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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SEC-registered adviser

S••• C•• M••••••••• L••

Asset manager (funds and pooled vehicles)Park Ridge, New JerseyCRD 285354SEC 801-108565IAPD
Latest filing Apr 28, 2026
First filing on the tape Oct 17, 2016 · 16 filings
SEC status approved since Oct 27, 2016
RAUM
$336M
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
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$336M as of Apr 28, 2026
Mar 30, 2017$302M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 28, 2026
Mar 30, 20170 then
Employees (5.A)12 as of Apr 28, 2026
Mar 30, 201711 then
Private funds2 as of Apr 28, 2026
Mar 30, 20171 then
RAUM -17% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 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
$168MderivedRAUM 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
-17%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
  • 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)
  • 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
  • Pooled investment vehicles$336M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••••• V••• C•• 2••••• L•••Securitized Asset Fund$410M1Mar 30, 2017
      M••••••• V••• C•• 2••••• L•••Securitized Asset Fund$295M4Mar 29, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• M••••••• A•••• · Evp, Chief Financial Officercontrol
        since 06/2017 · owns less than 5%
      • A••••••• G•••••• R••••• · Chief Executive Officercontrol
        since 06/2017 · owns less than 5%
      • D•••••• D••••••• A•• · Chief Compliance Officercontrol
        since 09/2016 · owns less than 5%
      Entity owners
      • S••• C•• M••••••••• L• · Member
        direct · owns 75% or more
      • S••• C•• M••••••••• G• L•• · General Partner
        indirect · owns F of S••• C•• M••••••••• L•
      • V••••• F•••• I••••• A•••••••• L•• · Sole Member
        indirect · owns 75% or more of S••• C•• M••••••••• G• L••
      • V••••• I••••••••• H••••••• L•• · Member
        indirect · owns 75% or more of S••• C•• M••••••••• L•
      • V••••• I••••••••• P•••••••• I••• · Sole Shareholder
        indirect · owns 75% or more of V••••• P•••••••• I••• · public reporting company
      • V••••• P•••••••• I••• · Sole Member
        indirect · owns 75% or more of V••••• I••••••••• H••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list S••• C•• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $406M to $336M
        Mar 28, 2025 to Mar 30, 2026
      • Pooled vehicle RAUM · $406M to $336M
        Mar 28, 2025 to Mar 30, 2026
      • RAUM · $406M to $336M
        Mar 28, 2025 to Mar 30, 2026
      • Financial planning clients · unset to
        Mar 27, 2024 to Mar 28, 2025
      • Discretionary RAUM · $705M to $406M
        Mar 27, 2024 to Mar 28, 2025
      • Pooled vehicle RAUM · $705M to $406M
        Mar 27, 2024 to Mar 28, 2025
      • RAUM · $705M to $406M
        Mar 27, 2024 to Mar 28, 2025
      • Employees · 15 to 12
        Mar 30, 2023 to Mar 27, 2024
      • Discretionary RAUM · $827M to $705M
        Mar 30, 2023 to Mar 27, 2024
      • Pooled vehicle RAUM · $827M to $705M
        Mar 30, 2023 to Mar 27, 2024
      • RAUM · $827M to $705M
        Mar 30, 2023 to Mar 27, 2024
      • Advisory employees · 3 to 10
        Mar 30, 2022 to Mar 30, 2023
      • Employees · 10 to 15
        Mar 30, 2022 to Mar 30, 2023
      • Discretionary RAUM · $881M to $827M
        Mar 30, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $881M to $827M
        Mar 30, 2022 to Mar 30, 2023
      • RAUM · $881M to $827M
        Mar 30, 2022 to Mar 30, 2023
      • Discretionary RAUM · $871M to $881M
        Mar 30, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $871M to $881M
        Mar 30, 2021 to Mar 30, 2022
      • RAUM · $871M to $881M
        Mar 30, 2021 to Mar 30, 2022
      • Discretionary RAUM · $786M to $871M
        Mar 27, 2020 to Mar 26, 2021
      • Pooled vehicle RAUM · $786M to $871M
        Mar 27, 2020 to Mar 26, 2021
      • RAUM · $786M to $871M
        Mar 27, 2020 to Mar 26, 2021
      • Employees · 11 to 10
        Mar 28, 2019 to Mar 27, 2020
      • Discretionary RAUM · $774M to $786M
        Mar 28, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $774M to $786M
        Mar 28, 2019 to Mar 27, 2020
      • RAUM · $774M to $786M
        Mar 28, 2019 to Mar 27, 2020
      • Discretionary RAUM · $813M to $774M
        Mar 29, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $813M to $774M
        Mar 29, 2018 to Mar 28, 2019
      • RAUM · $813M to $774M
        Mar 29, 2018 to Mar 28, 2019
      • Accounts · 1 to 2
        Aug 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 2.0
        Aug 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Aug 31, 2017 to Mar 29, 2018
      • Private funds · 1 to 2
        Aug 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $302M to $813M
        Aug 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 812504253.0
        Aug 31, 2017 to Mar 29, 2018
      • RAUM · $302M to $813M
        Aug 31, 2017 to Mar 29, 2018
      • Related bank · false to true
        Mar 30, 2017 to Jun 29, 2017
      • Related broker-dealer · false to true
        Mar 30, 2017 to Jun 29, 2017
      • Accounts · unset to 1.0
        Oct 17, 2016 to Mar 30, 2017
      • Advisory employees · 4 to 3
        Oct 17, 2016 to Mar 30, 2017
      Signals
      3 dated events
      • S••• C•• M••••••••• L•• reported RAUM $406.1M, down 42% from $704.6M (2024-03-27 to 2025-03-28)
        Mar 28, 2025 · RAUM change · derived
      • S••• C•• M••••••••• L•• reported RAUM $812.5M, up 169% from $302.2M (2017-08-31 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • S••• C•• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 17, 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.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      201-391-0300reportedpublic record, Form ADV, Apr 28, 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