DFX Intelligence

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SEC-registered adviser

S••••• G•••• M••••••••• L••

Asset manager (funds and pooled vehicles)Dallas, TexasCRD 287991SEC 801-124923website IAPD

Latest filing Mar 31, 2026

First filing on the tape Mar 31, 2022 · 6 filings

SEC status approved since May 2, 2022

RAUM

$199M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

6 filings and snapshots on the tape

RAUM$199M as of Mar 31, 2026

Mar 31, 2023$150M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2026

Mar 31, 20230 then

Employees (5.A)3 as of Mar 31, 2026

Mar 31, 20235 then

Private funds3 as of Mar 31, 2026

Mar 31, 20232 then

RAUM -32% over the last fiscal year+10% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 31, 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: $33.2MderivedRAUM 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: -32%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
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)
receives research or other products from a broker-dealer, soft dollars (8.E)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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$133M67%
Corporations and businesses$66.2M33%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 6reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=0.67 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

Every departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S••••• G•••• F•••• L•	Hedge Fund	$124M	68	Mar 29, 2018
S• S•• I• L•	Other Private Fund	$13.9M	11	Mar 31, 2023
S• S•• I•• L•	Other Private Fund	$1.4M	3	Mar 28, 2024

Owners and control persons

Schedule A and B, latest filing

G•••••• S•••• · Chief Compliance Officer, Chief Executive Officercontrol
since 02/2017 · owns 75% or more

Related persons

Schedule D 7.A

S••••• G•••• G•• L•
pooled vehicle sponsorn
S• S•• I• G•• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

RAUM down 25 %Change between filings · filing Mar 31, 2026
RAUM (Item 5.F) moved from $291,098,252 to $199,375,848 (-32.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +4.0% (1145 comparable advisers, 8.0th percentile of changes)
peers: asset managers, $100M to $500M (1,145) · 8.0% percentile
institutional asset share shiftChange between filings · filing Mar 31, 2026
institutional share of RAUM moved from 49.0% to 33.0% between the annual amendments of 2025-03-28 and 2026-03-31
peers: asset managers, $100M to $500M (1,568)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 7 to 6
Jan 13, 2026 to Mar 31, 2026
Discretionary RAUM · $265M to $199M
Jan 13, 2026 to Mar 31, 2026
Non-discretionary RAUM · $26.3M to $0
Jan 13, 2026 to Mar 31, 2026
Pooled vehicle RAUM · $149M to $133M
Jan 13, 2026 to Mar 31, 2026
RAUM · $291M to $199M
Jan 13, 2026 to Mar 31, 2026
Accounts · 6 to 7
Mar 28, 2024 to Mar 28, 2025
Pooled vehicle clients · 2 to 3
Mar 28, 2024 to Mar 28, 2025
Financial planning clients · unset to
Mar 28, 2024 to Mar 28, 2025
Private funds · 2 to 3
Mar 28, 2024 to Mar 28, 2025
Discretionary RAUM · $178M to $265M
Mar 28, 2024 to Mar 28, 2025
Non-discretionary RAUM · $15.0M to $26.3M
Mar 28, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $126M to $149M
Mar 28, 2024 to Mar 28, 2025
RAUM · $193M to $291M
Mar 28, 2024 to Mar 28, 2025
Accounts · 4 to 6
Mar 31, 2023 to Mar 28, 2024
Advisory employees · 4 to 2
Mar 31, 2023 to Mar 28, 2024
Pooled vehicle clients · 3 to 2
Mar 31, 2023 to Mar 28, 2024
Employees · 5 to 3
Mar 31, 2023 to Mar 28, 2024
Discretionary RAUM · $134M to $178M
Mar 31, 2023 to Mar 28, 2024
Non-discretionary RAUM · $15.8M to $15.0M
Mar 31, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $148M to $126M
Mar 31, 2023 to Mar 28, 2024
RAUM · $150M to $193M
Mar 31, 2023 to Mar 28, 2024
Related bank · true to false
Mar 31, 2023 to Mar 28, 2024
Accounts · 3 to 4
Mar 31, 2022 to Mar 31, 2023
Pooled vehicle clients · 1 to 3
Mar 31, 2022 to Mar 31, 2023
Custody of client assets · true to false
Mar 31, 2022 to Mar 31, 2023
Discretionary RAUM · $141M to $134M
Mar 31, 2022 to Mar 31, 2023
Non-discretionary RAUM · $0 to $15.8M
Mar 31, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $135M to $148M
Mar 31, 2022 to Mar 31, 2023
RAUM · $141M to $150M
Mar 31, 2022 to Mar 31, 2023

Signals

1 dated events

S••••• G•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Mar 31, 2022 · 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: (469) 708-2080reportedpublic record, Form ADV, Mar 31, 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