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•••••••••

Former SEC-registered adviserSausalito, CaliforniaCRD 283174SEC 801-107562IAPD
Legal name S••••••••• L••
Latest filing Jun 30, 2017
First filing on the tape Mar 28, 2016 · 6 filings
RAUM
$110M
reported, Item 5.F
Discretionary
0.0%
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$250M gross assets
History
6 filings and snapshots on the tape
RAUM$110M as of Jun 30, 2017
Mar 28, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 30, 2017
Mar 28, 20161 then
Employees (5.A)2 as of Jun 30, 2017
Mar 28, 20162 then
Private funds2 as of Jun 30, 2017
Mar 28, 20162 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 30, 2017; every figure names its basis
RAUM per advisor
$110MderivedRAUM 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
$110MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%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
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, fixed fees, performance-basedreportedItem 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
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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••••• A•••••• F••• ••••••• L••Real Estate Fund$125M1Mar 28, 2016
      S••••••••• R••• E••••• F••• ••••••• L••Real Estate Fund$125M1Mar 28, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• M••••• D•••••• · Managing Partner, Europecontrol
        since 03/2016 · owns 50% to 75%
      • P•••• G••••••• N••••••• · Chief Compliance Officercontrol
        since 03/2016 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Jul 18, 2016 to Mar 31, 2017
      • Advisory activities · 1 to 2
        Jul 18, 2016 to Mar 31, 2017
      • Employees · 3 to 2
        Jul 18, 2016 to Mar 31, 2017
      • Insurance-licensed employees · 1 to 0
        Jul 18, 2016 to Mar 31, 2017
      • HQ city · SAN FRANCISCO to SAUSALITO
        Jul 18, 2016 to Mar 31, 2017
      • Discretionary RAUM · $250M to $0
        Jul 18, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $0 to $110M
        Jul 18, 2016 to Mar 31, 2017
      • RAUM · $250M to $110M
        Jul 18, 2016 to Mar 31, 2017
      • Accounts · 0 to 2
        Apr 4, 2016 to Jul 18, 2016
      • Employees · 2 to 3
        Apr 4, 2016 to Jul 18, 2016
      • Discretionary RAUM · $0 to $250M
        Apr 4, 2016 to Jul 18, 2016
      • RAUM · $0 to $250M
        Apr 4, 2016 to Jul 18, 2016
      Signals
      1 dated events
      • Serendipequity filed its initial SEC registration (Form ADV)
        Mar 28, 2016 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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
      Across the graphs

      S••••••••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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