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••••••••• P•••••••• L••

Former SEC-registered adviserFt. Lauderdale, FloridaCRD 286095SEC 801-110074IAPD
Latest filing Aug 1, 2018
First filing on the tape Feb 23, 2017 · 7 filings
RAUM
$362M
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
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$362M gross assets
History
7 filings and snapshots on the tape
RAUM$362M as of Aug 1, 2018
Apr 28, 2017$343M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 1, 2018
Feb 23, 20170 then
Employees (5.A)5 as of Aug 1, 2018
Feb 23, 20173 then
Private funds4 as of Aug 1, 2018
Apr 28, 20174 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 1, 2018; 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
$90.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$331M, 4 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$362M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$331M for 4 clientsreported
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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••••• M••••••••• A••••••••• F•••• L•Hedge Fund$195M35Mar 30, 2016
      S••••••••• P•••••• E••••• P•••••••• L•Private Equity Fund$90.8M34Mar 30, 2016
      L•• O••• P•••••• E••••• V•• L••Private Equity Fund$28.6M33Jan 14, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••• D••••• W•••••• · Ceo & Treasurercontrol
        since 10/2016 · owns less than 5%
      • C•••• S•••• M••••••• · Trusteecontrol
        since 04/2014 · owns F of S••• M• C••• 2••• R•••••••• T••••• U•••• 7••••••
      • H••••••• D••••• W•••••• · Trusteecontrol
        since 04/2014 · owns F of D•••• W• H•••••• 1••• T••••• U•••• 3••••••
      • H••••••• G••••••• S••••• · Trusteecontrol
        since 04/2014 · owns F of G•••••• S• H•••••• R•••••••• T••••• U•••• 5••••••
      • R•••• E••••• C•••••••• · Membercontrol
        since 04/2014 · owns 25% to 50% of H•• C••••••• L••
      • R•••• L••••• H•••••• · Trusteecontrol
        since 04/2014 · owns F of R••• F••••• I••••••••• R•••••••• T••••• U•••• 6••••••
      • R•••• S••••••• A••••• · Membercontrol
        since 04/2014 · owns 25% to 50% of H•• C••••••• L••
      • H•••••• M••••••• S•••••• · Chief Compliance Officer
        since 10/2016 · owns less than 5%
      • R•••• D••••• M••• · Secretary
        since 10/2016 · owns less than 5%
      Entity owners
      • H•• I••••••••• L•• · Managing Member
        direct · owns 75% or more
      • D•••• W• H•••••• 1••• T••••• U•••• 3•••••• · Member
        indirect · owns 50% to 75% of So M••••••, LLC
      • G•••••• S• H•••••• R•••••••• T••••• U•••• 5•••••• · Member
        indirect · owns 25% to 50% of H•• C••••••• L••
      • H•• C••••••• L•• · Non-Voting Member
        indirect · owns 75% or more of H•• I••••••••• L••
      • R••• F••••• I••••••••• R•••••••• T••••• U•••• 6•••••• · Member
        indirect · owns 50% to 75% of So M••••••, LLC
      • S••• M• C••• 2••• R•••••••• T••••• U•••• 7•••••• · Member
        indirect · owns 25% to 50% of H•• C••••••• L••
      • S• M•••••• L•• · Managing Member
        indirect · owns F of H•• I••••••••• L••
      Related persons
      Schedule D 7.A
      • L•• O••• M••••••• L••
        pooled vehicle sponsorn
      • M•••••• S• H•••••
        n
      • S••••••••• C•••••• P•••••••• L••
        investment advisernRAUM $575M
      • S••••••••• I••••••••• P••••••• G•• L••
        pooled vehicle sponsorn
      • S••••••••• R••• E••••• M•••••• I• L••
        pooled vehicle sponsorn
      • S••••••••• R••• E••••• M••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 1
        Mar 28, 2018 to Aug 1, 2018
      • Assets in custody · $302M to $331M
        Mar 28, 2018 to Aug 1, 2018
      • Employees · 6 to 5
        Mar 28, 2018 to Aug 1, 2018
      • State-registered IARs · 1 to 0
        Mar 28, 2018 to Aug 1, 2018
      • Discretionary RAUM · $349M to $362M
        Mar 28, 2018 to Aug 1, 2018
      • Pooled vehicle RAUM · $349M to $362M
        Mar 28, 2018 to Aug 1, 2018
      • RAUM · $349M to $362M
        Mar 28, 2018 to Aug 1, 2018
      • Pooled vehicle clients · unset to 4.0
        Apr 28, 2017 to Mar 28, 2018
      • Assets in custody · $268M to $302M
        Apr 28, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Apr 28, 2017 to Mar 28, 2018
      • Discretionary RAUM · $343M to $349M
        Apr 28, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 348765019.0
        Apr 28, 2017 to Mar 28, 2018
      • RAUM · $343M to $349M
        Apr 28, 2017 to Mar 28, 2018
      • Related adviser · false to true
        Apr 28, 2017 to Mar 28, 2018
      • Accounts · unset to 4.0
        Mar 17, 2017 to Apr 28, 2017
      • Advisory employees · 1 to 2
        Mar 17, 2017 to Apr 28, 2017
      • Advisory activities · 2 to 1
        Mar 17, 2017 to Apr 28, 2017
      • Assets in custody · $0 to $268M
        Mar 17, 2017 to Apr 28, 2017
      • Custody of client assets · false to true
        Mar 17, 2017 to Apr 28, 2017
      • Employees · 3 to 6
        Mar 17, 2017 to Apr 28, 2017
      • State-registered IARs · 0 to 1
        Mar 17, 2017 to Apr 28, 2017
      • Private funds · unset to 4
        Mar 17, 2017 to Apr 28, 2017
      • Discretionary RAUM · unset to 343347899.0
        Mar 17, 2017 to Apr 28, 2017
      • Non-discretionary RAUM · unset to 0.0
        Mar 17, 2017 to Apr 28, 2017
      • RAUM · unset to 343347899.0
        Mar 17, 2017 to Apr 28, 2017
      • Related adviser · true to false
        Mar 17, 2017 to Apr 28, 2017
      Signals
      1 dated events
      • S••••••••• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 23, 2017 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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