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•••••• A•••• M••••••••• L••
Latest filing Mar 27, 2025
First filing on the tape Dec 17, 2015 · 19 filings
SEC status approved since Jan 13, 2016
RAUM
$15B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.4%
$204M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
24
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$15B as of Mar 27, 2025
Mar 24, 2016$8.4B then
HNW client RAUM$204M as of Mar 27, 2025
Mar 29, 2019$253M then
State-registered IARs (5.B.3)0 as of Mar 27, 2025
Mar 24, 20160 then
Employees (5.A)24 as of Mar 27, 2025
Mar 24, 201618 then
Private funds: no history
RAUM -2.0% over the last fiscal year-3.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2025; 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
- $51.0MderivedHNW RAUM over HNW clients
- Average account
- $1.0BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 95%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
- -2.0%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$14B94%
- Other investment advisers$406M2.7%
- High-net-worth individuals$204M1.4%
- Pooled investment vehicles$188M1.3%
- Charitable organizations$126M0.8%
- Individual clients
- n/areported
- HNW clients
- 4reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 15reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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••••• P••••••• C••••••••• · Directorcontrolsince 10/2013 · owns less than 5%
- D••••••• K•••••• P•••••• · Chief Executive Officercontrolsince 03/2008 · owns less than 5%
- K••••••• I•••• M•••• A••••• · Directorcontrolsince 02/2024 · owns less than 5%
- M•••••• R••• · Directorcontrolsince 06/2019 · owns less than 5%
- S••••••••• R•••• · Chairman And Directorcontrolsince 01/2019 · owns less than 5%
- W•••••••• D••••• J••• · Chief Compliance Officercontrolsince 11/2013 · owns less than 5%
- D••••••••• A••••• R•••• · Trusteecontrolsince 10/2013 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- D••••••••• P•••• G•• · Trusteecontrolsince 10/2013 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- D•••• G•••• A••••• · Trusteecontrolsince 05/2023 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- F••••••• G••••••• J•••• · Trusteecontrolsince 02/2024 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- D••••••••• S•••••• C••••••• · Trustee, Non-Votingsince 03/2018 · owns F of T•• D•••••••• F••••• R•••••••• T••••
Entity owners
- T•• C••••• L••• G•••• ••• L•••••• · Sole Proprietordirect · owns 75% or more
- C••••• L••• C•••••• C••••••••• I••• · Shareholderindirect · owns 75% or more of C••••• L••• I••••••••• H••••••• L••••••
- C••••• L••• I••••••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of T•• C••••• L••• G•••• ••• L••••••
- G••••••••• L••••• I••• · Shareholderindirect · owns 75% or more of T•• C••••• L••• A•••••••• C••••••
- P•••••• H•••••• I••• · Shareholderindirect · owns 50% to 75% of P•••• C••••••••• O• C•••••
- P•••• C••••••••• O• C••••• · Shareholderindirect · owns 75% or more of D••••••••• S•••••• C•••••••
- P•••• F•••••••• C••••••••• · Shareholderindirect · owns 50% to 75% of P•••••• H•••••• I•••
- T•• C••••• L••• A•••••••• C•••••• · Shareholderindirect · owns 75% or more of C••••• L••• C•••••• C••••••••• I•••
- T•• D•••••••• F••••• R•••••••• T•••• · Shareholderindirect · owns 75% or more of P•••••• H•••••• I•••
Related persons
Schedule D 7.A
- Keyridge Asset Management L••••••investment advisernRAUM $163B
Advisers that list S•••••• A•••• M••••••••• L•• as a related person
- 175204 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 19 to 15Feb 28, 2025 to Mar 27, 2025
- Advisory employees · 15 to 18Feb 28, 2025 to Mar 27, 2025
- Charity clients · 4 to 1Feb 28, 2025 to Mar 27, 2025
- HNW clients · 5 to 4Feb 28, 2025 to Mar 27, 2025
- Employees · 21 to 24Feb 28, 2025 to Mar 27, 2025
- Financial planning clients · 0 to 0Feb 28, 2025 to Mar 27, 2025
- Discretionary RAUM · $15B to $15BFeb 28, 2025 to Mar 27, 2025
- HNW RAUM · $238M to $204MFeb 28, 2025 to Mar 27, 2025
- Pooled vehicle RAUM · $208M to $188MFeb 28, 2025 to Mar 27, 2025
- RAUM · $15B to $15BFeb 28, 2025 to Mar 27, 2025
- HQ state · unset to Apr 10, 2024 to Feb 28, 2025
- Organization form · Limited Liability Company to Other (specify)Apr 10, 2024 to Feb 28, 2025
- Accounts · 22 to 19Mar 29, 2023 to Mar 27, 2024
- HNW clients · 6 to 5Mar 29, 2023 to Mar 27, 2024
- Employees · 20 to 21Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $14B to $15BMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $368M to $238MMar 29, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $199M to $208MMar 29, 2023 to Mar 27, 2024
- RAUM · $14B to $15BMar 29, 2023 to Mar 27, 2024
- Accounts · 21 to 22May 13, 2022 to Mar 29, 2023
- Advisory employees · 12 to 15May 13, 2022 to Mar 29, 2023
- HNW clients · 5 to 6May 13, 2022 to Mar 29, 2023
- Employees · 17 to 20May 13, 2022 to Mar 29, 2023
- Discretionary RAUM · $17B to $14BMay 13, 2022 to Mar 29, 2023
- HNW RAUM · $505M to $368MMay 13, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $236M to $199MMay 13, 2022 to Mar 29, 2023
- RAUM · $17B to $14BMay 13, 2022 to Mar 29, 2023
- Accounts · 20 to 21Jun 10, 2021 to Mar 29, 2022
- Charity clients · 3 to 4Jun 10, 2021 to Mar 29, 2022
- Discretionary RAUM · $15B to $17BJun 10, 2021 to Mar 29, 2022
- HNW RAUM · $465M to $505MJun 10, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $223M to $236MJun 10, 2021 to Mar 29, 2022
- RAUM · $15B to $17BJun 10, 2021 to Mar 29, 2022
- Employees · 13 to 17Mar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $14B to $15BMar 30, 2020 to Mar 30, 2021
- HNW RAUM · $464M to $465MMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $210M to $223MMar 30, 2020 to Mar 30, 2021
- RAUM · $14B to $15BMar 30, 2020 to Mar 30, 2021
- Accounts · 17 to 20Jan 6, 2020 to Mar 30, 2020
- HNW clients · 3 to 5Jan 6, 2020 to Mar 30, 2020
Signals
17 dated events
- S•••••• A•••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $15.0B)Feb 2, 2026 · Left the SEC roster · derived
- James Gregory Fleming (Trustee) appeared on Schedule A of S•••••• A•••• M••••••••• L••Apr 10, 2024 · Control person joined · fact
- Padraig Ruairi O'Flynn (Director) no longer on Schedule A of S•••••• A•••• M••••••••• L•• (listed 2023-03-29, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Guy Fortin (Trustee) no longer on Schedule A of S•••••• A•••• M••••••••• L•• (listed 2023-03-29, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- M•••• A••••• I••• K•••••• (Director) appeared on Schedule A of S•••••• A•••• M••••••••• L••Mar 27, 2024 · Control person joined · fact
- Albert Gary Doer (Trustee) appeared on Schedule A of S•••••• A•••• M••••••••• L••Mar 27, 2024 · Control person joined · fact
- Michel Plessis-Belair (Trustee) no longer on Schedule A of S•••••• A•••• M••••••••• L•• (listed 2022-05-13, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Gerard James Keenan (Director) no longer on Schedule A of S•••••• A•••• M••••••••• L•• (listed 2021-03-30, absent 2021-06-10)Jun 10, 2021 · Control person left · inference
- S•••••• A•••• M••••••••• L•• reported RAUM $14.0B, up 26% from $11.1B (2020-01-06 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Francis Michael O'Brien (Director) no longer on Schedule A of S•••••• A•••• M••••••••• L•• (listed 2019-08-16, absent 2020-01-06)Jan 6, 2020 · Control person left · inference
- Timothy Declan Bolger (Director) no longer on Schedule A of S•••••• A•••• M••••••••• L•• (listed 2019-03-29, absent 2019-08-16)Aug 16, 2019 · Control person left · inference
- R•••• S••••••••• (Chairman And Director) appeared on Schedule A of S•••••• A•••• M••••••••• L••Aug 16, 2019 · Control person joined · fact
- R••• M••••• (Director) appeared on Schedule A of S•••••• A•••• M••••••••• L••Aug 16, 2019 · Control person joined · fact
- Gordon Peter Munro (Chairman And Director) no longer on Schedule A of S•••••• A•••• M••••••••• L•• (listed 2019-03-29, absent 2019-08-16)Aug 16, 2019 · Control person left · inference
- Edward William Kyle (Director) no longer on Schedule A of S•••••• A•••• M••••••••• L•• (listed 2019-03-29, absent 2019-08-16)Aug 16, 2019 · Control person left · inference
- Eric John Occleshaw (Director) no longer on Schedule A of S•••••• A•••• M••••••••• L•• (listed 2019-03-29, absent 2019-08-16)Aug 16, 2019 · Control person left · inference
- S•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 17, 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