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•••••••

Former SEC-registered adviserNew York, New YorkCRD 283769SEC 801-107855IAPD
Legal name S••• A••••••• L••
Latest filing May 15, 2020
First filing on the tape May 12, 2016 · 5 filings
RAUM
$1.8M
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
64
29 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$1.8M as of May 15, 2020
Mar 30, 2017$1.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 15, 2020
Mar 30, 20170 then
Employees (5.A)64 as of May 15, 2020
Mar 30, 201775 then
Private funds: no history
RAUM -27% over the last fiscal year+13% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of May 15, 2020; 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
$1.8MderivedRAUM 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
-27%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 investment companiesreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$1.8M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• R••••••• T••••• · Chief Financial Officercontrol
        since 07/2011 · owns less than 5%
      • T••••• S•••• B••••• · Chief Executive Officercontrol
        since 07/2011 · owns less than 5%
      • T••••• B••••• B••••• · Trusteecontrol
        since 09/2014 · owns F of B•••• T•••• T••••
      • T••••• S•••• B••••• · Trusteecontrol
        since 09/2014 · owns F of S••• & A•••• T•••• Trust
      • F••••••••• J•••• D••••• · General Counsel And Chief Compliance Officer
        since 03/2014 · owns less than 5%
      Entity owners
      • M••••• L•• · Managing Member
        direct · owns 75% or more
      • B•••• T•••• T•••• · Member
        indirect · owns 25% to 50% of M••••• L••
      • M••••• M••••••••• I••• · Managing Member
        indirect · owns F of M••••• L•• · public reporting company
      • S••• A•• A•••• T•••• T•••• · Member
        indirect · owns 25% to 50% of M••••• L••
      • S•••••••• C•••••• A••••••• S•••••••• L•• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • M•• A••••••• L••
        investment advisernRAUM $432M
      • M••• G• L••
        pooled vehicle sponsorn
      • M••• M••••••••• L••
        investment advisern
      • M••••• ••••••• G• L••
        pooled vehicle sponsorn
      • M••••• ••••••• M••••••••• L••
        investment advisern
      • M••••• C•••••• L••
        investment advisernRAUM $1.8B
      • M••••• S•• A••••••• L••
        investment advisern
      • M•• I• G• L••
        pooled vehicle sponsorn
      • M•• I• M••••••••• L••
        investment advisern
      • M•• I•• G• L••
        pooled vehicle sponsorn
      • M•• I•• M••••••••• L••
        investment advisern
      • M•• I•• O••••••• G• L••
        pooled vehicle sponsorn
      • S•• A••••••• L••
        investment advisernRAUM $678M
      • S•• A••••••• L••
        investment advisern
      Advisers that list S••• A••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 32 to 29
        Mar 31, 2019 to May 15, 2020
      • Employees · 67 to 64
        Mar 31, 2019 to May 15, 2020
      • Other offices · 1 to 0
        Mar 31, 2019 to May 15, 2020
      • Discretionary RAUM · $2.5M to $1.8M
        Mar 31, 2019 to May 15, 2020
      • RAUM · $2.5M to $1.8M
        Mar 31, 2019 to May 15, 2020
      • Advisory employees · 45 to 32
        Mar 30, 2018 to Mar 31, 2019
      • Employees · 85 to 67
        Mar 30, 2018 to Mar 31, 2019
      • Discretionary RAUM · $3.9M to $2.5M
        Mar 30, 2018 to Mar 31, 2019
      • RAUM · $3.9M to $2.5M
        Mar 30, 2018 to Mar 31, 2019
      • Related bank · false to true
        Mar 30, 2018 to Mar 31, 2019
      • Employees · 75 to 85
        Mar 30, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Mar 30, 2018
      • Discretionary RAUM · $1.2M to $3.9M
        Mar 30, 2017 to Mar 30, 2018
      • RAUM · $1.2M to $3.9M
        Mar 30, 2017 to Mar 30, 2018
      • Accounts · 0 to 1
        May 12, 2016 to Mar 30, 2017
      • Advisory employees · 40 to 45
        May 12, 2016 to Mar 30, 2017
      • Employees · 60 to 75
        May 12, 2016 to Mar 30, 2017
      • Discretionary RAUM · $0 to $1.2M
        May 12, 2016 to Mar 30, 2017
      • RAUM · $0 to $1.2M
        May 12, 2016 to Mar 30, 2017
      Signals
      1 dated events
      • S••• A••••••• filed its initial SEC registration (Form ADV)
        May 12, 2016 · 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