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••••••• S••••• I••••••••• C• L••

Former SEC-registered adviserS•••••••, CRD 288228SEC 801-110903IAPD
Latest filing Feb 12, 2018
First filing on the tape Jun 28, 2017 · 3 filings
RAUM
$400M
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
30
18 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$400M as of Feb 12, 2018
Jun 28, 2017$600M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 12, 2018
Jun 28, 20170 then
Employees (5.A)30 as of Feb 12, 2018
Jun 28, 201730 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 12, 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
$23.5MderivedRAUM 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
unknownderived3 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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$400M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
17reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••• E•••••••• A••••••••• C•••Hedge Fund$45.0M1Mar 3, 2021
      C•••• A•••••••• F•••Hedge Fund$6.0M3Sep 28, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • S•••• Y• · Chief Executive Officercontrol
        since 09/2012 · owns 50% to 75%
      • Z••• W••••••• · Directorcontrol
        since 04/2014 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 17
        Oct 27, 2017 to Feb 12, 2018
      • Pooled vehicle clients · 28 to 21
        Oct 27, 2017 to Feb 12, 2018
      • Accounts · 12 to 13
        Jun 28, 2017 to Oct 27, 2017
      • Pooled vehicle clients · unset to 28.0
        Jun 28, 2017 to Oct 27, 2017
      • Other offices · unset to 2.0
        Jun 28, 2017 to Oct 27, 2017
      • Discretionary RAUM · $600M to $400M
        Jun 28, 2017 to Oct 27, 2017
      • Pooled vehicle RAUM · unset to 400000000.0
        Jun 28, 2017 to Oct 27, 2017
      • RAUM · $600M to $400M
        Jun 28, 2017 to Oct 27, 2017
      Signals
      1 dated events
      • S••••••• S••••• I••••••••• C• L•• filed its initial SEC registration (Form ADV)
        Jun 28, 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.
      How to reach
      public business contact points only, each with its source
      Website
      S•••••TZ.COMreportedpublic record, Form ADV, Sep 19, 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
      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