DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S••••••••• C••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Mar 10, 2020 · 13 filings
SEC status approved since Apr 14, 2020
RAUM
$776M
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
24
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$776M as of Mar 17, 2026
Feb 25, 2021$146M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Feb 25, 20210 then
Employees (5.A)24 as of Mar 17, 2026
Feb 25, 20216 then
Private funds: no history
RAUM +23% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 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
- $111MderivedRAUM 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
- +23%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
- $98.5M, 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$776M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $98.5M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• R••• E••••• I••••• F•••• L•no longer reported | Other Private Fund | $62.5M | 110 | Jun 10, 2020 |
| S••••••••• O••••••••• F•••• L•••no longer reported | Other Private Fund | $13.0M | 23 | Jun 10, 2020 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• W••••• W•••••• · Co-Managing Membercontrolsince 03/2016 · owns less than 5%
- J••••••• T•••••• S•••• · Co-Managing Member, Chief Compliance Officercontrolsince 03/2016 · owns less than 5%
- C••••••••• W•••••• W•••••• · Ownercontrolsince 12/2021 · owns 75% or more of A••• M••••••••• L••
- J••••••• T•••••• S•••• · Ownercontrolsince 12/2021 · owns 75% or more of M••••••••• L•••
Entity owners
- A••• M••••••••• L•• · Memberdirect · owns 50% to 75%
- M••••••••• L••• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- S••••••••• N•••• S••• F••• G•• L••pooled vehicle sponsorn
- S••••••••• O••••••••• F••• G•• L••pooled vehicle sponsorn
- S••••••••• P• F••• G•• L••pooled vehicle sponsorn
- S••••••••• R••• E••••• I••••• F••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 7Mar 25, 2025 to Mar 17, 2026
- Advisory employees · 8 to 14Mar 25, 2025 to Mar 17, 2026
- Pooled vehicle clients · 6 to 7Mar 25, 2025 to Mar 17, 2026
- Assets in custody · $29.3M to $98.5MMar 25, 2025 to Mar 17, 2026
- Employees · 18 to 24Mar 25, 2025 to Mar 17, 2026
- Discretionary RAUM · $633M to $776MMar 25, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $633M to $776MMar 25, 2025 to Mar 17, 2026
- RAUM · $633M to $776MMar 25, 2025 to Mar 17, 2026
- Accounts · 5 to 6Mar 6, 2024 to Mar 25, 2025
- Pooled vehicle clients · 5 to 6Mar 6, 2024 to Mar 25, 2025
- Assets in custody · $23.0M to $29.3MMar 6, 2024 to Mar 25, 2025
- Employees · 17 to 18Mar 6, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 6, 2024 to Mar 25, 2025
- Discretionary RAUM · $579M to $633MMar 6, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $579M to $633MMar 6, 2024 to Mar 25, 2025
- RAUM · $579M to $633MMar 6, 2024 to Mar 25, 2025
- Related adviser · false to trueMar 6, 2024 to Mar 25, 2025
- Advisory employees · 7 to 8Mar 2, 2023 to Mar 6, 2024
- Assets in custody · $2.0M to $23.0MMar 2, 2023 to Mar 6, 2024
- Employees · 14 to 17Mar 2, 2023 to Mar 6, 2024
- Discretionary RAUM · $409M to $579MMar 2, 2023 to Mar 6, 2024
- Pooled vehicle RAUM · $409M to $579MMar 2, 2023 to Mar 6, 2024
- RAUM · $409M to $579MMar 2, 2023 to Mar 6, 2024
- Advisory employees · 5 to 7Dec 21, 2022 to Mar 2, 2023
- Assets in custody · unset to 2020460.0Dec 21, 2022 to Mar 2, 2023
- Custody of client assets · false to trueDec 21, 2022 to Mar 2, 2023
- Employees · 9 to 14Dec 21, 2022 to Mar 2, 2023
- Discretionary RAUM · $311M to $409MDec 21, 2022 to Mar 2, 2023
- Pooled vehicle RAUM · $311M to $409MDec 21, 2022 to Mar 2, 2023
- RAUM · $311M to $409MDec 21, 2022 to Mar 2, 2023
- Accounts · 3 to 5Jan 14, 2022 to Mar 18, 2022
- Advisory employees · 6 to 5Jan 14, 2022 to Mar 18, 2022
- Pooled vehicle clients · 3 to 5Jan 14, 2022 to Mar 18, 2022
- Assets in custody · 141871165.0 to unsetJan 14, 2022 to Mar 18, 2022
- Custody of client assets · true to falseJan 14, 2022 to Mar 18, 2022
- Employees · 6 to 9Jan 14, 2022 to Mar 18, 2022
- Discretionary RAUM · $146M to $311MJan 14, 2022 to Mar 18, 2022
- Pooled vehicle RAUM · $146M to $311MJan 14, 2022 to Mar 18, 2022
- RAUM · $146M to $311MJan 14, 2022 to Mar 18, 2022
- Accounts · 2 to 3Jul 22, 2020 to Feb 25, 2021
Signals
3 dated events
- S••••••••• C••••••• L•• reported RAUM $579.0M, up 42% from $408.8M (2023-03-02 to 2024-03-06)Mar 6, 2024 · RAUM change · derived
- S••••••••• C••••••• L•• reported RAUM $311.3M, up 114% from $145.6M (2022-01-14 to 2022-03-18)Mar 18, 2022 · RAUM change · derived
- S••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Mar 10, 2020 · 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
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 203-628-4653reportedpublic record, Form ADV, Mar 17, 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••••••••• C••••••• 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.
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