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••••• A•••••••• L••
Latest filing Mar 27, 2024
First filing on the tape Apr 6, 2017 · 15 filings
RAUM
$126M
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$126M as of Mar 27, 2024
Mar 29, 2018$52.8M then
HNW client RAUM$133,680 as of Mar 29, 2023
Mar 31, 2022$149,115 then
State-registered IARs (5.B.3)0 as of Mar 27, 2024
Mar 29, 20180 then
Employees (5.A)6 as of Mar 27, 2024
Mar 29, 20186 then
Private funds1 as of Mar 31, 2022
Mar 29, 20182 then
RAUM -3.0% over the last fiscal year+50% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2024; 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
- $21.0MderivedRAUM 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
- -3.0%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$126M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• G••••• I• L•no longer reported | Other Private Fund | $3.6M | 2 | Apr 6, 2017 |
| S••••• I•••• S••••• L•no longer reported | Other Private Fund | $2.1M | 32 | Apr 6, 2017 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• C••••• L••• · Presidentcontrolsince 10/2021 · owns less than 5%
- J•••••• D••••• W•••••• · Chief Financial Officercontrolsince 06/2019 · owns less than 5%
- R••••• R•••• B•••••• · Owner, Chief Executive Officercontrolsince 11/2016 · owns 75% or more
- C••••• P••••••• A••••• · Chief Compliance Officersince 01/2017 · owns less than 5%
Related persons
Schedule D 7.A
- B• P•••••••• L••investment adviserpooled vehicle sponsorn
- C•• C•••••• M••••••••• G••••• I•••investment advisernRAUM $257M
- N•• V••••••• I•• M••••••• L••investment adviserpooled vehicle sponsorn
- N•• V••••••• S••••• P•••••••• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 6Mar 29, 2023 to Mar 27, 2024
- Advisory activities · 2 to 1Mar 29, 2023 to Mar 27, 2024
- HNW clients · 1.0 to unsetMar 29, 2023 to Mar 27, 2024
- Employees · 8 to 6Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $130M to $126MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · 133680.0 to unsetMar 29, 2023 to Mar 27, 2024
- RAUM · $130M to $126MMar 29, 2023 to Mar 27, 2024
- Advisory activities · 3 to 2Apr 28, 2022 to Mar 29, 2023
- BD registered reps · 3 to 2Apr 28, 2022 to Mar 29, 2023
- Pooled vehicle clients · 1.0 to unsetApr 28, 2022 to Mar 29, 2023
- Private funds · 1 to unsetApr 28, 2022 to Mar 29, 2023
- Discretionary RAUM · $149M to $130MApr 28, 2022 to Mar 29, 2023
- HNW RAUM · $149,115 to $133,680Apr 28, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · 3575136.0 to unsetApr 28, 2022 to Mar 29, 2023
- RAUM · $149M to $130MApr 28, 2022 to Mar 29, 2023
- Accounts · 3 to 7Mar 29, 2022 to Mar 31, 2022
- Advisory employees · 4 to 5Mar 29, 2022 to Mar 31, 2022
- Advisory activities · 2 to 3Mar 29, 2022 to Mar 31, 2022
- HNW clients · unset to 1.0Mar 29, 2022 to Mar 31, 2022
- Pooled vehicle clients · 2 to 1Mar 29, 2022 to Mar 31, 2022
- Employees · 9 to 8Mar 29, 2022 to Mar 31, 2022
- Private funds · 2 to 1Mar 29, 2022 to Mar 31, 2022
- Discretionary RAUM · $103M to $149MMar 29, 2022 to Mar 31, 2022
- HNW RAUM · unset to 149115.0Mar 29, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $12.3M to $3.6MMar 29, 2022 to Mar 31, 2022
- RAUM · $103M to $149MMar 29, 2022 to Mar 31, 2022
- Accounts · 4 to 3Jun 29, 2020 to Jun 29, 2021
- Advisory employees · 5 to 4Jun 29, 2020 to Jun 29, 2021
- Discretionary RAUM · $37.6M to $103MJun 29, 2020 to Jun 29, 2021
- Pooled vehicle RAUM · $17.5M to $12.3MJun 29, 2020 to Jun 29, 2021
- RAUM · $37.6M to $103MJun 29, 2020 to Jun 29, 2021
- Accounts · 3 to 4Oct 9, 2019 to Jun 29, 2020
- BD registered reps · 2 to 3Oct 9, 2019 to Jun 29, 2020
- Employees · 12 to 9Oct 9, 2019 to Jun 29, 2020
- Other offices · 4 to 0Oct 9, 2019 to Jun 29, 2020
- Discretionary RAUM · $71.7M to $37.6MOct 9, 2019 to Jun 29, 2020
- Pooled vehicle RAUM · $23.6M to $17.5MOct 9, 2019 to Jun 29, 2020
- RAUM · $71.7M to $37.6MOct 9, 2019 to Jun 29, 2020
- Advisory employees · 7 to 5Jun 28, 2019 to Oct 9, 2019
- Employees · 7 to 12Jun 28, 2019 to Oct 9, 2019
Signals
5 dated events
- Webster David Jaffin (Chief Financial Officer) appeared on Schedule A of S••••• A•••••••• L••Jun 29, 2021 · Control person joined · fact
- Camille Kathleen Cuocolo (Senior Vice President) no longer on Schedule A of S••••• A•••••••• L•• (listed 2020-06-29, absent 2021-06-29)Jun 29, 2021 · Control person left · inference
- Nicholas Glenn Francis (Senior Vice President) no longer on Schedule A of S••••• A•••••••• L•• (listed 2019-03-29, absent 2019-06-28)Jun 28, 2019 · Control person left · inference
- L••• C•••• A••••• (Senior Vice President) appeared on Schedule A of S••••• A•••••••• L••Jun 28, 2019 · Control person joined · fact
- S•••••• L•• filed its initial SEC registration (Form ADV)Apr 6, 2017 · 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.
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