns less than 5%
- O•••• A••••••••• B•••• · Directorcontrolsince 10/2014 · owns less than 5%
- P••••••••• S••••• B••••• · Directorcontrolsince 07/2015 · owns less than 5%
- S••••••••• D••• · Directorcontrolsince 02/2016 · owns less than 5%
- Y•• C•••• M•• · Compliance And Risk Directorcontrolsince 10/2014 · owns less than 5%
Entity owners
- B•• M••••• I••••••••• M•••••••• ••••• H••••••• L•••••• · Sole Shareholderdirect · owns 75% or more
- B•• M••••• I••••••••• M••••••••• A••• L• · Sole Shareholderindirect · owns 75% or more of Bny M••••• Investment Management (A•••) Holdings L••••••
- M•• I••••••••• C••••••••• · Shareholderindirect · owns 75% or more of B•• M••••• I••••••••• M••••••••• A••• L•
- T•• B••• O• N•• Y••• M••••• C••••••••• · Sole Shareholderindirect · owns 75% or more of M•• I••••••••• C••••••••• · public reporting company
Related persons
Schedule D 7.A
- Benefit Street Partners L••••••investment adviserbankpooled vehicle sponsornRAUM $23B
- Bsp Ny LLCinvestment adviserbankpooled vehicle sponsornRAUM $14B
- A•••••• C•••••• M••••••••• L••investment adviserbanknRAUM $545M
- A•• I••••••••• L•••investment adviserbanknRAUM $1.9B
- B•• M••••• A••••••••• D• A••••• L•••investment advisern
- B•• M••••• A••••••• D• P••••••••• L•••investment advisern
- Bny M••••• Investment Management J•••• L••••••investment advisernRAUM $32B
- B•• M••••• A•••• M•••••••• C••••• L••••••broker-dealerinvestment adviserpooled vehicle sponsorn
- B•• M••••• B•••• S•••n
- B•• M••••• C•••••• M•••••• E••• L••••••broker-dealerinvestment adviserbankn
- B•• M••••• C•••••• M••••••• L••broker-dealern
- B•• M••••• F••• M••••••• L••••••investment advisern
- B•• M••••• G••••• M••••••••• L••••••investment adviserpooled vehicle sponsorn
- B•• M••••• I• K•••• L••••••investment advisern
- B•• M••••• I••••••••• M••••••••• L••••••investment adviserpooled vehicle sponsorn
- B•• M••••• I••••••••• M••••••••• C••••• L••investment adviserpooled vehicle sponsornRAUM $10B
- B•• M••••• I••••••••• M••••••••• E••• L••••••broker-dealerinvestment adviserpooled vehicle sponsorn
- B•• M••••• I••••••••• M••••••••• H••• K••• L••••••broker-dealerinvestment adviserpooled vehicle sponsorn
- B•• M••••• I••••••••• M••••••••• S•••••••• P••• L••••••investment advisernRAUM $78.5M
- B•• M••••• I••••••••• M•••••••• A•••••••• L••••••broker-dealerinvestment advisern
- B•• M••••• M•••••• I••••••••• L••••••investment advisern
- B•• M••••• N••••••• A•••••••••investment advisern
- B•• M••••• S••••••• F••••••••• D••••••••• D• T•••••• E• V•••••• M••••••••• ••••• S•••broker-dealerinvestment advisern
- B•• M••••• T•••• C•••••• •••••••• L••••••custodiann
- B•• M••••• T•••• C•••••• O• I•••••••n
- B•• M••••• T•••• O• D•••••••investment advisern
- B•• M••••• W••••• M•••••••• A••••••• S••••••• I•••broker-dealerinvestment adviserbankpooled vehicle sponsorn
- C••••••••• I••••••••• M••••••••• H•••••••• I•••investment adviserpooled vehicle sponsornRAUM $577M
- C••••••••• I••••••••• M••••••••• I•••investment adviserpooled vehicle sponsornRAUM $7.9B
- C••• M••••• G••••• S••••••••• C••••••n
Advisers that list S••••••• S•••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 2Dec 2, 2015 to Mar 30, 2016
- Discretionary RAUM · $32.3M to $80.0MDec 2, 2015 to Mar 30, 2016
- RAUM · $32.3M to $80.0MDec 2, 2015 to Mar 30, 2016
Signals
1 dated events
- S••••••• S•••••••• filed its initial SEC registration (Form ADV)Apr 22, 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.
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