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••• A•••• M••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Apr 21, 2021 · 22 filings
SEC status approved since May 21, 2021
RAUM
$231M
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
74%
$171M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$231M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$231M as of Mar 25, 2026
Mar 31, 2022$92.9M then
HNW client RAUM$168M as of Mar 25, 2026
Mar 31, 2022$70.5M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 31, 20222 then
Employees (5.A)2 as of Mar 25, 2026
Mar 31, 20222 then
Private funds2 as of Mar 25, 2026
May 2, 20232 then
RAUM +9.2% over the last fiscal year+31% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $231MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.9MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 70%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $20.3M, 6 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
- 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$168M73%
- Charitable organizations$29.5M13%
- Pooled investment vehicles$21.5M9.3%
- Corporations and businesses$9.8M4.2%
- Individuals$2.4M1.1%
- Individual clients
- 5reported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 122reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $20.3M for 6 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.74 fund_share=0.09 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• Y• L•• | Austin, Tx | Jun 16, 2015 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••• M••••••••• F•••• L• | Hedge Fund | $6.9M | 14 | Feb 27, 2023 |
| S••• C••••• F•••• L• | Hedge Fund | $3.6M | 10 | Feb 27, 2023 |
Owners and control persons
Schedule A and B, latest filing
- L••• S•••••• Y• · Managing Member / Ccocontrolsince 03/2015 · owns 75% or more
Related persons
Schedule D 7.A
- S••• C••••• G•• L•pooled vehicle sponsory
- S••• M••••••••• G•• L•pooled vehicle sponsory
Advisers that list S••• A•••• M••••••••• L•• as a related person
- 331788 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 25, 2026performance-based compensation (Item 5.E.6): no on the filing of 2025-02-27, yes on the filing of 2026-03-25peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 150 to 122Feb 27, 2025 to Mar 25, 2026
- HNW clients · 14 to 17Feb 27, 2025 to Mar 25, 2026
- Individual clients · unset to 5.0Feb 27, 2025 to Mar 25, 2026
- Discretionary RAUM · $141M to $163MFeb 27, 2025 to Mar 25, 2026
- HNW RAUM · $158M to $168MFeb 27, 2025 to Mar 25, 2026
- Individual RAUM · $3.6M to $2.4MFeb 27, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $70.8M to $68.6MFeb 27, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $14.2M to $21.5MFeb 27, 2025 to Mar 25, 2026
- RAUM · $212M to $231MFeb 27, 2025 to Mar 25, 2026
- Related adviser · false to trueFeb 27, 2025 to Mar 25, 2026
- Accounts · 111 to 150Sep 20, 2024 to Feb 27, 2025
- Advisory employees · 1 to 2Sep 20, 2024 to Feb 27, 2025
- HNW clients · 13 to 14Sep 20, 2024 to Feb 27, 2025
- Individual clients · 5.0 to unsetSep 20, 2024 to Feb 27, 2025
- Assets in custody · unset to 20335856.0Sep 20, 2024 to Feb 27, 2025
- Custody of client assets · false to trueSep 20, 2024 to Feb 27, 2025
- Employees · 1 to 2Sep 20, 2024 to Feb 27, 2025
- Insurance-licensed employees · 0 to 1Sep 20, 2024 to Feb 27, 2025
- Financial planning clients · 0 to 0Sep 20, 2024 to Feb 27, 2025
- State-registered IARs · 1 to 2Sep 20, 2024 to Feb 27, 2025
- Discretionary RAUM · $132M to $141MSep 20, 2024 to Feb 27, 2025
- HNW RAUM · $56.5M to $158MSep 20, 2024 to Feb 27, 2025
- Individual RAUM · $2.6M to $3.6MSep 20, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $6.0M to $70.8MSep 20, 2024 to Feb 27, 2025
- Pooled vehicle RAUM · $10.5M to $14.2MSep 20, 2024 to Feb 27, 2025
- RAUM · $138M to $212MSep 20, 2024 to Feb 27, 2025
- Accounts · 67 to 111Oct 12, 2023 to Mar 18, 2024
- Advisory employees · 2 to 1Oct 12, 2023 to Mar 18, 2024
- HNW clients · 12 to 13Oct 12, 2023 to Mar 18, 2024
- Individual clients · 6 to 5Oct 12, 2023 to Mar 18, 2024
- Pooled vehicle clients · unset to 2.0Oct 12, 2023 to Mar 18, 2024
- Employees · 2 to 1Oct 12, 2023 to Mar 18, 2024
- Financial planning clients · 11-25 to 0Oct 12, 2023 to Mar 18, 2024
- State-registered IARs · 2 to 1Oct 12, 2023 to Mar 18, 2024
- Discretionary RAUM · $104M to $132MOct 12, 2023 to Mar 18, 2024
- HNW RAUM · $43.1M to $56.5MOct 12, 2023 to Mar 18, 2024
- Individual RAUM · $6.2M to $2.6MOct 12, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $0 to $6.0MOct 12, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · unset to 10453969.0Oct 12, 2023 to Mar 18, 2024
- RAUM · $104M to $138MOct 12, 2023 to Mar 18, 2024
Signals
4 dated events
- K Leo Acheson (Partner/Cco) no longer on Schedule A of S••• A•••• M••••••••• L•• (listed 2023-06-21, absent 2023-10-12)Oct 12, 2023 · Control person left · inference
- S••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jun 2, 2023 · Succession (Item 4) · fact
- K Leo Acheson (Partner/Cco) appeared on Schedule A of S••• A•••• M••••••••• L••Mar 31, 2022 · Control person joined · fact
- S••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 21, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••• A•••• M••••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- sam@svrn.coreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 773-442-2294reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/svrn-asset-management-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- S•••.COreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 773-442-2294reportedpublic record, Form ADV, Mar 25, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $231Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026