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Former SEC-registered adviser
S•• M••••••••• L••
Latest filing Mar 20, 2023
First filing on the tape Jun 17, 2021 · 3 filings
RAUM
$18.6M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$18.6M gross assets
History
3 filings and snapshots on the tape
RAUM$18.6M as of Mar 20, 2023
Mar 31, 2022$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 20, 2023
Mar 31, 20224 then
Employees (5.A)5 as of Mar 20, 2023
Mar 31, 20228 then
Private funds1 as of Mar 20, 2023
Mar 31, 20222 then
RAUM -99% over the last fiscal yearIARs 4 to 3
Practice profile
derived from the filing of Mar 20, 2023; every figure names its basis
- RAUM per advisor
- $6.2MderivedRAUM 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
- $18.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -99%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $18.6M, 1 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$18.6M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $18.6M for 1 clientsreported
- Compensation
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• C••••••• L•• | Hedge Fund | $18.6M | 24 | Mar 31, 2017 |
| S••••••• T•••••• L•• | Hedge Fund | $2.6M | 13 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- G•••• T•••••• L••• · Chief Financial Officercontrolsince 05/2020 · owns less than 5%
- G••••• S•••••• K•••• · Managercontrolsince 01/2015 · owns 75% or more
- L••••••••• T•••••• Y••••• T•••• · General Counsel & Chief Compliance Officercontrolsince 04/2020 · owns less than 5%
Related persons
Schedule D 7.A
- S••••• K• G••••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2 to 1Mar 31, 2022 to Mar 20, 2023
- Advisory employees · 4 to 3Mar 31, 2022 to Mar 20, 2023
- Pooled vehicle clients · 2 to 1Mar 31, 2022 to Mar 20, 2023
- Assets in custody · $1.4B to $18.6MMar 31, 2022 to Mar 20, 2023
- Employees · 8 to 5Mar 31, 2022 to Mar 20, 2023
- State-registered IARs · 4 to 3Mar 31, 2022 to Mar 20, 2023
- Private funds · 2 to 1Mar 31, 2022 to Mar 20, 2023
- Discretionary RAUM · $1.4B to $18.6MMar 31, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $1.4B to $18.6MMar 31, 2022 to Mar 20, 2023
- RAUM · $1.4B to $18.6MMar 31, 2022 to Mar 20, 2023
- Assets in custody · $836M to $1.4BJun 17, 2021 to Mar 31, 2022
- Employees · 9 to 8Jun 17, 2021 to Mar 31, 2022
- State-registered IARs · 5 to 4Jun 17, 2021 to Mar 31, 2022
- Private funds · 4 to 2Jun 17, 2021 to Mar 31, 2022
- Discretionary RAUM · $836M to $1.4BJun 17, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $836M to $1.4BJun 17, 2021 to Mar 31, 2022
- RAUM · $836M to $1.4BJun 17, 2021 to Mar 31, 2022
Signals
3 dated events
- S•• M••••••••• L•• reported RAUM $18.6M, down 99% from $1.4B (2022-03-31 to 2023-03-20)Mar 20, 2023 · RAUM change · derived
- S•• M••••••••• L•• reported RAUM $1.4B, up 66% from $836.2M (2021-06-17 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S•• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 17, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•• M••••••••• L•• · Venture Capitalshared crd · organization
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