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S••••••••• I••••••••• M••••••••• L•••

Former SEC-registered adviserFormer SEC adviser1 private funds· Palo Alto, California

Former SEC-registered adviser, based in Palo Alto, California, reporting $320M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$320M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+8.7%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 6 Form ADV filings for this adviser, the latest 9.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 179520 · SEC 801-93174 · 6 filingsShow
CRD 179520SEC 801-93174First filing on the tape Apr 10, 2015, latest Mar 31, 2017IAPD
RAUM
$320M
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
6
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$320M gross assets
History
6 filings and snapshots on the tape
RAUM$320M as of Mar 31, 2017
Mar 25, 2016$295M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 25, 20160 then
Employees (5.A)6 as of Mar 31, 2017
Mar 25, 201610 then
Private funds1 as of Mar 31, 2017
Mar 25, 20161 then
RAUM +8.7% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$107MderivedRAUM 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
+8.7%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
Custody
yesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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)
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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••••• M••••• F•••• L•••Hedge Fund$320M54Jul 31, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • W••••• A•••• M•••••• · Chief Investment Officer / Limited Partnercontrol
        since 01/2015 · owns 75% or more
      • W••••• A•••• M•••••• · Managing Membercontrol
        since 01/2015 · owns 75% or more of S••••••••• I••••••••• M••••••••• G•• L••
      • B••••••• R••••• C•••••••• · President & Director Of Research
        since 03/2015 · owns 5% to 10%
      • G••••••••• L•••• M•••• · Chief Compliance Officer
        since 12/2016 · owns less than 5%
      • H•••• M•••••• S••• F••• · Chief Financial Officer
        since 06/2016 · owns less than 5%
      • R•••• C•••••• J•••• · Managing Director/Partner
        since 01/2017 · owns 5% to 10%
      • S•••• R••••• P•••••• · Managing Director/Partner
        since 01/2017 · owns 5% to 10%
      • Z••••• M••••••• R•••• · Managing Director/Partner
        since 01/2017 · owns 5% to 10%
      Entity owners
      • S••••••••• I••••••••• M••••••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • S••••••••• F••• G•• L••
        pooled vehicle sponsorn
      • S••••••••• I••••••••• M••••••••• G•• L••
        y
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 7 to 6
        Jan 3, 2017 to Mar 31, 2017
      • Discretionary RAUM · $321M to $320M
        Jan 3, 2017 to Mar 31, 2017
      • RAUM · $321M to $320M
        Jan 3, 2017 to Mar 31, 2017
      • Advisory employees · 6 to 5
        Jun 21, 2016 to Jan 3, 2017
      • Employees · 10 to 7
        Jun 21, 2016 to Jan 3, 2017
      • Discretionary RAUM · $295M to $321M
        Jun 21, 2016 to Jan 3, 2017
      • RAUM · $295M to $321M
        Jun 21, 2016 to Jan 3, 2017
      • Employees · 12 to 10
        Jul 31, 2015 to Mar 25, 2016
      • Discretionary RAUM · $247M to $295M
        Jul 31, 2015 to Mar 25, 2016
      • RAUM · $247M to $295M
        Jul 31, 2015 to Mar 25, 2016
      • Accounts · 0 to 3
        Apr 10, 2015 to Jul 31, 2015
      • Assets in custody · unset to 0.0
        Apr 10, 2015 to Jul 31, 2015
      • Custody of client assets · false to true
        Apr 10, 2015 to Jul 31, 2015
      • Employees · 11 to 12
        Apr 10, 2015 to Jul 31, 2015
      • Private funds · unset to 1
        Apr 10, 2015 to Jul 31, 2015
      • Discretionary RAUM · $0 to $247M
        Apr 10, 2015 to Jul 31, 2015
      • RAUM · $0 to $247M
        Apr 10, 2015 to Jul 31, 2015
      Signals
      1 dated events
      • ••• Locked
        Apr 10, 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