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•••• I•••••••• L••
Latest filing Apr 9, 2019
First filing on the tape Nov 4, 2016 · 8 filings
RAUM
$33.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
75%
$24.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
43
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$33.0M as of Mar 29, 2019
Mar 17, 2017$6.6M then
HNW client RAUM$4.7M as of Mar 29, 2019
Mar 27, 2018$2.0M then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 17, 20170 then
Employees (5.A)43 as of Mar 29, 2019
Mar 17, 201710 then
Private funds: no history
RAUM +101% over the last fiscal yearIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Apr 9, 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
- $7,441derivedHNW RAUM over HNW clients
- Average account
- $2,339derivedRAUM 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
- +101%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +66%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $33.0MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$19.9M60%
- Corporations and businesses$8.4M25%
- High-net-worth individuals$4.7M14%
- Individual clients
- 13,484reported
- HNW clients
- 636reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14,122reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• V•••••• W•••••• · Chief Operating Officercontrolsince 12/2018 · owns less than 5%
- F•••••• D••••• N••••• W••••• · Chief Executive Officercontrolsince 01/2015 · owns less than 5%
- M••••••••• L•••••• T••••••• · Chief Legal Officercontrolsince 01/2015 · owns less than 5%
- R•••••• C••••• E••••• · Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
Entity owners
- S•••• I•••••••• H•••••• L•• · Managing Memberdirect · owns 75% or more
- P•••••• L••• I•••••••• C•••••• · Managing Memberindirect · owns 75% or more of S•••• I•••••••• H•••••• L••
- P•••••• L••••••• · Ownerindirect · owns 75% or more of P•••••• L••• I•••••••• C••••••
- P•••••• M••••• H•••••• C•••••• · Ownerindirect · owns 75% or more of P•••••• L•••••••
Related persons
Schedule D 7.A
- C•••••• C•••••• M••••••••• L••investment adviserpooled vehicle sponsornRAUM $2.1B
- P•••••• G••••• A••••••• L••investment advisernRAUM $57.1M
- P•••••• L••• F••• A••••••• L••investment adviserbankpooled vehicle sponsornRAUM $43B
- P•••••• L••• I•••••••• C••••••real estatey
- P•••••• P•••••• F••• A••••••• L••investment adviserpooled vehicle sponsornRAUM $12B
- P•••••• S••••• D••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 16,700 to 14,122Jan 14, 2019 to Mar 29, 2019
- Advisory employees · 6 to 4Jan 14, 2019 to Mar 29, 2019
- HNW clients · 349 to 636Jan 14, 2019 to Mar 29, 2019
- Individual clients · 16,700 to 13,484Jan 14, 2019 to Mar 29, 2019
- Employees · 32 to 43Jan 14, 2019 to Mar 29, 2019
- Other offices · 1 to 0Jan 14, 2019 to Mar 29, 2019
- Discretionary RAUM · $21.1M to $33.0MJan 14, 2019 to Mar 29, 2019
- HNW RAUM · $2.4M to $4.7MJan 14, 2019 to Mar 29, 2019
- Individual RAUM · $10.5M to $19.9MJan 14, 2019 to Mar 29, 2019
- RAUM · $21.1M to $33.0MJan 14, 2019 to Mar 29, 2019
- Accounts · 8,484 to 16,700Mar 27, 2018 to Aug 17, 2018
- HNW clients · 462 to 349Mar 27, 2018 to Aug 17, 2018
- Individual clients · 8,021 to 16,700Mar 27, 2018 to Aug 17, 2018
- Employees · 30 to 32Mar 27, 2018 to Aug 17, 2018
- Discretionary RAUM · $16.4M to $21.1MMar 27, 2018 to Aug 17, 2018
- HNW RAUM · $2.0M to $2.4MMar 27, 2018 to Aug 17, 2018
- Individual RAUM · $6.4M to $10.5MMar 27, 2018 to Aug 17, 2018
- RAUM · $16.4M to $21.1MMar 27, 2018 to Aug 17, 2018
- Accounts · 18 to 8,484Mar 17, 2017 to Mar 27, 2018
- Advisory employees · 3 to 6Mar 17, 2017 to Mar 27, 2018
- HNW clients · unset to 462.0Mar 17, 2017 to Mar 27, 2018
- Individual clients · unset to 8021.0Mar 17, 2017 to Mar 27, 2018
- Employees · 10 to 30Mar 17, 2017 to Mar 27, 2018
- HQ city · NEWPORT BEACH to SANTA MONICAMar 17, 2017 to Mar 27, 2018
- Other offices · unset to 1.0Mar 17, 2017 to Mar 27, 2018
- Discretionary RAUM · $6.6M to $16.4MMar 17, 2017 to Mar 27, 2018
- HNW RAUM · unset to 2015792.0Mar 17, 2017 to Mar 27, 2018
- Individual RAUM · unset to 6425803.0Mar 17, 2017 to Mar 27, 2018
- RAUM · $6.6M to $16.4MMar 17, 2017 to Mar 27, 2018
- Wrap assets (manager) · unset to 0.0Mar 17, 2017 to Mar 27, 2018
- Wrap assets (sponsor) · unset to 0.0Mar 17, 2017 to Mar 27, 2018
- Accounts · 1 to 18Nov 4, 2016 to Mar 17, 2017
- Advisory employees · 2 to 3Nov 4, 2016 to Mar 17, 2017
- Employees · 6 to 10Nov 4, 2016 to Mar 17, 2017
- Discretionary RAUM · $6.0M to $6.6MNov 4, 2016 to Mar 17, 2017
- RAUM · $6.0M to $6.6MNov 4, 2016 to Mar 17, 2017
Signals
4 dated events
- William Vaughn Baker (Chief Operating Officer) appeared on Schedule A of S•••• I•••••••• L••Mar 29, 2019 · Control person joined · fact
- [Nmn] Mazi Bahadori (Chief Compliance Officer) no longer on Schedule A of S•••• I•••••••• L•• (listed 2018-08-20, absent 2019-01-14)Jan 14, 2019 · Control person left · inference
- Elaine Carol Rumsey (Chief Compliance Officer) appeared on Schedule A of S•••• I•••••••• L••Jan 14, 2019 · Control person joined · fact
- S•••• I•••••••• L•• filed its initial SEC registration (Form ADV)Nov 4, 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