DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

S••••• A•••• M••••••••• L•

Former SEC-registered adviserRed Bank, New JerseyCRD 283861SEC 801-114005IAPD
Latest filing Apr 12, 2019
First filing on the tape Aug 20, 2018 · 4 filings
RAUM
$197M
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
12
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$62.0M gross assets
History
4 filings and snapshots on the tape
RAUM$197M as of Apr 12, 2019
Aug 20, 2018$150M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 12, 2019
Aug 20, 20180 then
Employees (5.A)12 as of Apr 12, 2019
Aug 20, 201812 then
Private funds2 as of Apr 12, 2019
Aug 20, 20182 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 12, 2019; 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
$32.8MderivedRAUM 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
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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$63.0M, 4 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
  • 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)
  • 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
  • Pooled investment vehicles$197M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$63.0M for 4 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••• C••••• O••••••••• F•••• L••Hedge Fund$47.0M12Dec 17, 2018
      S••••• E••••• M••••• N•••••• F••• L•Hedge Fund$15.0M7Jul 15, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• P•••• A•••••• · Limited Partner/Chief Investment Officercontrol
        since 10/2017 · owns 10% to 25%
      • D••••••• R•••••• E•••• · Limited Partner/Portfolio Managercontrol
        since 01/2016 · owns 10% to 25%
      • K••••• M••••••••• B•• · Limited Partner/Chief Compliance Officer/Chief Operating Officercontrol
        since 10/2017 · owns less than 5%
      • M••••••• H•••••• T•••• G••••• O•••••• · Limited Partner/Portfolio Managercontrol
        since 09/2017 · owns 10% to 25%
      • S•••••• W••••••• G••• · Managing Membercontrol
        since 01/2016 · owns 50% to 75% of P••• S••• C••••••• L••
      Entity owners
      • P••• S••• C••••••• L•• · Strategic Partner
        direct · owns 10% to 25%
      • S••••• A•••• M••••••••• G• L•• · General Partner
        direct · owns less than 5%
      • M•••••• G••• S••••• T•••• · Member
        indirect · owns 25% to 50% of P••• S••• C••••••• L••
      Related persons
      Schedule D 7.A
      • S••••• A•••• P••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 6
        Mar 29, 2019 to Apr 12, 2019
      • Pooled vehicle clients · 4 to 6
        Mar 29, 2019 to Apr 12, 2019
      • Discretionary RAUM · $227M to $197M
        Mar 29, 2019 to Apr 12, 2019
      • Pooled vehicle RAUM · $63.0M to $197M
        Mar 29, 2019 to Apr 12, 2019
      • RAUM · $227M to $197M
        Mar 29, 2019 to Apr 12, 2019
      • Accounts · 3 to 7
        Dec 17, 2018 to Mar 29, 2019
      • Advisory employees · 6 to 7
        Dec 17, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 2 to 4
        Dec 17, 2018 to Mar 29, 2019
      • Assets in custody · $195M to $63.0M
        Dec 17, 2018 to Mar 29, 2019
      • Employees · 11 to 12
        Dec 17, 2018 to Mar 29, 2019
      • Discretionary RAUM · $61.8M to $227M
        Dec 17, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $100M to $0
        Dec 17, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $61.8M to $63.0M
        Dec 17, 2018 to Mar 29, 2019
      • RAUM · $162M to $227M
        Dec 17, 2018 to Mar 29, 2019
      • Accounts · 2 to 3
        Aug 20, 2018 to Dec 17, 2018
      • Assets in custody · $40.0M to $195M
        Aug 20, 2018 to Dec 17, 2018
      • Employees · 12 to 11
        Aug 20, 2018 to Dec 17, 2018
      • Discretionary RAUM · $150M to $61.8M
        Aug 20, 2018 to Dec 17, 2018
      • Non-discretionary RAUM · $0 to $100M
        Aug 20, 2018 to Dec 17, 2018
      • Pooled vehicle RAUM · $150M to $61.8M
        Aug 20, 2018 to Dec 17, 2018
      • RAUM · $150M to $162M
        Aug 20, 2018 to Dec 17, 2018
      Signals
      2 dated events
      • Justin Michael Mccarty (Limited Partner) no longer on Schedule A of S••••• A•••• M••••••••• L• (listed 2019-03-29, absent 2019-04-12)
        Apr 12, 2019 · Control person left · inference
      • S••••• A•••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Aug 20, 2018 · 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