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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

S•••••• Q••••••• B••• S•• L•

Former SEC-registered adviserAtlanta, GeorgiaCRD 287475SEC 801-110808IAPD
Latest filing Mar 28, 2018
First filing on the tape Jun 13, 2017 · 6 filings
RAUM
$236M
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
13
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$236M as of Mar 28, 2018
Jun 13, 2017$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2018
Jun 13, 20170 then
Employees (5.A)13 as of Mar 28, 2018
Jun 13, 20179 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 28, 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
$23.6MderivedRAUM 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
unknownderived2 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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$236M, 10 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 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$236M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
10reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$236M for 10 clientsreported
Compensation
% of AUM, 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••• A•••••• P•••••• · Presidentcontrol
        since 11/2016 · owns less than 5%
      • J•••••••• K••••• A••• · Chief Operations Officer, General Counsel, Chief Compliance Officercontrol
        since 03/2018 · owns less than 5%
      • L•••••• A•••••• T••• · Chief Acquisition Officercontrol
        since 11/2016 · owns less than 5%
      • F••••••• A•••••• P•••••• · Ownercontrol
        since 04/2014 · owns 75% or more of F•••••• S•• L••
      • L•••••• A•••••• T••• · Ownercontrol
        since 07/2013 · owns 75% or more of J•••••• P••••••••• L••
      Entity owners
      • B••• S•• A••••••••• I••••••••• L•• · L•••••• Partner
        direct · owns 50% to 75%
      • S•••••• Q••••••• B••• S•• G• L•• · General Partner
        direct · owns less than 5%
      • B••• S•• A••••••••• I••••••••• L•••••• · Owner
        indirect · owns 75% or more of B••• I••••••••• P•• L••••••
      • B••• S•• A••••••••• I••••••••• L•• · Member
        indirect · owns 50% to 75% of S•••••• Q••••••• B••• S•• G• L••
      • B••• I••••••••• P•• L•••••• · Owner
        indirect · owns 75% or more of B••• S•• A••••••••• I••••••••• L••
      • F•••••• S•• L•• · L•••••• Partner
        direct · owns 10% to 25%
      • J•••••• P••••••••• L•• · L•••••• Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 10
        Sep 20, 2017 to Mar 28, 2018
      • Advisory employees · 6 to 12
        Sep 20, 2017 to Mar 28, 2018
      • Advisory activities · 2 to 1
        Sep 20, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 10.0
        Sep 20, 2017 to Mar 28, 2018
      • Assets in custody · $160M to $236M
        Sep 20, 2017 to Mar 28, 2018
      • Employees · 9 to 13
        Sep 20, 2017 to Mar 28, 2018
      • Other offices · unset to 1.0
        Sep 20, 2017 to Mar 28, 2018
      • Discretionary RAUM · $160M to $236M
        Sep 20, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 235750000.0
        Sep 20, 2017 to Mar 28, 2018
      • RAUM · $160M to $236M
        Sep 20, 2017 to Mar 28, 2018
      • Related bank · true to false
        Sep 20, 2017 to Mar 28, 2018
      Signals
      1 dated events
      • S•••••• Q••••••• B••• S•• L• filed its initial SEC registration (Form ADV)
        Jun 13, 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