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••••••• L••
Latest filing May 6, 2026
First filing on the tape Apr 19, 2024 · 6 filings
SEC status approved since Jun 6, 2024
RAUM
$249M
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
10
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
12
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$249M as of May 6, 2026
Jan 6, 2025$121M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 6, 2026
Jan 6, 20250 then
Employees (5.A)10 as of May 6, 2026
Jan 6, 202510 then
Private funds12 as of May 6, 2026
Jan 6, 20256 then
RAUM +40% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 6, 2026; 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
- $17.8MderivedRAUM 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
- +35%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $239M, 12 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 custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$249M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $239M for 12 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• L•••••••• C•••••• P••••••• X• L••• | Hedge Fund | $84.0M | 376 | Nov 17, 2023 |
| S•• I••••••• O••••••••• F••• I•• L•• | Private Equity Fund | $15.1M | 0 | Mar 8, 2019 |
| S•• E••••• R••••• P••••••• I• •••••••• L••• | Private Equity Fund | $12.9M | 0 | Jan 4, 2018 |
| C•••• O•••• A••••••• F••• I• ••••• L••• | Private Equity Fund | $9.4M | 0 | Mar 8, 2019 |
| S•• A••• C•••••••• O••••••••• F••• V••• L••• | Hedge Fund | $0 | 0 | Mar 7, 2024 |
| O• R••• E••••• T•• A••••••••• C••••• F••• ••••• L•• | Real Estate Fund | $0 | 0 | Mar 8, 2019 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• R••••• H••••• · Cco And Ceocontrolsince 06/2016 · owns less than 5%
- F•••••••• R••••• H••••• · Membercontrolsince 06/2016 · owns 75% or more of S•••••••• A••••••••• F•••• G••••• L••
Entity owners
- S•••••••• A••••••••• F•••• G••••• L•• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•• A••••••• L••investment adviserpooled vehicle sponsoryRAUM $249M
- S•• F•••••••• S••••••••• L••broker-dealery
- S•••••••• A••••••••• F•••• G•••• L••pooled vehicle sponsory
Advisers that list S•• A••••••• L•• as a related person
- 284283 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $240M to $249MMar 28, 2026 to May 6, 2026
- Pooled vehicle RAUM · $240M to $249MMar 28, 2026 to May 6, 2026
- RAUM · $240M to $249MMar 28, 2026 to May 6, 2026
- Accounts · 12 to 14Mar 31, 2025 to Mar 28, 2026
- BD registered reps · 0 to 3Mar 31, 2025 to Mar 28, 2026
- Pooled vehicle clients · 12 to 14Mar 31, 2025 to Mar 28, 2026
- Assets in custody · unset to 239456895.0Mar 31, 2025 to Mar 28, 2026
- Custody of client assets · false to trueMar 31, 2025 to Mar 28, 2026
- Private funds · 10 to 12Mar 31, 2025 to Mar 28, 2026
- Discretionary RAUM · $178M to $240MMar 31, 2025 to Mar 28, 2026
- Pooled vehicle RAUM · $178M to $240MMar 31, 2025 to Mar 28, 2026
- RAUM · $178M to $240MMar 31, 2025 to Mar 28, 2026
- Accounts · 6 to 12Jan 6, 2025 to Mar 31, 2025
- Pooled vehicle clients · 6 to 12Jan 6, 2025 to Mar 31, 2025
- Financial planning clients · unset to Jan 6, 2025 to Mar 31, 2025
- Private funds · 6 to 10Jan 6, 2025 to Mar 31, 2025
- Discretionary RAUM · $121M to $178MJan 6, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $121M to $178MJan 6, 2025 to Mar 31, 2025
- RAUM · $121M to $178MJan 6, 2025 to Mar 31, 2025
- HQ city · unset to Jun 5, 2024 to Jan 6, 2025
- HQ state · unset to Jun 5, 2024 to Jan 6, 2025
- HQ city · PALM BEACH to unsetApr 19, 2024 to Jun 5, 2024
- HQ state · FL to unsetApr 19, 2024 to Jun 5, 2024
- Private funds · 12 to 6Apr 19, 2024 to Jun 5, 2024
Signals
1 dated events
- S•• A••••••• L•• filed its initial SEC registration (Form ADV)Apr 19, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•• A••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-202-2800reportedpublic record, Form ADV, May 6, 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
- Asset manager (funds and pooled vehicles)deriveda 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•• A••••••• L•• 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.
Checking your plan…