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
A••••• I••••••••• M••••••••• L•••
Latest filing Mar 27, 2026
First filing on the tape Nov 10, 2016 · 14 filings
SEC status approved since Nov 22, 2016
RAUM
$227M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.4%
$5.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
13
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$227M as of Mar 27, 2026
Mar 21, 2017$271M then
HNW client RAUM$5.5M as of Mar 27, 2026
Mar 30, 2018$95.6M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 21, 20170 then
Employees (5.A)4 as of Mar 27, 2026
Mar 21, 20171 then
Private funds13 as of Mar 27, 2026
Mar 21, 20172 then
RAUM +1.7% over the last fiscal year+6.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $454,526derivedHNW RAUM over HNW clients
- Average account
- $8.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%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
- +1.7%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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $227M, 26 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
- 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$218M96%
- High-net-worth individuals$5.5M2.4%
- Charitable organizations$3.7M1.6%
- Individual clients
- n/areported
- HNW clients
- 12reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $227M for 26 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.02 fund_share=0.96 institutional_share=0.02 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• M•••••• T••••••••• P•••••••• L••• | Private Equity Fund | $75.2M | 20 | Mar 31, 2023 |
| S••••• M•••••• T••••••••• P•••••••• L••• | Private Equity Fund | $29.6M | 38 | Mar 21, 2017 |
| A••••• M•••••• T••••••••• P•••••••• L•••• C•••• 2••••• | Private Equity Fund | $19.2M | 22 | Mar 26, 2024 |
| A••••• M•••••• T••••••••• P•••••••• L•••• C•••• 2••••• | Private Equity Fund | $7.9M | 3 | Mar 26, 2024 |
| S•• I••••••••• I•• L••• | Private Equity Fund | $6.4M | 7 | Mar 29, 2020 |
| S•• I••••••••• L••• | Private Equity Fund | $3.9M | 7 | Mar 29, 2019 |
| S••••• C•••••••• P•••••••• L••• | Private Equity Fund | $3.1M | 14 | Mar 21, 2017 |
| S••• C•••••••• I• L••• | Private Equity Fund | $2.3M | 11 | Mar 30, 2018 |
| S••• C•••••••• I• ••••• L••• | Private Equity Fund | $2.3M | 17 | Mar 29, 2020 |
Owners and control persons
Schedule A and B, latest filing
- G•••• L•••• · Chief Compliance Officer, Chief Financial Officer And Chief Operating Officercontrolsince 05/2017 · owns less than 5%
- S•••••• M•••••• A•••• · Managing Partnercontrolsince 11/2016 · owns less than 5%
- S•••••• M•••••• A•••• · Trusteecontrolsince 11/2000 · owns F of M••••• A• S••••• R•••••••• T••••
Entity owners
- S••••• I••••••••• M••••••••• L•• · Partnerdirect · owns 75% or more
- S••••• M••••••••• C•• G•• L•• · General Partnerdirect · owns less than 5%
- M••••• A• S••••• R•••••••• T•••• · Memberindirect · owns 75% or more of S••••• I••••••••• M••••••••• L••
- M••••• A• S••••• R•••••••• T•••• · Memberindirect · owns 75% or more of S••••• M••••••••• C•• G•• L••
Related persons
Schedule D 7.A
- A••••• M•••••• T••••••••• G•• L•••pooled vehicle sponsorn
- S••••• M••••••••• C•• G•• L••pooled vehicle sponsorn
- S••••• M•••••• T••••••••• G•• L•••pooled vehicle sponsorn
- S•• I••••••••• G•• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 24 to 26Mar 26, 2025 to Mar 27, 2026
- Pooled vehicle clients · 11 to 13Mar 26, 2025 to Mar 27, 2026
- Assets in custody · $223M to $227MMar 26, 2025 to Mar 27, 2026
- Private funds · 11 to 13Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $223M to $227MMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $8.4M to $5.5MMar 26, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $211M to $218MMar 26, 2025 to Mar 27, 2026
- RAUM · $223M to $227MMar 26, 2025 to Mar 27, 2026
- Accounts · 22 to 24Mar 26, 2024 to Mar 26, 2025
- Pooled vehicle clients · 9 to 11Mar 26, 2024 to Mar 26, 2025
- Assets in custody · $162M to $223MMar 26, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 26, 2025
- Private funds · 9 to 11Mar 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $162M to $223MMar 26, 2024 to Mar 26, 2025
- HNW RAUM · $9.4M to $8.4MMar 26, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $150M to $211MMar 26, 2024 to Mar 26, 2025
- RAUM · $162M to $223MMar 26, 2024 to Mar 26, 2025
- Accounts · 20 to 22Mar 31, 2023 to Mar 26, 2024
- Pooled vehicle clients · 7 to 9Mar 31, 2023 to Mar 26, 2024
- Assets in custody · $186M to $162MMar 31, 2023 to Mar 26, 2024
- Private funds · 7 to 9Mar 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $186M to $162MMar 31, 2023 to Mar 26, 2024
- HNW RAUM · $11.2M to $9.4MMar 31, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $171M to $150MMar 31, 2023 to Mar 26, 2024
- RAUM · $186M to $162MMar 31, 2023 to Mar 26, 2024
- Accounts · 19 to 20Oct 3, 2022 to Mar 31, 2023
- Business name · S••••• M••••••••• C••• L••• to A••••• I••••••••• M••••••••• L•••Oct 3, 2022 to Mar 31, 2023
- Pooled vehicle clients · 6 to 7Oct 3, 2022 to Mar 31, 2023
- Assets in custody · $159M to $186MOct 3, 2022 to Mar 31, 2023
- Employees · 5 to 4Oct 3, 2022 to Mar 31, 2023
- Legal name · S••••• M••••••••• C••• L••• to A••••• I••••••••• M••••••••• L•••Oct 3, 2022 to Mar 31, 2023
- Private funds · 6 to 7Oct 3, 2022 to Mar 31, 2023
- Discretionary RAUM · $159M to $186MOct 3, 2022 to Mar 31, 2023
- HNW RAUM · $30.1M to $11.2MOct 3, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $118M to $171MOct 3, 2022 to Mar 31, 2023
- RAUM · $159M to $186MOct 3, 2022 to Mar 31, 2023
- Assets in custody · $323M to $159MMar 30, 2021 to Mar 8, 2022
- Discretionary RAUM · $323M to $159MMar 30, 2021 to Mar 8, 2022
- HNW RAUM · $49.8M to $30.1MMar 30, 2021 to Mar 8, 2022
- Pooled vehicle RAUM · $257M to $118MMar 30, 2021 to Mar 8, 2022
Signals
4 dated events
- A••••• I••••••••• M••••••••• L••• reported RAUM $158.5M, down 51% from $323.1M (2021-03-30 to 2022-03-08)Mar 8, 2022 · RAUM change · derived
- A••••• I••••••••• M••••••••• L••• reported RAUM $323.1M, up 54% from $210.3M (2020-06-25 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- A••••• I••••••••• M••••••••• L••• reported RAUM $176.3M, down 41% from $298.9M (2018-12-11 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- S••••• M••••••••• C••• L••• filed its initial SEC registration (Form ADV)Nov 10, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••• I••••••••• M••••••••• L••• · Independent Sponsorsshared crd · capital_provider
- A••••• I••••••••• M••••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 312-448-5500reportedpublic record, Form ADV, Mar 27, 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