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

C•••• S•••• M••••••••• L••

Former SEC-registered adviserWilton, ConnecticutCRD 284343SEC 801-108349IAPD
Latest filing Mar 25, 2020
First filing on the tape Aug 29, 2016 · 7 filings
RAUM
$135M
reported, Item 5.F
Discretionary
98%
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$132M gross assets
History
7 filings and snapshots on the tape
RAUM$135M as of Mar 25, 2020
Mar 27, 2017$234M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2020
Mar 27, 20170 then
Employees (5.A)2 as of Mar 25, 2020
Mar 27, 20173 then
Private funds2 as of Mar 25, 2020
Mar 27, 20173 then
RAUM -24% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
$27.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%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
-24%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 pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$135M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••• S•••• D••••••••• O••••••••• F•••• L••• W••• R•••••• T• S••••• 1•Hedge Fund$53.4M4Jan 4, 2017
      C•••• S•••• D••••••••• O••••••••• F•••• L••• W••• R•••••• T• S••••• 3•Hedge Fund$19.5M10Jan 4, 2017
      C•••• S•••• D••••••••• O••••••••• F•••• L••• W••• R•••••• T• S••••• 2•no longer reportedHedge Fund$14.5M2Jan 4, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • D•••• D••••• M•••••• · Manager / Co-Chief Investment Officercontrol
        since 06/2016 · owns less than 5%
      • F••••••• H••••• L••••• · Chief Compliance Officercontrol
        since 06/2016 · owns less than 5%
      • G•••••• A•••• Y•••• · Manager / Co-Chief Investment Officercontrol
        since 06/2016 · owns less than 5%
      • F••••••• H••••• L••••• · Trusteecontrol
        since 06/2016 · owns F of T•• S••• O• K•••••• T•••• V•
      • S•••••• T•••••• J•••• · Trusteecontrol
        since 06/2016 · owns F of T•• S••• O• K•••••• T•••• V•
      Entity owners
      • S••••••• M••••••••• L• · Managing Member
        direct · owns 75% or more
      • S••••••• M••••••••• G• L•• · General Partner
        indirect · owns F of S••••••• M••••••••• L•
      • S••••• A•••• M••••••••• L•• · Shareholder
        indirect · owns 75% or more of S••••• Management Inc
      • S••••• M••••••••• I••• · Managing Member
        indirect · owns 75% or more of S••••••• M••••••••• G• L••
      • S••••• M••••••••• I••• · Limited Partner
        indirect · owns 75% or more of S••••••• M••••••••• L•
      • T•• S••• O• K•••••• T•••• V• · Member
        indirect · owns 75% or more of S••••• A•••• M••••••••• L••
      Related persons
      Schedule D 7.A
      • C•••• S•••• C•••••• P••••••• L••
        pooled vehicle sponsorn
      • S••••••• N•••• A•••••• L••
        investment adviserbankn
      • S••••• A•••• M••••••••• L•
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Mar 29, 2019 to Mar 25, 2020
      • Corporate clients · 0.0 to unset
        Mar 29, 2019 to Mar 25, 2020
      • Custody of client assets · false to true
        Mar 29, 2019 to Mar 25, 2020
      • Employees · 3 to 2
        Mar 29, 2019 to Mar 25, 2020
      • Discretionary RAUM · $173M to $132M
        Mar 29, 2019 to Mar 25, 2020
      • Non-discretionary RAUM · $4.6M to $3.3M
        Mar 29, 2019 to Mar 25, 2020
      • Pooled vehicle RAUM · $178M to $135M
        Mar 29, 2019 to Mar 25, 2020
      • RAUM · $178M to $135M
        Mar 29, 2019 to Mar 25, 2020
      • Advisory employees · 4 to 3
        Mar 27, 2018 to Mar 29, 2019
      • Employees · 4 to 3
        Mar 27, 2018 to Mar 29, 2019
      • Discretionary RAUM · $238M to $173M
        Mar 27, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $3.5M to $4.6M
        Mar 27, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $241M to $178M
        Mar 27, 2018 to Mar 29, 2019
      • RAUM · $241M to $178M
        Mar 27, 2018 to Mar 29, 2019
      • Accounts · 7 to 5
        Sep 29, 2017 to Mar 27, 2018
      • Advisory employees · 3 to 4
        Sep 29, 2017 to Mar 27, 2018
      • Charity clients · unset to 0.0
        Sep 29, 2017 to Mar 27, 2018
      • Corporate clients · unset to 0.0
        Sep 29, 2017 to Mar 27, 2018
      • HNW clients · unset to 0.0
        Sep 29, 2017 to Mar 27, 2018
      • Individual clients · unset to 0.0
        Sep 29, 2017 to Mar 27, 2018
      • Pension plan clients · unset to 0.0
        Sep 29, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 5.0
        Sep 29, 2017 to Mar 27, 2018
      • Custody of client assets · true to false
        Sep 29, 2017 to Mar 27, 2018
      • Employees · 3 to 4
        Sep 29, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Sep 29, 2017 to Mar 27, 2018
      • Private funds · 3 to 2
        Sep 29, 2017 to Mar 27, 2018
      • Discretionary RAUM · $224M to $238M
        Sep 29, 2017 to Mar 27, 2018
      • Non-discretionary RAUM · $10.0M to $3.5M
        Sep 29, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 241382157.0
        Sep 29, 2017 to Mar 27, 2018
      • RAUM · $234M to $241M
        Sep 29, 2017 to Mar 27, 2018
      • Accounts · 6 to 7
        Jan 4, 2017 to Mar 27, 2017
      • Employees · 4 to 3
        Jan 4, 2017 to Mar 27, 2017
      • Discretionary RAUM · $145M to $224M
        Jan 4, 2017 to Mar 27, 2017
      • Non-discretionary RAUM · $0 to $10.0M
        Jan 4, 2017 to Mar 27, 2017
      • RAUM · $145M to $234M
        Jan 4, 2017 to Mar 27, 2017
      • Accounts · 0 to 6
        Aug 29, 2016 to Jan 4, 2017
      • Advisory employees · 2 to 3
        Aug 29, 2016 to Jan 4, 2017
      • Advisory activities · 3 to 1
        Aug 29, 2016 to Jan 4, 2017
      • Assets in custody · unset to 0.0
        Aug 29, 2016 to Jan 4, 2017
      • Custody of client assets · false to true
        Aug 29, 2016 to Jan 4, 2017
      Signals
      1 dated events
      • C•••• S•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 29, 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